GBF [2021] No. 26

People's governments of provinces, autonomous regions and municipalities directly under the Central Government, ministries and commissions under the State Council, and institutions directly under the State Council:
In order to improve the evaluation system of scientific and technological achievements, give better play to the evaluation role of scientific and technological achievements, promote closer integration of science and technology with economic and social development, and accelerate the transformation of scientific and technological achievements into real productive forces, the following opinions are proposed with the consent of the State Council.

1、 General requirements
（1） Guiding ideology.   Promote the deep integration of innovation chain, industry chain and value chain, and provide strong support for building a new development pattern and achieving high-quality development.
（2） Basic principles.
Adhere to the evaluation orientation with the quality, performance and contribution of scientific and technological innovation as the core. Give full play to the "baton" role of scientific and technological achievements evaluation, comprehensively and accurately reflect the innovation level of achievements, transformation and application performance and actual contributions to economic and social development, and strive to strengthen the high-quality supply, transformation and application of achievements.
Adhere to scientific classification and multi-dimensional evaluation. In view of the characteristics of scientific and technological achievements with multiple values, we should scientifically determine the evaluation criteria, carry out multi-level differential evaluation, improve the standardization and normalization level of achievements evaluation, and solve the problems of imperfect classification evaluation system, single evaluation index, standard quantification, and utilitarian results.
We should correctly handle the relationship between the government and the market. Give full play to the decisive role of the market in resource allocation, give better play to the role of the government, introduce third-party evaluation, speed up the construction of the technology market, accelerate the construction of a diversified evaluation system involving the government, social organizations, enterprises, investment and financing institutions, fully mobilize the enthusiasm of various evaluation subjects, and create a good innovation ecology for achievement evaluation.
Adhere to the law of scientific and technological innovation. Grasp the characteristics of the gradual progress and phased achievements of scientific research, innovate the methods of achievements evaluation, strengthen the medium and long-term evaluation, post evaluation and achievements backtracking, guide scientific researchers to devote themselves to research, exploration and innovation, and promote the early discovery and realization of the value of scientific and technological achievements.

