GKBZ [2022] No. 5
General office (office) of relevant competent department (unit):
In accordance with the requirements of the Central Reform Office to supervise the implementation of several opinions on expanding the autonomy of universities and scientific research institutes in scientific research, the Ministry of Science and Technology, the Ministry of Education, the Ministry of Finance and the Ministry of Human Resources and Social Security jointly prepared the Q&A Manual on Several Opinions on Expanding the Autonomy of Universities and Scientific Research Institutes in Scientific Research in consultation with the Central Reform Office. Now the manual is printed and distributed to you, and it is made public through the official website of the Ministry of Science and Technology for reference when implementing the reform of autonomy. At the same time, please reprint the manual through the official website of your department (unit) to guide the universities and research institutes to do a good job in the reform of autonomy.
Contact person and telephone number: Zhang Ying, Political System Department, Ministry of Science and Technology, 58881780;
Li Wei, 58881765
General Office of the Ministry of Science and Technology General Office of the Ministry of Education General Office of the Ministry of Finance
General Office of Human Resources and Social Security Department
February 18, 2022
(This document is actively disclosed)

Q&A Manual on Several Opinions on Expanding the Autonomy of Universities and Scientific Research Institutes in Scientific Research
1、 What role should the competent department play in the process of formulating and improving the articles of association of the affiliated universities and research institutes?
The Constitution is the basic criterion for the operation and development of universities and research institutes.
For colleges and universities, in accordance with the Interim Measures for the Formulation of the Constitution of Colleges and Universities (Order No. 31 of the Ministry of Education), the constitution of colleges and universities run by local governments shall be approved by the provincial education administrative department. After the approval of the constitution of colleges and universities above the undergraduate level, it shall be reported to the Ministry of Education for the record; The articles of association of institutions of higher learning directly under the Ministry of Education shall be approved by the Ministry of Education; The articles of association of other colleges and universities affiliated to the central department shall be approved by the competent department and submitted to the Ministry of Education for approval. In the process of approval, the legality, rationality, legitimacy, normative expression and procedural completeness of the Articles of Association shall be reviewed and submitted to the Articles of Association Approval Expert Committee and relevant departments and bureaus of the Ministry for comments. After forming the modification opinions, they shall be fed back to the school, communicated with the school and guided to modify and improve the text of the articles of association, submitted to the Party Leadership Group of the Ministry of Education for deliberation, and printed and distributed in the form of the approval letter of the articles of association.
For scientific research institutions, according to the Several Opinions on Expanding the Autonomy of Universities and Scientific Research Institutes in Scientific Research (GKFZ [2019] No. 260) and the Guiding Opinions on the Formulation of the Constitution of Central Scientific Research Institutions (GKFC [2017] No. 224), the competent departments of scientific research institutions should organize their subordinate scientific research institutions to carry out the formulation and improvement of the Constitution, And send personnel to participate in the drafting group of the articles of association of scientific research institutions. The competent department shall review the articles of association, review application letter and drafting instructions submitted by scientific research institutions, and formally reply to inform them of the review results. If the articles, words and contents of the Articles of Association are to be modified, the competent department shall communicate with the scientific research institutions and propose modification suggestions. In case of violation of laws, regulations and policies and overstepping the responsibilities and authorities of scientific research institutions in the formulation of the Articles of Association, the competent department may require the scientific research institutions to re apply for review after modification. In case of any change of name, division, merger, termination, or change of strategic orientation, development goals, management system and other major issues of universities and research institutes, the Articles of Association shall be revised according to the procedures specified in the Articles of Association, and the competent authority shall review the revised Articles of Association.
2、 What should the articles of association of colleges and research institutes include?
The constitution of institutions of higher learning should be formulated under the guidance of the theoretical system of socialism with Chinese characteristics and on the basis of the Constitution, laws and regulations, adhere to the socialist orientation in running schools, implement the Party's educational policies, follow the laws of higher education, and promote the scientific development of institutions of higher learning; We should promote reform and innovation, improve the internal corporate governance structure in accordance with the law, and reflect and protect the successful experience and institutional achievements of school reform and innovation, centering on the tasks of talent training, scientific research, serving the society, promoting cultural inheritance and innovation, and international exchange and cooperation; We should focus on improving the system and mechanism of independent management and self-restraint of schools to reflect the school running characteristics of schools. According to the relevant provisions of the Interim Measures for the Formulation of the Articles of Association of Institutions of Higher Learning (Decree No. 31 of the Ministry of Education), the articles of association of institutions of higher learning should include the following contents:
First, the registered name, abbreviation and English translation of the school, as well as the place and domicile of the school.
The second is the nature of the school, its development orientation, training objectives and school running direction.
The third is the level and scale of education approved by the examination and approval authority.
Fourth, the main disciplines of the school, as well as the principles and procedures of setting and adjustment.
The fifth is the nature, purpose and requirements of different education forms implemented by the school, such as full-time and part-time education, academic education and non academic education, distance education, and Sino foreign cooperation in running schools.
Sixthly, the school's leadership system, legal representative, organizational structure, decision-making mechanism, democratic management and supervision mechanism, and the composition, responsibilities and management system of the internal institutions.
Seven is the source channel, property attribute, use principle and management system of school funds, and the rules and methods of accepting donations.
Eighth, the sponsor of the school, the way and standard of the sponsor's management or assessment of the school, the mechanism for the creation and appointment of the school leader, and the sponsor's investment and guarantee obligations.
The ninth is the initiation and review procedures of the amendment of the Articles of Association, as well as the ownership of the right to interpret the Articles of Association.
Ten is the reason for the separation, merger and termination of the school, the school logo, school song and other school symbols, the relationship between the school and relevant social organizations and other important matters that the school deems necessary.
Scientific research institutes should fully implement the requirements of strict governance of the Party, put Party leadership and Party building through the whole process of formulating the articles of association, strengthen leadership and political control, and ensure that the content of Party building is fully reflected; It shall comply with relevant laws, regulations, plans and policies, as well as the document requirements of the central preparation office and competent departments on the responsibilities, institutions and preparation of the unit. According to the Guiding Opinions on the Formulation of the Articles of Association of Central Scientific Research Institutions (GKFC [2017] No. 224), the articles of association of scientific research institutions shall include the following contents:
First, basic terms. Including unit name, function orientation, development goals, business scope, sponsor, source of funds, leadership system, change procedure of legal representative, appointment and removal procedure of main responsible person, etc.
