Original Title: Notice of the Shandong Provincial Department of Science and Technology on Issuing the "Measures for the Filing and Performance Evaluation of Provincial-Level New R&D Institutions in Shandong Province"
Chapter I General Provisions
Article 1 These Measures are formulated to strengthen the construction and management of provincial-level new R&D institutions in Shandong Province, in accordance with the "Law of the People’s Republic of China on Scientific and Technological Progress," the Ministry of Science and Technology’s "Guiding Opinions on Promoting the Development of New R&D Institutions," and the spirit of our province’s "Guiding Opinions on Promoting the High-Quality Development of Provincial-Level New R&D Institutions," among other relevant documents.
Article 2 The term “new-type R&D institutions” as used in these Measures refers to independent legal entities with public R&D attributes, characterized by diversified investment sources, modern management systems, market-oriented operational mechanisms, and flexible personnel systems, primarily engaged in scientific research, technological innovation, and R&D services. These institutions are registered or recorded in Shandong Province in accordance with the law as private non-enterprise units (social service institutions), public institutions, or enterprises.
Chapter II: Development Models
Article 3 The establishment of new R&D institutions shall follow the following models:
(1) The “Government+” Model. The government takes the lead in attracting top-tier domestic and international universities, research institutions, or high-level talent teams, as well as central state-owned enterprises, large state-owned enterprises from outside the province, and Fortune 500 companies to establish new R&D institutions in Shandong, or to jointly establish such institutions with universities and research institutions within the province.
(2) “Enterprise+” Model. Leading enterprises in industrial chains and industry-leading enterprises serve as the primary investors and builders, integrating innovation resources from universities, research institutions, and other relevant entities to jointly establish such institutions.
(3) The “Talent+” Model. High-level innovative leaders and high-caliber innovation teams collaborate with enterprises to establish institutions. These talent teams take the lead in R&D and technology commercialization through equity participation, while enterprises provide support and guarantees for their R&D and commercialization activities.
(4) Other Models. Support research institutes and similar entities in innovating their institutional mechanisms and governance models to transition into new-type R&D institutions.
Chapter 3 Conditions for Filing
Article 4 Applicants for the filing of new R&D institutions must meet the following basic conditions:
(1) Possess independent legal person status, have been registered in Shandong Province for at least one year, and have their primary office and research facilities located in Shandong.
(2) Its primary business activities include conducting basic research, applied basic research, R&D of key generic technologies for industry, technology transfer and commercialization, and R&D services.
(3) Possess a modern management system, including flexible talent incentive mechanisms, open recruitment and employment mechanisms, sound personnel and compensation systems, financial management systems, market-oriented decision-making mechanisms, and efficient mechanisms for the transformation of scientific and technological achievements.
(4) Possess a talent team with a relatively reasonable and stable structure and strong R&D capabilities, with no fewer than 20 full-time R&D personnel (calculated as those who actually work for more than 90 days per year), and personnel holding a doctoral degree or senior professional title accounting for no less than 30% of the total R&D workforce.
(5) Possess sound financial standing and stable revenue sources. The total of capital contributions, revenue from technology development, technology transfer, technical services, and technical consulting, revenue from government procurement of services, and funding received from undertaking scientific research projects shall account for more than 60% of total annual revenue. R&D expenditure in the previous fiscal year shall account for no less than 30% of total annual revenue.
(6) Possess the research facilities, scientific instruments and equipment, and permanent premises necessary to conduct R&D and testing, with research space of at least 500 square meters and the original value of instruments and equipment generally exceeding 5 million yuan; R&D service-oriented institutions must possess the conditions and facilities necessary to provide R&D services.
(7) The sponsoring entity (investor) must be able to provide support for the management, operation, and R&D innovation of the new R&D institution.
(8) Entities primarily engaged in manufacturing, sales and operations, teaching and education, testing and inspection, or park management are not included in the scope of new R&D institutions.
(9) There have been no violations of laws or regulations or serious acts of bad faith in the past two years.
Chapter IV Filing Procedures
Article 5 Provincial-level new R&D institutions are managed under a filing system. Entities seeking filing shall submit an application, which will be reviewed and recommended by the science and technology bureau of the prefecture-level city, and the Provincial Department of Science and Technology shall process the filing in accordance with established procedures.
Article 6 Filing Procedures:
(1) Issuance of Notice. The Provincial Department of Science and Technology issues a filing notice and processes applications in batches, generally once every six months.
(2) Application by the Entity. The applicant logs into the Shandong Science and Technology Cloud Platform, enters relevant information in the New R&D Institution Filing System, and uploads supporting materials. The applicant is responsible for the objectivity, authenticity, and legality of the submitted materials.
(3) Departmental Recommendation. The Science and Technology Bureau of the prefecture-level city conducts a preliminary review of the submitted materials on the Science and Technology Cloud Platform, provides a recommendation, and submits a written report to the Provincial Department of Science and Technology after consolidation.
(4) Review and Evaluation. The Provincial Department of Science and Technology conducts a formal review, organizes experts or commissions third-party institutions to conduct on-site inspections and evaluations, and issues inspection opinions.
(5) Public Notice and Filing. Based on the evaluation opinions, the Provincial Department of Science and Technology shall propose a list of institutions to be filed and publish it for public notice. If no objections are raised during the public notice period, the institutions shall be officially filed.
