? Notice of the State Science and Technology Commission on Issuing Rules for Appraisal of Scientific and Tec
? Notice of the State Science and Technology Commission on Issuing Rules for Appraisal of Scientific and Technological Achievements
Guo Ke Fa Cheng Zi [1995] No.048
Science and Technology Commissions of all provinces, autonomous regions and municipalities directly under the Central Government, relevant ministries and commissions, directly affiliated institutions and institutions of the State Council:
? In order to implement the Measures for Appraisal of Scientific and Technological Achievements issued by OrderNo. 12 in 2004 and documentNo. 19941October 26th 19 of the State Science and Technology Commission, and clearly standardize the operating rules for appraisal of scientific and technological achievements, we hereby issue the Rules for Appraisal of Scientific and Technological Achievements to you, please follow them.
? Annex: Rules for Appraisal of Scientific and Technological Achievements
February 13th, 1995
? Rules for Appraisal of Scientific and Technological Achievements (for Trial Implementation)
? (State Science and Technology Commission199465438+February)
? These Provisions are formulated in order to implement the Appraisal Method of Scientific and Technological Achievements (hereinafter referred to as the Appraisal Method) issued by People's Republic of China (PRC) DecreeNo. 19941October 26th, correctly understand the relevant contents of the Appraisal Method, and standardize the operating procedures of scientific and technological achievements appraisal.
? First, the general principles of scientific and technological achievements appraisal
? (a) the appraisal of scientific and technological achievements refers to the relevant scientific and technological administrative organs to hire peer experts to review and evaluate scientific and technological achievements in accordance with the prescribed forms and procedures, and make corresponding conclusions. Appraisal of scientific and technological achievements is an administrative act of the government agency in charge of scientific and technological work.
? (two) the purpose of scientific and technological achievements appraisal is to correctly judge the quality and level of scientific and technological achievements, promote the improvement of scientific and technological achievements and improve the level of science and technology, and accelerate the popularization and application of scientific and technological achievements.
? (3) The appraisal of scientific and technological achievements shall adhere to the principles of seeking truth from facts, being scientific and democratic, being objective and fair, paying attention to quality and practical results, and ensuring the seriousness and scientificity of appraisal of scientific and technological achievements.
? (4) Appraisal of scientific and technological achievements is one of the methods used by the administrative department of science and technology to evaluate scientific and technological achievements. The state encourages the evaluation and recognition of scientific achievements through market competition, social practice and production practice, and academic contention.
? (five) the appraisal of scientific and technological achievements shall be centralized and strictly managed to eliminate the adverse consequences caused by multi-head management and ensure the effective implementation of appraisal measures.
? The State Science and Technology Commission is responsible for the centralized management, guidance and supervision of the appraisal of national scientific and technological achievements, and the Division of Scientific and Technological Achievements of the State Science and Technology Commission is responsible for its implementation.
? The science and technology commissions of provinces, autonomous regions and municipalities directly under the Central Government are responsible for the centralized management and supervision of the appraisal of scientific and technological achievements in their respective regions, and the scientific and technological achievements management institutions of the science and technology commissions of provinces, autonomous regions and municipalities directly under the Central Government are responsible for the implementation. The relevant departments of the State Council are responsible for the management and supervision of the appraisal of scientific and technological achievements of this department, and the scientific and technological achievements management institutions of relevant departments are responsible for the implementation.
? Second, the scope of identification
? (1) According to the provisions of Article 6 of the Appraisal Method, the appraisal scope of scientific and technological achievements refers to the applied technological achievements included in the scientific and technological plans of the state and relevant departments of provinces, autonomous regions, municipalities directly under the Central Government and the State Council, as well as a few major applied technological achievements not included in the scientific and technological plans.