The second is the leadership system. For scientific research institutions that implement the director (president, director, director, etc.) responsibility system, the articles of association should specify that the party organization plays a political core role. For scientific research institutions that implement the director (president, director, director, etc.) responsibility system under the leadership of the party committee or set up a party group, the articles of association should specify that the party organization or the party group plays a leading role and leads the work of the unit in a unified way.
Third, the special work committee. The role and responsibilities of the academic committee, title review committee, post employment committee, degree evaluation committee and other special working committees, the generation and composition of directors and members, and the rules and procedures for title review, post employment, and degree awarding.
Fourth, the staff meeting. Responsibilities, composition, formation mechanism and procedures of the staff general meeting or representative meeting.
Fifth, scientific research management system. Performance evaluation, incentive for scientific and technological innovation, reward for transformation of scientific research achievements, income distribution from transfer of service invention achievements, etc.
Sixth, personnel management system. The qualifications, responsibilities, employment, dismissal, assessment, rewards and punishments of personnel in management posts, professional and technical posts, and work attendance skills posts, the main responsibilities, appointment and dismissal of heads of internal institutions, and the qualifications, responsibilities, appointment and dismissal, rewards and punishments of academic leaders.
Seventh, financial asset management system. Budget management, financial management, asset management, audit supervision and other management matters and rules.
At the same time, scientific research institutions with a council should clarify the status, role, generation mechanism of the council, as well as the generation, composition and qualifications of the chairman and directors, and the position and role of the party organization in the corporate governance structure.
3、 What procedures should universities and scientific research institutes follow in formulating their articles of association?
In accordance with the Interim Measures for the Formulation of the Constitution of Colleges and Universities (Order No. 31 of the Ministry of Education) and the Guiding Opinions on the Formulation of the Constitution of Central Scientific Research Institutions (GKFC [2017] No. 224), colleges and research institutes shall perform the following procedures in formulating the constitution:
1. Organize drafting. Colleges and universities and scientific research institutes should establish a drafting group for the articles of association, led by the main person in charge of the unit, with members including the scientific researchers, management representatives, representatives of the sponsor, experts and scholars in relevant scientific research fields, and pay attention to the participation of external experts, service objects, government departments, etc. During the drafting process of the Articles of Association, full communication and consultation shall be made with the organizer and relevant departments.
2. Soliciting opinions extensively. In the process of drafting the articles of association, the opinions of various personnel in the unit, especially researchers and teachers, should be widely heard. For major issues involving the strategic positioning, field layout, development objectives, management system of the unit, as well as the vital interests of personnel in management posts, professional and technical posts, and work skills posts, various ways should be taken to solicit opinions and fully demonstrate. The articles of association of colleges and universities should also seek the opinions of students, alumni, co construction units, etc.
3. Submit to the staff meeting for discussion. The draft articles of association shall be submitted to the staff plenary meeting or the staff congress for discussion. The person in charge of the drafting group of the Articles of Association shall explain the drafting of the Articles of Association and key issues to all employees or their representatives. After discussion, the draft articles of association will be publicized in the unit, and employees can put forward suggestions on the draft articles of association.
4. Submit for review. After soliciting opinions on the draft articles of association, the drafting group shall submit the draft articles of association, drafting instructions, opinions and suggestions from the staff plenary meeting or the staff congress, as well as modification instructions, to the hospital (institute) affairs meeting/president's office meeting or the party committee (party group) meeting for deliberation.
5. Review and filing.
The articles of association of institutions of higher learning run by local governments shall be examined and approved by the provincial education administrative department. After the articles of association of institutions of higher learning at or above the undergraduate level are examined and approved, they shall be reported to the Ministry of Education for the record; The articles of association of institutions of higher learning directly under the Ministry of Education shall be approved by the Ministry of Education; The articles of association of other colleges and universities affiliated to the central department shall be approved by the competent department and submitted to the Ministry of Education for approval. After being approved, the articles of association of colleges and universities shall be submitted to the registration administration organ for informational filing.
The articles of association of the scientific research institute shall be reviewed by the institute's (institute's) executive meeting or the party committee's (group's) meeting, and then submitted to the sponsor for review and approval. The relevant departments and bureaus of the sponsor shall solicit the opinions of the Department of Policies, Regulations and Innovation System Construction of the Ministry of Science and Technology in writing, and attach the drafting instructions of the articles of association, the legal person certificate of the public institution, the "Three Determinations" and other relevant documents. The drafting description of the Articles of Association shall introduce the organization drafting stage, the stage of soliciting the opinions of the staff and workers of the unit, and the submission to the institute meeting for deliberation. At the same time, it shall be clear that the contents of the Articles of Association do not violate laws, regulations and national policies. The Department of Policies, Regulations and Innovation System Construction of the Ministry of Science and Technology, after organizing expert consultation and soliciting opinions from relevant parties, will give written feedback on the modification suggestions, and scientific research institutes will modify and improve the articles of association accordingly. After being approved, the articles of association of scientific research institutes shall be submitted to the science and technology administrative department and the registration authority for notification filing. Publish the official text of the Articles of Association through the company's website and other channels, and make it public to the company and the society. If the contents of the Articles of Association are classified, the relevant provisions of the state on confidentiality shall be strictly followed.
4、 How to ensure the management and operation of universities and research institutes in accordance with the Articles of Association?
In the process of management and operation of colleges and universities and scientific research institutes in accordance with the Articles of Association, the competent departments should adhere to the combination of streamlining administration and delegating power with effective supervision, minimize the government's micro management and direct intervention in the internal affairs of colleges and universities and scientific research institutes, strengthen the overall grasp of the development direction, and ensure the organic combination of full delegating power and effective undertaking, improving internal governance and strengthening external supervision, encouraging accountability and accountability Power is consistent with responsibility.
5、 How do colleges and universities make plans?