Article 7 If a provincial-level new R&D institution experiences major changes such as a name change, a change in the sponsoring entity or investment entity, significant personnel changes, or equity adjustments, it shall report such matters in writing to the Provincial Department of Science and Technology within one month of the occurrence for qualification verification. If it still meets the filing standards, its status as a provincial-level new R&D institution shall be retained.
Article 8: For new R&D institutions engaged in strategic, forward-looking, or disruptive research that are urgently needed for the province’s industrial development, the Provincial Department of Science and Technology may organize an evaluation on a case-by-case basis and file them in accordance with established procedures.
Article 9: If, following construction and development, a new R&D institution undergoes changes in its functional positioning, development model, or primary operations such that it no longer meets the filing standards for provincial-level new R&D institutions, it shall be removed from the filing roster.
Chapter V Performance Evaluation
Article 10 The Provincial Department of Science and Technology shall conduct regular performance evaluations of filed provincial-level new R&D institutions. The scope of performance evaluation shall include institutional management and operations, scientific research activities, and output benefits. Provincial-level new R&D institutions shall promptly report performance evaluation data as required and submit annual self-evaluation reports. Self-evaluation reports shall be submitted to the sponsoring entity and the municipal science and technology bureau for review and approval.
Article 11 Adhering to a categorized performance evaluation approach, an evaluation system shall be established based on three categories: scientific research, technological innovation, and R&D services. Evaluation indicators shall be scientifically designed to emphasize innovation quality and practical contributions.For the scientific research category, the evaluation shall focus on the ability to address major scientific problems, as well as contributions to basic research and applied basic research; for the technological innovation category, the evaluation shall focus on overcoming key core technological challenges, resolving common industrial technical issues, and promoting engineering and industrialization; for the R&D services category, the evaluation shall focus on the effectiveness of technology transfer, business incubation, and industrial services.
Article 12 Performance evaluation consists of self-assessment, expert evaluation, and on-site evaluation. Based on the self-assessment, the Provincial Department of Science and Technology shall organize experts or commission third-party institutions to conduct expert evaluations and on-site evaluations.
(1) Self-Assessment. New R&D institutions shall prepare the “Performance Self-Assessment Report for New R&D Institutions” as required, report annual performance data on the cloud platform, and upload supporting materials. Municipal science and technology bureaus may conduct evaluations through on-site inspections or expert reviews to determine the self-assessment results; in principle, the proportion of institutions rated “Good” or higher shall not exceed 50% of the total.
(2) Expert Evaluation. The Provincial Department of Science and Technology appoints experts to evaluate new R&D institutions that received a "Good" or higher rating in the self-evaluation via the Science and Technology Cloud Platform. Evaluation results are categorized as "Excellent," "Good," "Pass," or "Fail." In principle, the proportion of "Excellent" ratings shall not exceed 30%.
(3) On-site Evaluation. Based on the type of institution and field of research, new R&D institutions rated as “Excellent” or “Unsatisfactory” in the expert evaluation will undergo categorized on-site evaluations, primarily involving on-site inspections and verification of the authenticity of relevant materials.
Article 13 A dynamic management mechanism shall be implemented. New R&D institutions that receive a “Fail” rating in the self-evaluation or fail the on-site performance evaluation in any city shall be removed from the filing list by the Provincial Department of Science and Technology.
Article 14: Where any of the following circumstances apply, the filing qualification may be revoked depending on the severity of the situation:
(1) Failure to meet filing requirements due to significant changes or failure to report such changes;
(2) Failure to submit important materials, such as the annual performance self-assessment report, by the deadline;
(3) Being found to have provided false materials or data;
(4) Serious research integrity issues have occurred;
(5) The entity has been subject to administrative penalties for serious violations of the law;
(6) Entities unable to operate normally due to suspension of operations, bankruptcy, or other reasons;
(7) Other circumstances warranting the revocation of filing status.
Article 15 Entities removed from the filing list or whose filing status is revoked shall no longer be eligible for relevant support policies for provincial-level new R&D institutions. Entities whose filing status is revoked may not apply for filing as a provincial-level new R&D institution for a period of three years.
Chapter VI Support Measures
Article 16 From the date of filing, provincial-level new R&D institutions shall be eligible for the support policies outlined in the “Several Measures on Supporting the Development of New R&D Institutions” (Lu Ke Zi [2020] No. 145). New R&D institutions that receive an “excellent” rating in performance evaluations may be supported through competitive innovation platform projects, and they or their recommended projects shall be given priority for inclusion in the science and technology equity investment project pool.
Article 17 Exemption from liability shall be granted to those who: (1) perform their duties boldly and carry out work creatively; (2) make mistakes not due to intentional misconduct and do not cause significant losses; (3) actively explore the use of new mechanisms, methods, models, or technologies but fail to achieve expected goals; or (4) deviate from established norms due to the absence of national precedents or unclear policy boundaries.
Chapter VII Supplementary Provisions
Article 18 The Provincial Department of Science and Technology shall be responsible for interpreting these Measures.
Article 19 These Measures shall come into effect on January 24, 2024, and remain valid until December 31, 2026.