? 1? The science and technology plans of the state, provinces, autonomous regions, municipalities directly under the Central Government and relevant departments of the State Council as mentioned in this article refer to:
? (1) The national science and technology plan includes the major national science and technology plans managed by the State Science and Technology Commission, the State Planning Commission and the State Economic and Trade Commission (for example, in the national science and technology research plan, only the achievements of special topics are appraised, and the 863 plan only organizes the appraisal of the achievements of major technical projects and topics);
? (2) The scope of science and technology plans of provinces, autonomous regions and municipalities directly under the Central Government may be agreed upon by the science and technology commissions of provinces, autonomous regions and municipalities directly under the Central Government with the relevant departments of provinces (autonomous regions and municipalities directly under the Central Government) according to the specific conditions of the province, and reported to the State Science and Technology Commission for the record. The science and technology plans of cities under separate state planning and sub-provincial cities can be regarded as part of provincial science and technology plans with the consent of the science and technology commissions of provinces, autonomous regions and municipalities directly under the Central Government.
? (3) The science and technology plan of relevant departments in the State Council refers to the science and technology plan managed and recognized by the science and technology departments (bureaus) of various departments in the State Council.
? 2? The applied technological achievements mentioned in this paper include new products, new technologies, new processes, new materials, new designs and new varieties of biology and minerals.
? 3? A few unplanned major applied technological achievements must meet the following conditions when applying for the appraisal of scientific and technological achievements:
? (1) The technology is mature and the creativity is obvious;
? (2) The performance index is at the leading level in the same field in China;
? (3) It is proved to be applicable by practice;
? (four) has a significant role in promoting the economic and social development and scientific and technological progress of the industry or region.
The application for appraisal of major applied technological achievements other than the science and technology plan must be approved by the science and technology commission of the province, autonomous region or municipality directly under the Central Government or the scientific and technological achievements management institution of the relevant department of the State Council, otherwise the appraisal cannot be organized.
? 4? Measures for the evaluation of other scientific and technological achievements such as basic research and soft science research within the science and technology plan shall be formulated separately by the State Science and Technology Commission.
? 5? The applied technological achievements completed during the implementation of the science and technology plan can also be appraised in other forms, and the scientific and technological achievements management institutions of the relevant departments of provinces, autonomous regions, municipalities directly under the Central Government and the State Council can decide whether it is necessary to appraise them according to the specific circumstances.
? (two) according to the provisions of article sixth of the appraisal method, the following scientific and technological achievements are not organized for appraisal.
? 1? The achievements of basic theoretical research refer to the achievements of pure theoretical research in natural science, and the main form of expression is academic papers. According to international practice, its evaluation method should be published publicly through academic journals or conferences in the same field at home and abroad, attracting the attention, comments and citations of domestic and foreign peer experts, so as to gain recognition, and the academic institutions of the unit will issue comprehensive evaluation opinions.
? For the theoretical achievements that can directly guide the research and development of applied technology, its function is not only manifested in the academic value of the paper, but also in the applied technology achievements under the guidance of theory. Such applied theoretical achievements can be regarded as applied technical achievements, and an application for appraisal shall be made in accordance with the provisions of Article 6 of the Appraisal Measures.
? 2? Soft science research results refer to research results that play an important role in promoting scientific decision-making and management modernization and promoting the coordinated development of science and technology, economy and society, mainly in the form of research reports.
? 3? The applied technological achievements for which a patent has been applied shall be limited to the date when the project submits a patent application to the Chinese Patent Office. No review will be organized after application. Some technologies have been patented, but the whole technology has not been patented, and the applied technological achievements meet the requirements of Article 6 of the Appraisal Measures, and may apply for appraisal.
? 4? The applied technological achievements that have been transferred and implemented refer to the applied technological achievements that the research and development party has transferred to other enterprises and put into industrial production in accordance with the provisions of the Technology Contract Law, and shall be evaluated by the production implementation unit.
? 5? The general applied technological achievements developed by enterprises and institutions themselves, except the major applied technological achievements stipulated in Article 6 of the Appraisal Measures, should be recognized by the society through the market mechanism.