The formulation and implementation of development plans belong to the autonomy of colleges and universities. The Ministry of Education has the obligation to guide and supervise the formulation and implementation of the development plan of directly affiliated universities at the macro level. Under the leadership of the Party Committee of the university, the universities directly under the university set up a leading group and a special class to carry out the planning work. The Ministry of Education reviews the school planning text, forms the review opinions, and then feeds them back to the school. The school will modify and improve according to the opinions of the Ministry of Education. The planning text of the school is reviewed and approved by the plenary meeting of the Party Committee of the school, submitted to the Ministry of Education for the record and released to the public. The Ministry of Education will explore the establishment of the planning implementation report and adjustment system, strengthen the supervision and inspection of the implementation of the plan of the universities directly under it, and promote the universities to adjust the plan appropriately according to the new situation, new requirements and the implementation of the plan. At the closing stage of the plan, the implementation of the plan of each university will be assessed to promote the high-quality implementation of the plan.

6、 How should scientific research institutes formulate performance objectives and indicators?
The Interim Measures for the Performance Evaluation of Central Scientific Research Institutions (GKFC [2017] No. 330), Opinions on Deepening the Reform of Project Review, Talent Evaluation, and Institutional Evaluation, and Several Opinions on Expanding the Autonomy of Universities and Scientific Research Institutes (GKFZ [2019] No. 260) and other documents specify the requirements for the development of performance indicators, and the performance objectives, indicators The work plan is proposed by the scientific research institution, and after being approved by the competent department, the competent department will submit the performance objectives and indicators to the Ministry of Science and Technology for filing. The indicators of achievement should meet the following criteria:
1. Clear guidance. Set performance goals according to the responsibility orientation, national science and technology development plans and policies, industry development plans, and scientific and technological innovation trends in relevant fields as stipulated in the documents of the central preparation office and competent departments on the responsibilities, institutions, documents prepared, and the articles of association of scientific research institutions. For qualified scientific research institutions, explore and implement the contract management system, and agree on performance objectives through contracts.
2. Be specific and clear. Performance objectives and performance indicators should have time nodes, clear directions, specific and clear contents, and quantitative and qualitative indicators should be comparable and assessable.
3. Scientific and feasible. The performance objectives shall fully consider the laws and characteristics of scientific research activities, adapt to the budget investment or amount of funds, and conform to the objective reality and scientific feasibility after full investigation, research and demonstration. The performance indicator data is standardized and easy to collect.
4. Classification. According to the characteristics of disciplines, different types of scientific research institutions should formulate performance objectives by category. The five-year comprehensive performance objectives and annual performance objectives should be organically combined and orderly connected, and the five-year comprehensive performance objectives can be achieved through the accumulation of annual performance objectives.
Performance objectives include expected output, expected effect, service object and social public satisfaction. It should mainly include scientific and technological innovation achievements and levels, talent team and condition platform construction, scientific research achievements promotion and application, scientific communication, scientific and technological services, scientific research organization and management mechanism innovation.
7、 How does the competent department carry out performance evaluation for universities and research institutes?
For universities, the Ministry of Education takes the performance of university scientific research as an evaluation factor in discipline evaluation, financial allocation and other work. Next, the Ministry of Education will take innovation quality and contribution as the value orientation, follow the principles of classified evaluation, representative achievement evaluation, medium and long-term evaluation, and adopt the method of combining quantitative and qualitative evaluation, annual monitoring and medium and long-term performance evaluation to study and establish the performance evaluation system of university scientific research. When conditions are ripe, universities will be organized to carry out pilot projects, and the performance evaluation results will be studied and used together with relevant departments.
In terms of scientific research institutions, according to the Interim Measures for the Performance Evaluation of Central Scientific Research Institutions (GKFC [2017] No. 330), the competent department organizes or entrusts evaluation institutions to reasonably use expert evaluation, market evaluation, literature measurement, case analysis Questionnaire survey and other methods were used to analyze and evaluate, and preliminary conclusions were formed. The competent department shall feed back the preliminary conclusions of the evaluation to the scientific research institutions, and form the department evaluation report by referring to the opinions and suggestions submitted by the scientific research institutions.
During the performance evaluation of universities and research institutes, the competent department shall formulate its own performance evaluation method, organize its affiliated universities and research institutes to carry out self-evaluation, and conduct self-evaluation on budget implementation, policies and project implementation effects. The self-evaluation shall be complete in content, reasonable in weight, true in data and objective in results. After summarizing the self-assessment results, the competent department shall strengthen the review and application of the self-assessment results. The university performance evaluation report shall be submitted to the Ministry of Finance, and the performance evaluation report of scientific research institutes shall be submitted to the Ministry of Science and Technology, the Ministry of Finance, and the Ministry of Human Resources and Social Security.
8、 How long is the cycle of performance evaluation of scientific research institutes?
In accordance with the provisions of Several Opinions on Expanding the Autonomy of Universities and Scientific Research Institutes in Scientific Research (GKFZ [2019] No. 260) and Opinions on Deepening the Reform of Project Review, Talent Evaluation and Institutional Evaluation, a long-term performance evaluation mechanism for central level scientific research institutions that combines comprehensive evaluation with annual spot check evaluation should be established. Carry out comprehensive evaluation on scientific research institutions with a five-year evaluation cycle. During the five years, annual spot check and evaluation will be carried out in a certain proportion, focusing on the completion of annual performance and other key aspects.
9、 How do the performance evaluation results of scientific research institutes link up with the organizational structure management?
According to the Regulations on the Organizational Structure of the Communist Party of China, the organizational structure committee offices at all levels shall objectively evaluate the implementation and efficiency of organizational structure, and the evaluation results shall serve as an important basis for improving organizational structure management and optimizing the allocation of organizational resources. The Measures for the Management and Evaluation of Organizational Structure (for Trial Implementation) (Z.F.W.F. [2021] No. 2) clearly and specifically stipulate the relevant evaluation work.
The departments (units) 'performance of their duties and benefits are important contents and indicators of the organizational establishment management evaluation. The organization establishment management evaluation will make full use of the performance evaluation results of scientific research institutions, reduce duplication of work and improve the evaluation efficiency. At the same time, strengthen the organic connection with the performance evaluation of scientific research institutions, and promote information sharing, data sharing, and mutual trust in results.
10、 Whether the optimization and adjustment of internal institutions of universities and research institutes still need approval?
