Original Title: Notice from the Shandong Provincial Department of Science and Technology on Issuing the "Guiding Opinions on Promoting the High-Quality Development of Provincial-Level New-Type R&D Institutions"
To further deepen the reform of the science and technology system, promote the high-quality development of new-type R&D institutions, explore a system of new-type R&D institutions with Shandong characteristics, and advance the realization of high-level self-reliance and strength in science and technology, the following opinions are formulated.
I. General Requirements
(1) Functional Positioning
New-type R&D institutions primarily engage in scientific research, technological innovation, and R&D services. They are independent legal entities characterized by diversified investment sources, varied organizational models, market-oriented operational mechanisms, and flexible personnel systems, possessing sustainable development capabilities and facilitating collaborative innovation among industry, academia, and research. Their core function is to conduct R&D on key generic technologies for industries, while also performing functions such as basic research, applied basic research, technology transfer and commercialization, enterprise incubation and cultivation, and talent recruitment and development. They serve a public interest and are capable of undertaking public R&D service functions.
(2) Development Goals
By 2025, 20 high-level new R&D institutions with international influence will be established, bringing the total number of such institutions in the province to 1,000, of which 500 will be registered at the provincial level. This will form a new R&D institution system that covers all cities, encompasses major industrial chains, features multi-tiered distribution, and is led by diverse entities. The system will promote the deep integration of innovation chains, industrial chains, talent chains, and education chains, with the overall level ranking among the top in the country.Attract 300 high-level innovative talents (teams) and gather 20,000 research personnel; achieve a series of major breakthroughs in key fields; master a range of core technologies; and facilitate the commercialization of significant research outcomes.
(3) Development Path
Centering on national strategies and major provincial science and technology innovation tasks, we will coordinate planning and layout, strengthen alignment with industrial needs, and prioritize the construction and development of new R&D institutions in strategic, forward-looking, disruptive, and interdisciplinary fields.Support existing new-type R&D institutions to focus on niche fields, innovate institutional mechanisms, and elevate the level of R&D commercialization; attract renowned universities, research institutes, high-level talent teams, Fortune 500 companies, and large central state-owned enterprises from outside the province to establish a new batch; support provincial universities, research institutes, leading enterprises, and high-level talent teams to collaboratively build a new batch; guide social forces to establish a new batch targeting emerging and future industries; and encourage leading enterprises in industrial chains to take the lead in forming a new batch.
II. Main Tasks
(1) Promote the Establishment of a Diversified Funding Mechanism. Adhere to a market-oriented approach and improve the diversified funding mechanism; build upon the investment from the sponsoring entities to attract joint investment from enterprises, financial and social capital, universities, and research institutions; broaden funding channels through funds, social donations, technology equity contributions, and technology transfer; and expand revenue sources through technology development and transfer, consulting services, and undertaking research projects.
(2) Attract and Cultivate High-Level Talent Teams. Implement diverse recruitment strategies, such as attracting talent through talent networks and project platforms; flexibly recruit talent based on specific R&D tasks; emphasize talent exchange and cooperation by jointly conducting research projects and talent development with research institutions, universities, and enterprises; deepen scientific and technological exchanges with countries along the “Belt and Road” to attract high-end overseas talent; encourage joint graduate student training with top-tier universities and research institutions to establish high-level, internationally competitive research teams.
(3) Undertake Major Scientific Research Tasks. Strengthen the role of public R&D platforms; establish mechanisms to align with the province’s major strategic objectives; solicit major science and technology project needs specifically from new-type R&D institutions; support eligible institutions in undertaking major scientific research tasks; enhance the integration and application of technologies; improve original innovation capabilities; and achieve self-reliance and control over key core technologies.
(4) Establish a collaborative and integrated innovation model. Emphasize the ability to integrate resources and conduct organized research; guided by industrial innovation needs, aggregate high-quality innovation resources, and strengthen collaborative research with universities, research institutions, and enterprises. Explore the formation of innovation alliances among new-type R&D institutions in related fields to promote multi-departmental, multi-organizational, and full-chain collaborative innovation, thereby creating innovation consortia that complement each other’s strengths.
(5) Facilitate the commercialization of scientific and technological achievements. Fully leverage the roles of activities such as the Shandong Science and Technology Market transactions, the “Shandong Good Achievements” release, and the “Lu Ke Rong” roadshows to guide the science and technology service sector in supporting new R&D institutions to streamline channels for R&D, pilot testing, and commercialization. Establish incentive mechanisms for the commercialization of scientific and technological achievements, improve the property rights system for scientific and technological achievements generated in the course of employment, explore joint commercialization mechanisms along industrial chains, and promote the rapid transformation of source innovation into new technologies, new products, and new commodities.
(6) Leverage the role of open resource sharing. Establish open-sharing mechanisms to make the scientific research instruments, experimental platforms, and pilot-scale incubation bases of new R&D institutions available to industry. Promote the sharing of scientific and technological resources—including instruments, scientific literature, scientific data, and pilot-scale equipment—between universities, research institutions, and new R&D institutions. Explore mechanisms for the joint cultivation and sharing of talent, intellectual resources, and scientific and technological achievements.
III. Types of Institutions
(1) New R&D institutions classified as public institutions are organizations that have undergone evaluation by science and technology departments and are registered with personnel management departments. While emphasizing economic returns, they should prioritize public welfare and provide corresponding public scientific research products and services. They shall formulate charters and management regulations suited to their specific characteristics in accordance with construction plans or joint construction agreements.