? 6? According to national laws and regulations, scientific and technological achievements that must be examined and confirmed by statutory specialized agencies refer to scientific and technological achievements that must be examined and approved by specialized agencies and new drugs can only be used after being examined by the Drug Evaluation Committee of the Ministry of Health in accordance with laws and regulations such as the Drug Administration Law and the Measures for the Examination and Approval of New Drugs of the Ministry of Health. New agricultural varieties must be approved by a special approval agency confirmed by the Ministry of Agriculture before they can be officially popularized and applied. These are the evaluation and review methods of scientific and technological achievements, and there is no need to organize appraisal.
? Where the scientific and technological achievements have not been identified, the administrative departments of science and technology at all levels shall not accept the application for identification. Scientific and technological achievements evaluated by other methods, no unit may use the format of "Appraisal Certificate of Scientific and Technological Achievements" (hereinafter referred to as "Appraisal Certificate").
? (3) Scientific and technological achievements (including those that do not meet the national standards for the discharge of three wastes) that have a destructive impact on social interests and national resources and cause pollution hazards to the ecological environment in violation of national laws and regulations shall not be accepted by the administrative departments of science and technology at all levels. Those who have accepted the ongoing appraisal shall immediately stop the appraisal; Those that pass the appraisal shall be revoked.
? Third, the appraisal institution.
? (a) According to the provisions of Article 9 of the appraisal method, the State Science and Technology Commission, the science and technology commissions of provinces, autonomous regions and municipalities directly under the Central Government and the scientific and technological achievements management institutions of relevant departments in the State Council are the specific organizational units for the appraisal of scientific and technological achievements.
? 1? According to the needs of the appraisal work, the science and technology commissions of all provinces, autonomous regions and municipalities directly under the Central Government may, according to the specific circumstances, authorize the relevant business departments and bureaus of the provincial government and the science and technology commissions of cities under separate state planning, sub-provincial cities and prefecture-level cities to organize the appraisal.
2? Under special circumstances, the relevant departments of the State Council, with the consent of the State Science and Technology Commission, may authorize units (or institutions) with government administrative functions to organize appraisal.
? 3? After the organization appraisal unit agrees to organize the appraisal, it can directly preside over the appraisal of scientific and technological achievements, or entrust the relevant units to preside over the appraisal of scientific and technological achievements according to the specific conditions and work needs of scientific and technological achievements. The unit entrusted to preside over the appraisal shall be the unit entrusted to preside over the appraisal. The appraisal unit can be the superior administrative department of the scientific and technological achievements completion unit (for example, the State Education Commission can entrust Tsinghua University to preside over the appraisal of the project completed by a department of the school; The Ministry of Agriculture may entrust the China Academy of Agricultural Sciences to preside over the affiliated research institutes to complete the project appraisal; The Ministry of Metallurgy may entrust Wuhan Iron and Steel Company to preside over subordinate enterprises to complete project evaluation and other work. ) or other relevant units; However, it shall not entrust the scientific and technological achievements completion unit to preside over the appraisal of its own scientific and technological achievements. The unit presiding over the appraisal is responsible for organizing the appraisal.
? (2) According to the provisions of Articles 10, 11, 12 and 13 of the Appraisal Measures, appraisal is divided into three forms: detection appraisal, meeting appraisal and letter appraisal, and the three forms of appraisal have the same effect.
? 1? Testing and appraisal: all scientific and technological achievements (such as measuring instruments, instruments and meters, new materials, etc.). ) by the state, provinces, autonomous regions, municipalities directly under the central government and the State Council, the relevant departments of the professional and technical testing institutions qualified, performance indicators can meet the purpose of identification, by the organization of identification units for testing and identification. The test report issued by professional technical testing institutions is the main basis for testing and appraisal. Professional and technical testing institutions shall evaluate the quality and level of testing items according to the testing report. When it is difficult to evaluate the quality and level of the identified scientific and technological achievements with the test report, the organization appraisal unit or the presiding appraisal unit may, jointly with professional technical testing institutions, hire three to five peer experts to set up a testing and appraisal expert group, and put forward comprehensive evaluation opinions according to the test report.