In terms of colleges and universities, the Higher Education Law clearly stipulates that "colleges and universities independently determine the setting and staffing of internal organizations such as teaching, scientific research and administrative functional departments according to actual needs and the principle of simplification and efficiency". Colleges and universities subordinate to the Ministry of Education and other central departments independently manage the optimization and adjustment of internal institutions, which do not need to be reported to the competent department for approval in actual work. At the same time, in order to implement the spirit of relevant documents such as the Regulations on the Organization of the Communist Party of China, the Ministry of Education requires universities directly under the Ministry of Education to formulate special measures for the establishment of internal institutions, further standardize the management of institutional establishment, tighten procedures, improve the system, and scientifically and rationally set up internal institutions in schools according to their authority.
In terms of scientific research institutions, according to the Measures for Filing Organizational Organizational Matters (CBF [2013] No. 142), the establishment, cancellation or merger of the department level institutions within the central and state organs shall be reported annually by the central and state organs to the central office for filing. Public institutions directly under the Party Central Committee and the State Council, mass organization organizations directly under the management of the central organization staffing department, and public institutions affiliated to relevant public institutions shall refer to these Measures for filing. The provincial organization establishment department may refer to these Measures and formulate corresponding measures in combination with the actual situation. According to the provisions of Several Opinions on Expanding the Autonomy of Universities and Scientific Research Institutes in Scientific Research (GKFZ [2019] No. 260), scientific research institutes can independently set up, change and cancel their internal institutions within the scope of functions specified in the articles of association, according to the national strategic needs, industry development needs and scientific and technological development trends, in accordance with the principles of simplification and efficiency.
11、 What are the procedures for the person in charge of major science and technology projects to adjust the technical route and participants?
In terms of major science and technology projects, the Provisions on the Administration of National Major Science and Technology Projects (Minkou) (GKFZ [2017] No. 145) clearly stipulates that: during the implementation of major projects, first, major adjustments involving the objectives, budget estimates, progress, organization and implementation methods of major projects should be proposed by the leading organization unit, reviewed by the Ministry of Science and Technology, the Development and Reform Commission and the Ministry of Finance, and then submitted to the State Council for approval. Second, the leading organization unit shall report to the three departments in accordance with the procedures for matters involving major special stage implementation plan objectives, annual budget estimates and major adjustments to the total annual budget. Third, other general adjustments involving the implementation plan of major special stages and the annual plan shall be approved by the leading organization unit and reported to the three departments for filing. Fourth, for general projects (topics) that need to be adjusted or cancelled, professional institutions shall put forward written opinions, submit them to the leading organization unit of major special projects for approval, and submit them to the three departments for filing.
The Ten Measures to Further Deepen Management Reform and Stimulate Innovation Vigor to Ensure the Completion of the Set Goals of National Major Science and Technology Projects (GKFZ [2018] No. 315) further clarifies that: First, the scientific researchers of major projects will be given greater decision-making power over their technical routes. The person in charge of major special projects has the right to independently select and adjust the technical route. During the application period of scientific research projects, the technical route proposed by the person in charge of the project shall be the main argument. During the implementation period of scientific research projects, the person in charge of the project can independently adjust the research scheme and technical route on the premise that the research direction remains unchanged and the application target is not lowered, and report to the professional project management organization for filing. The competent department of the unit and the project management department fully respect the opinions of scientific researchers and take the lead in organizing the unit to implement the responsibilities of service, guarantee and supervision. Second, scientific research institutions should be given the right of autonomy in the management and use of funds for scientific research projects. Except for the equipment cost, the right to adjust the costs of other subjects is delegated to the project undertaking unit, which improves the management system and handles the adjustment procedures for scientific researchers in a timely manner. Third, further implement the management reform of major special budget estimates. On the premise of not breaking through the stage budget estimate, the leading organization unit can timely apply for the inter annual adjustment of the annual budget estimate. The budget arrangement for new projects can be independently determined by the special project within the control amount of the annual budget estimate, combined with the review results.
In terms of key R&D plans, the Notice of the Ministry of Science and Technology and the Ministry of Finance on Further Optimizing the Management of National Key R&D Projects and Funds (GKFZ [2019] No. 45) is clear, giving researchers greater decision-making power over technical routes. During the application period of scientific research projects, the technical route proposed by scientific researchers shall be taken as the main argument; During the implementation of the scientific research project, the scientific researchers can adjust the research scheme and technical route independently without changing the research direction and lowering the assessment indicators, and the project leader shall report to the professional project management organization for filing. The person in charge of the scientific research project can independently establish a scientific research team according to the requirements of the project during the application period; In combination with the progress of the project, the corresponding adjustment shall be made according to the regulations during the implementation period, and the backbone and general participants of the project shall be adjusted independently on the premise of complying with the provisions on the limitation of scientific research personnel and meeting the requirements of integrity. The project leader shall report to the professional organization of project management for filing.
In order to further expand the autonomy of scientific researchers, the adjustment of national key R&D projects shall be handled according to the principle of hierarchical classification. Except for major adjustments such as the project (subject) leader, person in charge, implementation cycle, main assessment indicators, project cancellation or termination, other general adjustments shall be submitted to the project leader for approval and implementation, such as technical route adjustment, project participants adjustment and other matters need not be submitted to professional institutions for approval. If it is really necessary to apply for major adjustment, the project leader shall apply for project adjustment through the national science and technology management information system, and submit formal written application materials to professional institutions. The professional organization shall review and evaluate the relevant adjustment matters proposed by the project leader, conduct necessary expert consultation or on-site investigation and survey, study and propose handling suggestions, and reply to the project leader according to the procedure.
12、 After the implementation of "milestone" management during the project implementation, what are the process evaluations, inspections and spot checks?
In terms of major science and technology projects, the Ten Measures to Further Deepen Management Reform and Stimulate Innovation Vigor to Ensure the Completion of the Set Goals of National Major Science and Technology Projects (GKFZ [2018] No. 315) clearly requires regular inspections on key core tasks and key research topics, and in principle, random inspections should be conducted at a rate of no more than 5% within the implementation cycle of general topics, In general, process inspection is not carried out for basic research projects of free exploration with a implementation period of less than three years (inclusive). Joint inspection shall be carried out in a relatively concentrated time to avoid repeated and multiple inspections of the same subject in the same year.