(2) Science and technology-oriented private non-enterprise new R&D institutions are social legal entities registered with civil affairs departments. They primarily engage in academic research, technology development, and the transfer and dissemination of achievements in the fields of natural sciences and engineering technology. Profits generated from operations are mainly used for institutional management, R&D, and innovation; investors are not entitled to dividends.
(3) Enterprise-type new R&D institutions are corporate entities registered with market supervision authorities. They focus primarily on public R&D services, emphasizing research into key generic technologies for industry, technology transfer, and enterprise incubation, as well as related R&D, commercialization, and support services. Revenue from product sales generally does not exceed 40% of total revenue.
IV. Institutional Mechanisms
(1) Implement a new management system. New R&D institutions shall adopt a decision-making system based on a council or board of directors and a system of responsibility under the director (institute director, general manager). They shall formulate bylaws in accordance with laws, regulations, and agreements with investors to standardize management and operations. A scientific and technological advisory mechanism shall be established to provide consultation on the development strategies and major scientific and technological issues of new R&D institutions.
(2) Establish a Flexible Operational Mechanism. Explore the establishment of a new mechanism featuring autonomous decision-making, market-oriented operations, and flexible personnel management. Establish a scientific R&D organizational system and an innovation model characterized by the deep integration of multiple elements, allowing for the autonomous determination of R&D topics and the flexible organization of R&D teams. A mixed-ownership operating company with diversified investment may be established to be responsible for the business management of the new R&D institution.
(3) Implement a market-oriented income distribution system. Establish an income distribution mechanism that aligns with innovation capabilities and performance.Encourage personnel from universities and research institutions to engage in part-time technical R&D and services at new R&D institutions through project collaboration or similar arrangements. Such engagements may be managed in accordance with contracts signed by both parties, with compensation paid as stipulated in the contracts. Allow for various distribution forms, including annual salary systems, negotiated wage systems, and project-based wage systems. There shall be no proportional restrictions on performance-based expenditures from indirect funding; such expenditures shall be included in the total wage statistics and shall not be subject to the performance-based wage caps of the host institution.
(4) Establish a scientific project generation mechanism. Leverage the role of advisory committees to focus on solving the scientific problems underlying major technologies and addressing key common industrial technologies. Explore new project organization methods, such as the “challenge-based” and “competitive” systems, that align with the characteristics of various new R&D institutions. Emphasize industrial validation and market testing of projects to ensure they are forward-looking, innovative, and capable of driving industrial development.
(5) Innovate the management of fiscal funding. For projects receiving stable support from the provincial government, institutions may, on the basis of “budget plus negative list” management, independently decide on measures such as lump-sum research funding and internal salary incentives; surplus project funds may be carried over to the following year for use in accordance with regulations.Competent authorities shall strengthen supervision and guidance, conduct performance evaluations that “conform to the laws of scientific research and emphasize results-oriented outcomes,” and link performance results to budget allocations. Major projects utilizing provincial fiscal funds must be filed with the competent authorities.
(6) Strengthen the leadership of the Party. New-type R&D institutions shall comprehensively strengthen Party building, establish and improve Party organizations, and implement local management. They shall promote a mechanism linking Party building with operational activities, combining innovation tasks and operational characteristics to leverage the leading role of Party organizations in scientific and technological innovation, major decision-making, and management operations, ensuring that the leadership of the Party is fully implemented.
V. Responsibilities at All Levels
The Provincial Department of Science and Technology shall fulfill the duties of a comprehensive coordinating and managing authority. It is responsible for formulating development plans and policies for provincial-level new R&D institutions, organizing and carrying out filing and recognition, performance evaluation, and dynamic management, conducting comprehensive evaluations of management and service work in various cities, and disseminating the evaluation results.
The Science and Technology Bureaus of prefecture-level cities and relevant provincial departments serve as the competent authorities for provincial-level new R&D institutions. They are responsible for fostering, recommending, and providing supervisory services for such institutions within their respective regions and industries, and shall cooperate with the Provincial Department of Science and Technology in conducting performance evaluations and other related tasks.
The sponsoring entities serve as the specific guiding or lead construction units for provincial-level new R&D institutions. In accordance with the principle of “whoever sponsors is responsible, and whoever establishes may dissolve,” they are responsible for the establishment, dissolution, and performance supervision of provincial-level new R&D institutions, and shall provide adequate support for the sustainable development of these institutions.
VI. Organizational Guarantees
(1) Strengthening Collaborative Advancement. Provincial departments and municipal people’s governments shall increase their support, formulate policies to accelerate the development of new R&D institutions; strengthen coordination between provincial and municipal levels; support new R&D institutions in conducting strategic collaboration and joint research; and coordinate the resolution of major issues encountered in the development of new R&D institutions.
(2) Scientific Performance Evaluation. Establish a categorized performance evaluation system that emphasizes innovation quality and actual contributions. For new R&D institutions undertaking major government tasks, establish a task assessment mechanism and a medium- to long-term comprehensive evaluation mechanism centered on innovation performance. Implement dynamic management, using performance results as a key basis for institutional continuation and funding support.
(3) Strengthening Integrity. Improve systems for scientific integrity, scientific ethics, and scientific supervision. Institutions found to have seriously violated requirements for scientific integrity or ethics shall be resolutely expelled; the science and technology department shall record such violations in the scientific misconduct registry, bar them from reapplying for three years, and, where appropriate, recover any benefits obtained by the responsible units and individuals in accordance with regulations.
These guidelines shall take effect upon issuance and remain valid until December 31, 2026.