? Provincial and ministerial level professional and technical testing institutions shall be determined by the provincial and ministerial level science and technology departments according to the standards for the identification of professional and technical testing institutions formulated by the State Science and Technology Commission, and reported to the State Science and Technology Commission for the record.
? 2? Conference appraisal: for scientific and technological achievements that need to be organized by peer experts for on-site inspection or demonstration, testing and defense, the organization appraisal unit may take the form of conference appraisal. According to the technical content of the identified scientific and technological achievements, the organization appraisal unit may employ seven to fifteen peer experts to form an appraisal committee. Experts attending the appraisal committee meeting shall not be less than 4/5 of the candidates. The appointed experts shall not give written opinions or appoint representatives to attend the meeting. The organization appraisal unit or the presiding appraisal unit shall not temporarily replace the members of the appraisal committee because the experts are not present. The appraisal conclusion must be passed by more than 3/4 of the experts attending the meeting. Different opinions should be clearly recorded in the appraisal conclusion.
? 3? Letter appraisal: it is not necessary to organize peer experts to conduct on-the-spot investigation, test and reply, but experts can evaluate scientific and technological achievements by reviewing relevant technical materials in writing, and appraisal institutions can take the form of letter appraisal. The letter review shall be composed of five to nine people hired by the evaluation agency. The experts who put forward written opinions on the letter examination shall not be less than 4/5 of the candidates, and the appraisal conclusion must be formed on the basis of the opinions of more than 3/4 of the letter examination experts. Different opinions should be clearly recorded in the conclusion.
? (three) the unit that organizes the appraisal shall meet the following conditions when hiring peer experts to participate in the appraisal work.
? 1? With senior technical positions (under special circumstances, with intermediate technical positions of young and middle-aged scientific and technological backbone shall not exceed a quarter). Special circumstances refer to: incomplete majors in some areas and lack of scientific and technical personnel with senior technical positions; There are few senior professional and technical personnel in some emerging disciplines and marginal disciplines; Due to the need for confidentiality, some departments are restricted in hiring social experts.
? 2? He has rich theoretical knowledge and practical experience in the specialty of the identified scientific and technological achievements, and is familiar with the technical trends in this field at home and abroad.
? 3? Have good scientific ethics and professional ethics.
? "Peer experts" refer to professional scientific and technological personnel who are closest to the identified scientific and technological achievements. When selecting peer experts to form an appraisal committee (or a letter review group or a testing appraisal group), experts in teaching, scientific research and production should participate as much as possible.
? The following persons shall not be employed as experts in the appraisal of scientific and technological achievements:
? (1) personnel of units that have completed scientific and technological achievements;
? (two) the personnel of the planning and task issuing unit;
? (3) Personnel of the entrusting unit;
? (4) Managers of Party and government organs who have been divorced from teaching, scientific research and production for a long time. Because some scientific and technological achievements of special departments such as public security, security and national defense involve state secrets, it is not appropriate to expand the scope of knowing secrets. You can hire peer experts from the unit that completed the scientific and technological achievements, the unit that assigned the tasks or the entrusting unit to participate in the appraisal, but you can't hire people who directly participate in the development of the appraised scientific and technological achievements.
? (four) the experts who participated in the appraisal work should make a serious and responsible review of the scientific and technological achievements identified in the appraisal work and make a realistic evaluation conclusion. And be responsible for the appraisal conclusion made, and the experts involved in the appraisal work have the obligation and responsibility to keep the appraised scientific and technological achievements confidential.
(5) Organizing the appraisal unit, presiding over the appraisal unit and the relevant person in charge shall not interfere with the experts involved in the appraisal work to independently carry out the appraisal work, and organizing the appraisal unit and presiding over the appraisal unit shall seriously study the requirements related to the appraisal work put forward by the appraisal experts in the appraisal work, and make a clear answer in time.
? Four. recognition program
? Organizing the appraisal unit or presiding over the appraisal unit shall be responsible for the whole appraisal process, but shall not set up an appraisal leading group to lead the appraisal work.