In terms of key R&D plans, according to the explicit requirements of the Notice on Further Optimizing the National Key R&D Plan Projects and Fund Management (GKFZ [2019] No. 45), process inspection is generally not carried out for projects with an implementation period of less than three years. The professional organization of project management shall formulate the annual inspection work plan in advance, carry out the inspection relatively in a concentrated time, and avoid repeated inspection and multiple inspections of the same project in the same year. At the same time, pay attention to the analysis and application of existing information such as annual reports, and try to let researchers fill in less information. According to the Notice on Further Improving the Financial Management of the Comprehensive Performance Evaluation of National Key R&D Projects (GKBZ [2021] No. 137), the pre evaluation review of the project comprehensive performance evaluation is canceled.

13、 What other forms need to be filled in after the management of major science and technology projects is "subtracted"?
In terms of major science and technology projects, according to the Notice of the Department of Major Special Projects of the Ministry of Science and Technology on Further Streamlining Major Special Project Forms and Materials and Strengthening the Construction and Sharing of Information Systems (GKZH [2019] No. 3), the number of materials submitted for major special projects was reduced from 24 to 18, and 25 basic information related forms were integrated into the application and approval stage, process management stage There are three basic information tables in the comprehensive performance evaluation stage, and the actual content is reduced by about 50%. According to the integrated "one set of forms", the basic information of the newly established project shall be filled in at one time in the three stages of application, process management and acceptance to avoid repeated filling. At present, the simplified form filling requirements have been solidified into the major special management modules of the national science and technology management information system to support the management needs and form a long-term mechanism.
In terms of key R&D plans, according to the provisions of the Notice on Further Optimizing the Management of National Key R&D Projects and Funds (GKFZ [2019] No. 45), the existing forms filled in at the project level are consolidated and simplified into the basic project information table, project (topic) objectives and assessment indicators table, basic information table of participants, funds and personnel input, and economic and social benefits achieved 6 tables including the central financial fund allocation of the project leader; The tables filled in at the subject level are integrated and simplified into five tables, including the basic information table of the subject, the budget table of the subject, the fund table of the subject, the budget statement of the unit's research expenditure, and the budget statement of the equipment cost purchase trial production equipment, to achieve "one table for multiple purposes and one table for multiple functions".
14、 What are the policy bases for universities and research institutes to independently use horizontal funds?
Several Opinions on Further Improving the Central Finance Fund Management and Other Policies for Scientific Research Projects stipulates that the horizontal funds obtained by the project undertaking unit through market entrustment shall be included in the unified financial management of the unit, and shall be managed and used by the project undertaking unit according to the requirements of the entrusting party or the contract.
15、 How to implement the lump sum system for domestic travel expenses?
The Opinions of the General Office of the State Council on Reforming and Improving the Management of the Central Government's Scientific Research Funds (GBF [2021] No. 32), the Measures for the Management of the National Key R&D Plan Funds (CJ [2021] No. 178), and the Opinions on Expanding the Autonomy of Universities and Scientific Research Institutes (GKFZ [2019] No. 260) stipulate that the lump sum system has been implemented for domestic travel meals and urban transportation, We should implement the existing policies; If it is difficult to obtain invoices for the accommodation expenses, the lump sum system shall be implemented. The business trip approval and expense distribution procedures shall be standardized, and the review shall be strengthened. The lump sum expenses shall be distributed within the accommodation expense standard corresponding to the level of the business trip personnel, and shall be used by the business trip personnel as a whole.
16、 How to judge whether the consumables of scientific research instruments and equipment belong to exclusive agency and production? What are the more flexible and convenient procurement methods? What are the procedures for purchasing scientific research software and materials?
In order to judge whether the subject matter of procurement is exclusive agency or production, the purchaser can investigate the development of the relevant industry and market supply of the subject matter to be procured, and learn about the relevant situation from suppliers, relevant experts or industry organizations.
According to the relevant legal systems such as the Regulations on the Implementation of the Government Procurement Law of the People's Republic of China, there are currently six procurement methods for government procurement in China, including public bidding, invited bidding, competitive negotiation, competitive consultation, inquiry and single source. The Ministry of Finance can also identify new procurement methods according to the actual situation, and the purchaser can select appropriate procurement methods according to the legal application and the characteristics of the procurement project. For example, the procurement of large-scale equipment and other procurement projects with objective and clear procurement requirements, more complex technology or strong professionalism, are generally purchased through bidding, negotiation (consultation). If the objective indicators such as initial purchase order cannot be completely determined, the procurement project that requires the supplier to provide design scheme, solution or organization scheme will generally be purchased through negotiation (negotiation). If it is required to report to the financial department according to law to apply for changing the procurement method, it is necessary to simplify the internal management process and improve the operational efficiency.
The procurement of scientific research software (such as software packages and data processing tools) and materials shall comply with the relevant provisions of government procurement. Complete procurement procedures include the preparation of procurement budget, determination of procurement demand, preparation of procurement implementation plan, internal review, implementation of procurement procedures, determination of bid winning and successful suppliers, signing of procurement contracts, implementation of contract provisions, performance acceptance and payment of funds as agreed in the contract, proper preservation of procurement documents and other steps. Specific procurement activities should also implement the procurement of scientific research software Material related regulations.
17、 How to judge the urgently needed scientific research equipment and consumables? Is the government procurement procedure required for equipment and consumables urgently needed for scientific research?
The purchaser shall establish and improve the internal control management system of government procurement, and determine whether it is urgently needed for scientific research according to the actual needs of scientific research projects and scientific research schedule, in combination with the domestic and foreign development of relevant industries, whether there is a shortage of market supply and other factors. If the procurement activities are not carried out in a timely manner due to improper work plan arrangement, or the procurement is paid suddenly, it shall not be deemed as "urgent need for scientific research".
For urgently needed equipment and consumables for scientific research, the government procurement procedure is still required, but the bidding procedure is not required. Universities and research institutes can change the procurement method after obtaining the approval of the financial department according to law. At present, the Ministry of Finance has adopted special management policies for scientific research instruments and equipment of central universities and scientific research institutes, simplified the approval process and application materials for changing the government procurement method, and implemented a time limited completion system for projects applied by project undertaking units and meeting the requirements. In principle, it shall be completed within 5 working days from the date of receiving the change application. At the same time, the purchase of imported scientific research instruments and equipment shall be subject to the filing system, without reporting to the Ministry of Finance for review.