2、 Main working measures
（1） Comprehensively and accurately evaluate the scientific, technological, economic, social and cultural values of scientific and technological achievements. According to different characteristics and evaluation purposes of scientific and technological achievements, the multiple values of scientific and technological achievements are evaluated in a targeted way. Scientific value focuses on the evaluation of original contributions to new discoveries, new principles and new methods. The technical value focuses on the evaluation of major technological inventions, highlighting the achievements in solving key common technical problems in the industry, major technological innovation problems in enterprises, especially key core technical problems. Economic value focuses on the impact of promotion prospects, expected benefits, potential risks, etc. on economic and industrial development. The focus of social value evaluation is on the effectiveness of solving major bottlenecks such as people's health, national defense and public security, and ecological environment. The cultural value focuses on the impact and contribution of advocating the spirit of scientists, building a culture of innovation, and promoting socialist core values.
（2） We will improve the classification and evaluation system for scientific and technological achievements. Basic research achievements are mainly based on peer review, encouraging international "small peer" review, promoting representative work system, and combining quantitative evaluation with qualitative evaluation. The application research results are mainly evaluated by industry users and society, focusing on high-quality intellectual property output, and taking new technologies, new materials, new processes, new products, new equipment prototype performance, etc. as the main evaluation indicators. Technical development and industrialization achievements that do not involve sensitive fields such as military industry and national defense are mainly evaluated by users, market inspection and third-party evaluation, and the technical transaction contract amount, market valuation, market share, application of major projects or key enterprises are taken as the main evaluation indicators. Explore the establishment of a retrospective and phased evaluation mechanism for the R&D process of major achievements, strengthen the verification of the authenticity and reliability of achievements, and reasonably evaluate the process contribution of achievements.
（3） Accelerate the reform of national science and technology project achievement evaluation. In accordance with the requirements of the "Four Faces", we will further promote the pilot reform of scientific research management, and promptly establish a post evaluation system for the achievements of scientific and technological plans. Build and improve the national scientific and technological achievements project library, formulate a list of scientific and technological achievements promotion according to different application needs, and promote the disclosure of non confidential scientific and technological achievements information formed by financial funds. Reform the evaluation system of national defense scientific and technological achievements, and explore the method of multi subject participation in evaluation. We will improve the disclosure system for scientific and technological achievements of institutions of higher learning and scientific research institutions. Establish and improve the intellectual property management process of major projects, establish a pre patent application evaluation system, increase the evaluation weight of high-quality patent transformation and application performance, incorporate the enterprise's patent strategic layout into the evaluation scope, and eliminate the simple use of application amount and authorization amount as evaluation indicators.
（4） Vigorously develop market-oriented evaluation of scientific and technological achievements. We will improve the trading pricing models of diversified scientific and technological achievement markets, such as agreement pricing, listing, auction, and asset evaluation, and accelerate the construction of a modern high-level technology trading market. We will promote the establishment of a national intellectual property rights and scientific and technological achievements property rights trading center, improve the technology element trading and regulatory system, support institutions of higher learning, scientific research institutions and enterprises to enter the market for scientific and technological achievements, and encourage achievements formed by financial funds that have not been transformed in a certain period to enter the market to release information and promote transformation. We will establish a national technology trading information release mechanism, and promote the interconnection of information and data on technology trading, scientific and technological achievements, and technology contract registration in accordance with the law. Encourage the professional, market-oriented and standardized development of technology transfer institutions, establish a training mechanism for evaluation personnel with technology managers as the main body, encourage technology transfer institutions and technology managers to participate in invention disclosure, evaluation and docking negotiations throughout the process, and carry out market-oriented evaluation activities for the professionalism of scientific and technological achievements. Improve the construction level of the national demonstration area for the transfer and transformation of scientific and technological achievements, and give play to its pilot role in the evaluation and transformation of scientific and technological achievements.
（5） Give full play to the role of financial investment in the evaluation of scientific and technological achievements. We will improve the linkage mechanism between the evaluation of scientific and technological achievements and financial institutions and investment companies, guide relevant financial institutions and investment companies to conduct commercial evaluation of the potential economic value, market valuation, and development prospects of scientific and technological achievements, and increase investment and financing support for the transformation and industrialization of scientific and technological achievements by setting up branches in the National High tech Industrial Development Zone and optimizing the credit evaluation model. We will promote the credit loan model of intellectual property and expand the financing scale of intellectual property pledge. On the premise that intellectual property rights have been confirmed and stable cash flow can be generated, intellectual property securitization should be explored in a standardized way. Accelerate the reform of the management of the National Science and Technology Achievement Transformation Guidance Fund, and guide entrepreneurs, angel investors, venture capital institutions, specialized technology transfer institutions and other market entities to participate in R&D activities early.
（6） Guide and standardize third-party evaluation of scientific and technological achievements. Give play to the role of industry associations, societies, research associations, professional evaluation institutions, etc. in the evaluation of scientific and technological achievements, strengthen self-discipline management, improve the interest association avoidance system, and promote the standardized development of market evaluation activities. Formulate general criteria for evaluation of scientific and technological achievements, and refine technical standards and specifications for evaluation in specific areas. Establish and improve the industry standards of third-party evaluation institutions for scientific and technological achievements, clarify requirements for qualification and professional level, and improve relevant management systems, standards and specifications and quality control systems. Develop and promote indicators and methods for evaluating the innovation and maturity of scientific and technological achievements. Encourage departments, localities and industries to establish information service platforms for the evaluation of scientific and technological achievements, publish results evaluation policies, standards and specifications, methods and tools, institutional personnel and other information, and improve the openness and transparency of evaluation activities. We will promote the construction of the evaluation integrity system and system, incorporate the dishonesty of scientific and technological achievements evaluation into the scientific research integrity management information system, "zero tolerance" and severe punishment for violations of laws and regulations such as fraud in evaluation, assisting others to defraud evaluation, and conducting interest transmission, and pursue responsibility in accordance with laws and regulations to optimize the industrial ecology of scientific and technological achievements evaluation.
（7） We will reform and improve the reward system for scientific and technological achievements. Adhere to fairness and honor, focus on rewarding scientists and front-line scientific and technological personnel who really make creative contributions, control the number of awards, and improve the quality of awards. Adjust the awarding cycle of the National Science and Technology Award. We will improve the reward and nomination system, standardize the nomination system, mechanism, and process, and resolutely eliminate the interference of small circles such as favors, relationships, and interests, so as to reduce the burden on scientific researchers. We will optimize science and technology award projects, scientifically position national science and technology awards, provincial and ministerial science and technology awards, and set up awards for social forces, and build a science and technology award system with Chinese characteristics that has a reasonable structure and distinctive orientation. We will strengthen the close integration of national science and technology awards with major national strategic needs, and increase incentives for basic research and applied basic research achievements. We will foster high-level science and technology award brands for social forces, and the government will strengthen in-process and post event supervision to improve the overall level of science and technology awards.
（8） We will resolutely solve the problem of "only papers, only professional titles, only academic qualifications, and only awards" in the evaluation of scientific and technological achievements. We will comprehensively correct the negative tendency of valuing quantitative indicators over qualitative contributions in the evaluation of scientific and technological achievements, and encourage scientific and technological workers to write their papers on the motherland. To break through the "paper only" and "SCI first", the number of papers, the number of representative works, and the impact factors are not the only quantitative evaluation indicators. For high-quality achievements that have significant academic impact, have achieved significant application effects, and made outstanding contributions to economic and social development and national security, the assessment and evaluation weight shall be increased. The details shall be determined by the relevant science and technology evaluation organization and management unit (institution) according to the actual situation. It is not allowed to take the title, education background, title, awards, administrative position, number of scientific research projects undertaken, etc. of the person who completed the achievements as the reference for the evaluation of scientific and technological achievements, the performance evaluation of scientific research projects, and the evaluation of talent plans. Scientifically determine the contribution of individuals, teams and units to the output of scientific and technological achievements, and resolutely reverse the negative tendency of over ranking and competing for ranking.
（9） Innovate evaluation tools and models of scientific and technological achievements. Strengthen the research on the theory and method of scientific and technological achievements evaluation, develop information evaluation tools by using big data, artificial intelligence and other technical means, and promote standardized evaluation by using concept verification, technology prediction, innovation competition, intellectual property evaluation and supporting evaluation. Make full use of all kinds of information resources to build a cross industry, cross department and cross region scientific and technological achievements library, demand library, case library and evaluation tool and method library. Publish the catalog of new application scenarios, implement the demonstration project of industrialization application of major scientific and technological achievements, and apply the evaluation results in the implementation of major projects and key tasks.
（10） We will improve the incentive and exemption mechanisms for evaluating scientific and technological achievements. Take the transformation performance of scientific and technological achievements as the core requirement, incorporate it into the evaluation of innovation ability of colleges and universities, scientific research institutions, and state-owned enterprises, refine and improve the evaluation policy of post scientific and technological achievements conducive to transformation, and stimulate the vitality of innovation and transformation of scientific researchers. We will improve the asset evaluation management mechanism related to the transformation of scientific and technological achievements, clarify the boundary and red line of state-owned intangible assets management, and optimize the management process of scientific and technological achievements transformation. We will take responsibility for the transformation of scientific and technological achievements, encourage institutions of higher learning, scientific research institutions, and state-owned enterprises to establish a negative list of achievements evaluation and transformation behaviors, and improve the norms and rules for due diligence and exemption. Promote relevant personnel of achievements transformation to perform their duties in accordance with laws, regulations and rules, implement the requirements of "three distinctions", determine the decision-making responsibilities of relevant personnel in accordance with laws and regulations, and resolutely investigate and deal with corruption.