(1) Channels for application for appraisal According to the provisions of Article 16 of the Appraisal Measures, units or individuals that have completed scientific and technological achievements may apply for appraisal through the following channels:
1? To complete the scientific and technological achievements that need to be identified in the scientific and technological plans of the relevant departments of the state, provinces, autonomous regions, municipalities directly under the Central Government and the State Council, the units that have completed the scientific and technological achievements shall apply for identification to the units that have the right to organize identification according to the source of tasks or affiliation;
2? If the affiliation is not clear, the unit or individual who has completed the scientific and technological achievements may apply to the science and technology commission of the province, autonomous region or municipality directly under the Central Government for appraisal;
3? Two or more units * * * jointly complete the scientific and technological achievements that need to be identified. After mutual consultation by the completing units * * *, the first completing unit is responsible for applying for identification to the unit that has the right to organize the identification according to the task source or affiliation. The same scientific and technological achievement can only be identified once, and no multiple units can apply for identification separately;
? 4? For particularly important scientific and technological achievements that are multidisciplinary and cross-industry, and whose overall performance has reached the international advanced level, and have played a significant role in promoting China's social and economic development and scientific and technological progress, the competent department that accepts the application for appraisal may submit an appraisal application report to the management institution of scientific and technological achievements at the next higher level, and the management institution of scientific and technological achievements at the next higher level shall organize the appraisal.
? (2) The scientific and technological achievements applied for appraisal shall conform to the scope stipulated in Article 6 of the Appraisal Measures and meet the conditions stipulated in Article 18. 1? People who have not completed the plan or contract requirements cannot apply for appraisal. "The requirements of the plan or contract mainly refer to the technical performance and indicators agreed in the plan or contract.
? 2? Objection or controversial scientific and technological achievements, the organization appraisal unit will not accept the application for appraisal, and the application for appraisal can be accepted only after the objection or dispute is resolved.
3? The technical data and related documents are complete and meet the requirements of the archives management department, mainly including:
? (1) plan or contract;
? (2) Technical research report (including technical scheme demonstration, technical characteristics, comparison of overall performance indicators with similar advanced technologies at home and abroad, technical maturity, significance to social and economic development and scientific and technological progress, conditions and prospects for popularization and application, existing problems and other basic contents);
? (3) test analysis report and main test and test record report (including original records);
? (4) Design and process flow chart;
? (5) Quality standards (enterprise standards, industry standards, national standards and international standards)
? (6) Background information and comparative analysis reports of similar technologies at home and abroad, as well as retrieval information and novelty retrieval conclusion reports issued by scientific and technological information institutions qualified to carry out retrieval tasks as determined by the State Science and Technology Commission, relevant departments of the State Council and provincial (autonomous regions and municipalities directly under the Central Government) Science and Technology Commissions;
? (7) User usage report; (8) analysis report and certification materials of economic benefits (one-time direct benefits) and social benefits;
? (9) Scientific and technological achievements involving environmental pollution and labor safety issues require reports or certificates issued by relevant competent departments;
(10) An accurate list of completion units (excluding general trial-production and processing units and general cooperation units) and main completion personnel (in order of contribution to solving the technical problems of this achievement);
? (1 1) Other documents required by the competent department of the industry. The contents of the above-mentioned technical data and relevant documents must be true and reliable, the sources of the cited documents and other people's technologies must be explained, and the data and documents must be printed and bound neatly to meet the requirements of the archives department.
? (3) The procedure for applying for appraisal is as follows:
? 1? If the scientific and technological achievements meet the application conditions, the scientific and technological achievements completion unit shall fill in the Application Form for Appraisal of Scientific and Technological Achievements, and apply to the organization appraisal unit after being examined and signed by its competent department;
? 2? The applicant for appraisal shall submit an appraisal application report, an application form for appraisal of scientific and technological achievements, technical data and a drafted appraisal certificate to the organization appraisal unit two months before the proposed appraisal date; 3? Major stage achievements that can be applied independently may be applied for identification separately with the consent of the competent department that assigned the task. "Major milestone" refers to the scientific and technological achievements with creativity, advancement and independent application value obtained in the research and development process of major scientific and technological projects.