18、 What materials are needed for reimbursement of temporarily employed personnel and postgraduates who do not use official cards for settlement?
The Notice on Further Improving the Implementation and Management of the Central Finance's Science and Technology and Education Funds Budget (CK [2018] No. 96) stipulates that the temporary employees, postgraduates and other participants in the central finance's scientific research projects who do not have the qualification to apply for official business cards may not use official business cards to settle the travel expenses and other expenses arising from the implementation of project tasks after the approval of the project leader and the financial department of the unit, However, in principle, cash shall not be used. Whether other explanatory materials need to be provided during reimbursement shall be subject to the internal financial management regulations of the scientific research unit.
19、 Who can share the cost of doctoral training? Can it be disbursed from financial research project funds?
The state has established a doctoral education investment mechanism that focuses on government investment, educatees reasonably share the training cost, and doctoral training institutions such as colleges and universities raise funds through multiple channels. According to the Several Opinions on Further Improving the Fund Management of the Central Government's Scientific Research Projects and Other Policies and the Several Opinions of the General Office of the State Council on Reforming and Improving the Management of the Central Government's Scientific Research Funds (GBF [2021] No. 32), doctoral students participating in the project research can receive service fees from the scientific research project funds.

20、 What are the overall arrangements for the pilot reform of giving scientific researchers the title of ownership or long-term use of scientific and technological achievements?
According to the Pilot Implementation Plan for Granting Ownership or Long term Use Right of Scientific and Technological Achievements to Scientific Research Personnel (GKFZ [2020] No. 128), priority should be given to the institutions of higher learning affiliated to central departments, research institutes affiliated to Chinese Academy of Sciences, and central scientific research institutions affiliated to medical, health, agriculture and other industries that carry out the pilot reform of scientific research management based on performance, integrity and ability, Among the local colleges and universities and scientific research institutions in the Comprehensive Innovation and Reform Pilot Zone and the National Independent Innovation Demonstration Zone, a group of units with sufficient reform motivation, strong innovation ability, remarkable transformation effect and outstanding demonstration role were selected to carry out the empowerment pilot work, which lasted for three years. The types of achievements include patent rights, computer software copyrights, exclusive rights for layout and design of integrated circuits, rights for new varieties of plants, and new varieties and technical secrets of biomedicine. Achievements that may affect national security, national defense security, public security, economic security, social stability and other important national interests and major social and public interests are not included in the scope of empowerment temporarily, and the establishment of a negative list system of empowerment achievements is promoted. In October 2020, the list of 40 units to carry out pilot work was determined upon the recommendation of relevant departments and local authorities. Next, the Ministry of Science and Technology, together with relevant departments, will deeply analyze the experience of 40 pilot units formed in the pilot process, summarize the replicable and replicable reform measures, and promote them in due time.
21、 What are the tax relief policies for the transformation of scientific and technological achievements?
In order to further enhance the sense of gain of scientific and technological personnel in transforming scientific and technological achievements, the Ministry of Finance, the State Administration of Taxation, the Ministry of Science and Technology and other departments have issued a series of preferential tax policies on revenues and incentives for transformation of scientific and technological achievements. First, preferential policies for individual income tax, including the Notice on Tax Policies Related to Promoting the Transformation of Scientific and Technological Achievements (CS Zi [1999] No. 45), which stipulates that scientific research institutions and universities will reward individuals with scientific and technological achievements in the form of equity for the purpose of transforming their positions. Individuals will not pay individual income tax temporarily, and will pay individual income tax until they obtain dividends or transfer equity; According to the Notice on Individual Income Tax Policies Related to Cash Rewards for Scientific and Technological Personnel Obtaining Post based Scientific and Technological Achievements (CS [2018] No. 58), cash rewards given to scientific and technological personnel by non-profit research and development institutions and colleges and universities approved to be established according to the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements from post based scientific and technological achievements can be reduced by 50% and included in the "salary income" of scientific and technological personnel, Pay individual income tax according to law. Second, preferential policies for enterprise income tax. According to the Regulations for the Implementation of the Enterprise Income Tax Law of the People's Republic of China, in a tax year, the part of technology transfer income of resident enterprises that does not exceed 5 million yuan is exempted from enterprise income tax; For the part exceeding 5 million yuan, the enterprise income tax shall be levied by half. The third is the preferential policy of value-added tax. The Notice on the Comprehensive Implementation of the Pilot Program of Levying Value Added Tax in Lieu of Business Tax (CS [2016] No. 36) stipulates that technology transfer, technology development and related technical consulting and technical services provided to taxpayers are exempt from value-added tax.
22、 How can universities and research institutes independently organize open recruitment?
Colleges and universities and scientific research institutions may, in accordance with the procedures specified in the Regulations on Personnel Management of Public Institutions (Order No. 652 of the State Council, hereinafter referred to as the Regulations), formulate recruitment plans, set post conditions, publish recruitment information, organize public recruitment independently, and standardize post employment management. Among them, independent organization of public recruitment means that universities and scientific research institutes may, according to their needs, not participate in the public recruitment examination uniformly organized by the comprehensive personnel management department and competent department of public institutions, but the unit itself.
23、 What are the supporting policies for part-time innovation and on-the-job entrepreneurship of researchers in universities and research institutes?
When carrying out "mass entrepreneurship and innovation" activities, scientific researchers in universities and scientific research institutions can, according to the relevant policies formulated by their own units, carry out part-time innovation and establish enterprises on the job with the consent of their own units, on the premise of performing their own job responsibilities and not affecting their own work. Personnel of part-time innovation and in-service enterprises continue to enjoy the rights to participate in professional title review, project application, post competition, training, assessment, awards and other aspects, and their wages, social insurance and other benefits will not be affected. Through consultation with the unit where the personnel relationship is located, scientific researchers can practice relatively flexible and flexible working hours during part-time innovation or in-service enterprise establishment.