3、 Organization and implementation
（1） Strengthen overall planning and coordination. The Ministry of Science and Technology should play a leading role in organizing, implementing, coordinating, guiding, supervising and evaluating the reform of evaluation of scientific and technological achievements. The Ministry of Education, the Chinese Academy of Sciences, the Chinese Academy of Engineering, the Chinese Association for Science and Technology and other relevant units should actively coordinate and cooperate. The industry and local science and technology management departments are responsible for the guidance, promotion, supervision and service of the local achievements evaluation of the industry. All relevant departments and localities shall complete the formulation and revision of relevant rules and regulations within half a year after the issuance of this opinion.
（2） We will carry out pilot reforms. Select different types of units and regions to carry out targeted pilot reform of scientific and technological achievements evaluation, explore simple and practical systems, norms and processes, solve the problem of difficult implementation of reform, form operable and replicable practices and promote them.
（3） Implement the main responsibility. Scientific and technological achievements shall be evaluated by "the person who entrusts the scientific research task shall evaluate" and "the person who uses the scientific research achievements shall evaluate". Each scientific and technological evaluation organization and management unit (institution) shall earnestly assume the main responsibility, complete the task of formulating and revising relevant scientific and technological achievements evaluation standards or management methods within one year according to the requirements of this opinion, improve professional ability, and objectively and impartially carry out scientific and technological achievements evaluation activities.
（4） Create a good atmosphere. Further implement the reform requirements of "releasing, regulating and serving", strictly implement the system, pay attention to social supervision, strengthen academic self-discipline and industry self-discipline in evaluation activities, resolutely oppose "evaluation for evaluation" and abuse of evaluation results, prevent excessive connection with material interests, and eliminate the phenomenon of seeking quick success and instant benefit and blindly following the trend in the evaluation of scientific and technological achievements. We should strengthen policy publicity and interpretation, timely summarize and promote typical experience and practices, and actively create a good evaluation environment.

General Office of the State Council
July 16, 2021