? (four) after receiving the application for appraisal of scientific and technological achievements, the organization appraisal unit shall timely and seriously conduct formal examination and technical examination, and reply to the examination opinions within thirty days. The formal review shall be conducted by the scientific and technological achievements management institution of the organization appraisal unit, and the technical review shall be conducted by the scientific and technological achievements management institution in conjunction with the relevant business management institutions.
? 1? The main contents of formal review are:
? Whether (1) belongs to the scientific and technological achievements that need to be identified within the scope of identification;
? (2) Whether the application form for appraisal of scientific and technological achievements and the drafted appraisal certificate are correct;
? (3) Whether the submitted documents and technical data are complete, complete and meet the requirements;
? (4) Whether the order of the achievement completion unit and the main completion personnel is correct, and whether the ownership of the achievement is controversial.
? 2? The main contents of technical review are:
? (1) Whether the tasks specified in the contract or plan have been completed;
? (2) Whether the contents of the submitted documents and technical data are correct and informative;
? (3) To preliminarily judge the creativity, advancement, practicability, maturity, reliability, conditions and prospects for popularization and application, and existing problems of the technology. The scientific and technological achievements management institution of the organization appraisal unit or the relevant business management institution jointly with it may, when necessary, listen to the technical introduction of the scientific and technological achievements completion unit.
? 3? After the organization appraisal unit completes the examination, it shall make a timely reply, the main contents of which include:
? (1) agreed to organize identification.
? Answer? Determine the organization identification unit and the host identification unit. There are three situations when determining the organization appraisal unit and the presiding appraisal unit: the organization appraisal unit organizes and presides over the appraisal; Organized by the organization appraisal unit, entrusted by the relevant units to preside over the appraisal; Guide other units that have the right to organize appraisal.
? b？ Determine the form of recognition. Where testing and appraisal are adopted, professional technical testing institutions shall be determined according to the professionalism of the scientific and technological achievements being appraised, and a power of attorney for testing and appraisal of scientific and technological achievements (hereinafter referred to as the power of attorney) shall be issued at the same time; When meeting review is adopted, the list of review committee, chairman and vice-chairman shall be determined, and the list of test experts shall be determined if on-site testing is required; When using credit evaluation, determine the list of members and deputy heads of the credit evaluation expert group.
? c？ When entrusting other units to organize the appraisal, the form of appraisal and the list of experts participating in the appraisal shall be determined by the units entrusted to organize the appraisal.
? (2) do not agree with the organization identification, should explain the reasons for disagreement.
? 4? According to the provisions of Article 20 of the appraisal method, the experts participating in the appraisal work shall be selected by the appraisal institution from the expert database of scientific and technological achievements appraisal of the State Science and Technology Commission or the science and technology commissions of provinces, autonomous regions and municipalities directly under the Central Government and the relevant departments of the State Council, and the units applying for appraisal shall not recommend and hire themselves.
? (1) In view of the fact that the expert database for appraisal and evaluation of scientific and technological achievements of the State Science and Technology Commission is still in the trial stage, the number, specialty and regional distribution of human resources experts need to be supplemented and improved, and some provincial and ministerial expert databases have not yet been established. When organizing the appraisal unit to send experts to participate in the appraisal work, it can be solved by the following ways:
? Answer? Extracted from the expert database of scientific and technological achievements appraisal of the State Science and Technology Commission and the expert database of award evaluation of the Ministry of Science and Technology;
? b？ Recommended by the competent department of industry;
? c？ Recommended by universities, research institutes and business management departments of enterprises;
? d？ Recommended by relevant business management departments of the unit.
? (2) The organization appraisal unit shall obtain the prior consent of the experts when determining the list of experts participating in the appraisal work.
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