The personnel of a part-time innovation or in-service enterprise may apply for a professional title in a part-time unit or enterprise. Those who go to the enterprise for part-time innovation shall enjoy the same rights as the employees of the enterprise to obtain remuneration, bonus and equity incentive, unless otherwise stipulated by the state. The part-time unit or the established enterprise shall pay the industrial injury insurance premium for the personnel of the part-time innovation or in-service enterprise according to the law. If they are injured during their work outside the unit where the personnel relationship is located, they shall enjoy the industrial injury insurance benefits according to the law, and the relevant unit or enterprise shall bear the industrial injury insurance liability. Enterprises are encouraged to provide subsidies for part-time innovators to participate in personal savings pension insurance.
24、 What are the policies and regulations for universities and scientific research institutes to send researchers to work in enterprises or participate in project cooperation?
According to the needs of "mass entrepreneurship and innovation" activities, universities and scientific research institutions should assign scientific researchers to work in enterprises or participate in project cooperation. They should change their employment contracts with scientific researchers, and agree on post responsibilities, work standards, assessment, wages, etc. The dispatched units, personnel and enterprises shall sign a tripartite agreement to specify the work content, time limit, remuneration, rewards and other rights and obligations of the personnel, as well as the distribution of rights and interests such as achievements transfer and development income. Upon the expiration of the cooperation period, the personnel selected shall return to their original posts of the sending unit, or the sending unit shall assign them to work at corresponding levels; If the work is not finished, the three parties can renew the agreement by consensus. During the selection period, the selected personnel shall implement the personnel management policies and regulations of universities and scientific research institutes and the internal personnel management measures of the dispatched units, and abide by the rules and regulations of the dispatched enterprises.
During the period of selection, the dispatched personnel shall enjoy the same rights and interests as the on-the-job personnel of the dispatched units, and the same rights and interests as the employees of the dispatched enterprises to obtain remuneration and bonuses, unless otherwise stipulated by the State. The work performance of the selected personnel in the dispatched enterprises shall be included in the professional title review, post competition, assessment and reward system, and the dispatched units can give preference to the outstanding personnel in post competition according to relevant regulations. Establish and improve the policies for the transformation and disposal of achievements and income distribution of universities and scientific research institutions. All the income legally obtained from the transformation of scientific and technological achievements of universities and scientific research institutions will be returned to their own units. In accordance with the relevant provisions of the state, they can give cash rewards to those who have made important contributions to the completion or transformation of scientific and technological achievements, which will be included in the total performance salary of their own units in the current year, but will not be limited by the total amount and will not be included in the total amount base.
25、 Can the heads of R&D institutions in universities and research institutes enjoy the relevant policies for researchers?
According to the provisions of the Notice of the State Council on Printing and Distributing Several Provisions on the Implementation of the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements (GF [2016] No. 16), for the person in charge of internal research and development institutions employed by universities and research institutes who is the main contributor of scientific and technological achievements or has made important contributions to the transformation of scientific and technological achievements, they can obtain cash Awards and remunerations such as shares or proportion of capital contribution.
According to the provisions of the Guiding Opinions on Strengthening and Improving the Administration of Temporary Going Abroad of Teaching and Research Personnel on Business (Ting Zi [2016] No. 17), when personnel directly engaged in scientific research tasks carry out scientific research, academic visits, international conferences and other activities, the number of times of going abroad, the number of groups, and the number of days of staying abroad are arranged according to actual needs, and are not included in the limited management scope of batches of temporary going abroad of national staff on business.
According to the Guiding Opinions on Supporting and Encouraging the Innovation and Entrepreneurship of Professional and Technical Personnel in Public Institutions (RSBG [2017] No. 4), scientific and technical personnel in universities and scientific research institutions can work part-time in enterprises or other scientific and technological achievements transformation activities, or leave their jobs to start businesses, with the consent of the unit, on the premise of performing their job responsibilities and completing their own work. Colleges and universities and scientific research institutions shall establish systems to regulate or agree with scientific and technological personnel on their rights and obligations during and after the period of part-time or off post activities to transform scientific and technological achievements.
26、 What are the procedures for universities and research institutes to formulate post setting and implementation plans?
In accordance with the current personnel management system of public institutions, such as the Regulations on Personnel Management of Public Institutions (Order No. 652 of the State Council), the State has established a post management system for public institutions, clarified the post categories and grades, and implemented macro-control, classified guidance and hierarchical management on the post setting of public institutions.
Colleges and universities and scientific research institutions shall, according to their responsibilities, tasks and work needs, draw up post setting plans, and submit them to the competent department for review according to procedures, and to the comprehensive personnel management department of public institutions for filing. Thereafter, universities and scientific research institutions should formulate the implementation plan of post setting within the approved total number of posts, structural proportion and maximum level quota. In formulating the plan, employees' opinions on the implementation plan of post setting should be widely listened to.

27、 What are the procedures for universities and research institutes to increase the proportion of senior professional and technical posts?
Universities and research institutes can apply for changing their own post setting scheme (including increasing the proportion of senior professional and technical posts) when they meet the conditions specified in Article 27 of the Tentative Measures for the Administration of Post Setting in Public Institutions (GRBF [2006] No. 70). According to the procedure, it shall be reported to the competent department for review and the general personnel management department of the public institution for filing. Among them, the institutions directly under the State Council shall report to the Ministry of Human Resources and Social Security for the record, and the post setting plans of institutions directly under the governments of provinces, autonomous regions and municipalities directly under the Central Government shall report to the local human resources and social security department (bureau) for the record.
28、 What procedures should universities and research institutes follow to set up innovative and mobile posts? What are the detailed regulations on the selection of candidates, salary distribution, professional title review, etc?
Universities and research institutes can set up innovative posts and mobile posts according to the needs of innovation work and national or local policies. If innovative posts are set, the post setting scheme shall be adjusted and changed as required.
The Guiding Opinions on Further Supporting and Encouraging the Innovation and Entrepreneurship of Scientific Research Personnel in Public Institutions (RSBF [2019] No. 137) stipulates that public institutions can independently set up innovative posts in professional technical posts according to the needs of carrying out "mass entrepreneurship and innovation" activities and the post setting plan filed by the personnel general management department. If the existing post setting scheme is difficult to meet the needs of innovative work, you can apply for adjusting the post setting scheme as required, or you can apply for setting up ad hoc posts as required, regardless of the total number of posts and structural proportion. Candidates for innovative posts can be selected through internal competition or public recruitment. The qualifications for the posts require the ability and level of scientific and technological research and development, scientific and technological innovation, and the promotion of scientific and technological achievements consistent with the performance of post responsibilities. Among them, high-level talents in short supply can be introduced through direct inspection. Public institutions can independently set up mobile posts according to the need to carry out "mass entrepreneurship and innovation" activities, which will not be included in the post setting scheme filed by the comprehensive personnel management department, and will be used to introduce high-level talents in short supply. The floating personnel shall be introduced independently by the public institution, and no personnel relationship shall be established with the public institution. Their salaries shall be determined by both parties through negotiation. The public institution shall enter into an agreement with the floating personnel to specify the work duration, work content, work hours, work requirements, work conditions, work remuneration, confidentiality discipline, ownership of achievements, etc. If floating post personnel are formally employed by public institutions through open recruitment, their work performance during the floating post period can be used as an important basis for post employment and professional title evaluation.
According to the reality of innovation work, institutions can explore the implementation of relatively flexible and flexible working hours in innovative posts, so that researchers can reasonably arrange and use time to carry out innovation work. During the working period of innovative posts, the achievements in technical project development, promotion and transformation of scientific and technological achievements, and social service of scientific research shall be taken as the main basis for the review of scientific researchers' professional titles, project application, post competition, assessment, and award. The distribution of performance related wages in public institutions should be inclined to those who have made outstanding achievements in innovative posts. For scientific researchers in innovative posts, flexible and diversified distribution methods such as agreement salary and project salary can be implemented according to relevant national regulations and with the approval of relevant departments. The cash reward for the conversion of scientific and technological achievements obtained by scientific researchers in innovative posts according to law shall be included in the total performance salary of the unit in the current year, but it is not limited by the total amount and shall not be included in the total amount base.
29、 What are the procedures for colleges and research institutes to apply for setting up special posts?
According to the Guiding Opinions on the Administration of Post Setting in Colleges and Universities (GRBF [2007] No. 59) issued by the Ministry of Human Resources and Social Security and the Ministry of Education, the setting of ad hoc posts in colleges and universities must be reviewed by the competent department, and then reported to the personnel administration department of the municipal or higher government with districts for approval according to the procedure. The specific management measures shall be formulated by all localities and departments according to the actual situation.
30、 How do central universities and research institutes adjust the total amount of performance related wages?
According to the Several Opinions of the General Office of the State Council on Reforming and Improving the Management of the Central Government's Scientific Research Funds (GBF [2021] No. 32), the central universities, research institutes and enterprises should combine their own development stages, types, positioning, tasks, talent structure, regions, and the actual payment level of performance related wages (mainly based on the annual wage statistics of public institutions in the previous year) The financial situation, especially the actual situation that financial research projects can be used to pay indirect costs for personnel performance, shall be reported to the competent department to dynamically adjust the performance salary level. The competent department shall comprehensively consider factors such as stimulating the vitality of scientific and technological innovation, ensuring the stability of basic researchers' salary income, regulating the income gap between different units (posts, disciplines), and report to the human resources and social security department and the financial department for filing after approval.
According to the Several Opinions on Expanding the Autonomy of Universities and Scientific Research Institutes in Scientific Research (GKFZ [2019] No. 260), universities and scientific research institutes can independently determine the structure, assessment methods, distribution methods, salary project names, standards and payment scope of performance salary within the total amount of performance salary according to relevant national regulations.
31、 Whether the cash rewards for the conversion of scientific and technological achievements of the posts of scientific researchers in universities and research institutes are included in the total performance salary management?
The Notice on Relevant Issues Concerning the Inclusion of Cash Rewards for the Transformation of Post based Scientific and Technological Achievements of Scientific and Technological Research Personnel in Public Institutions into Performance Wage Management (RSBF [2021] No. 14) stipulates that after the transformation of post based scientific and technological achievements, the cash rewards given by the units that have completed the scientific and technological achievements to those who have made important contributions to the completion and transformation of the scientific and technological achievements shall be included in the total performance wages of their own units, but shall not be limited by the total approved performance wages, It will not be used as the base of the total performance salary of the next year approved by the human resources and social security and financial departments, and will not be used as the base of social insurance payment.
If a project obtained under the entrustment of an enterprise or other social organization is recognized by the local competent department of science and technology as a transformation of scientific and technological achievements, the project undertaking unit shall give cash rewards to scientific researchers according to the provisions, and the above provisions shall prevail; If it does not belong to the transformation of post based scientific and technological achievements, the personnel performance expenditure drawn from the project funds shall be distributed within the approved total performance salary and included in the total performance salary management of the unit.
32、 What are the main responsibilities of universities and research institutes in the construction of scientific research integrity?
According to the Notice on Further Compacting the National Science and Technology Plan (special projects, funds, etc.) Tasks, Undertaking the Main Responsibility of Scientific Research Style and Scientific Research Integrity of Units (GKFJ [2020] No. 203) and other documents, various scientific research institutions, universities, enterprises, social organizations, etc. engaged in scientific research activities are the first responsible subjects for the construction of scientific research style and scientific research integrity, When undertaking the tasks of the national science and technology plan (special projects, funds, etc.), it is necessary to put the work of scientific research style and style of study and construction of scientific research integrity on the important agenda, further strengthen the system construction, carry out normalized management, strengthen responsibility transmission, and ensure that the requirements of scientific research style and style of study and construction of scientific research integrity are implemented in place. The information submission system shall be strictly implemented. The investigation and handling of major research style, style of study and research integrity issues and the results thereof shall be submitted to the provincial science and technology administrative department where they are located as required. Those involving scientific research projects of science and technology plans (special projects, funds, etc.), innovation bases, science and technology awards, talent projects, etc. shall be submitted to the relevant administrative department at the same time. At the end of each year, it is required to report the scientific research style, style of study and construction of scientific research integrity of the unit through the national scientific research integrity management information system. It is necessary to strengthen the daily education and guidance for the scientific research personnel of the unit, find out the risks, correct the problems in the scientific research style, style of study, scientific research integrity, scientific and technological ethics and other aspects of the personnel of the unit, timely investigate the behaviors that violate the requirements of relevant scientific and technological activities, and seriously deal with the responsible persons for violations and dishonesty.