The Ministry of Science and Technology and other 6 departments issued the Notice of Several Opinions on Expanding the Autonomy of Scientific Research in Universities and Research Institutes.
No.260 [2019] of National Science Development Administration
Ministries and institutions directly under the State Council:
"Several Opinions on Expanding Scientific Research-related Autonomy of Universities and Research Institutes" was considered and adopted at the seventh meeting of the Central Committee for Comprehensively Deepening Reform on March 19, 2019, and is hereby issued to you. Please implement it carefully. Important situations and problems encountered in the implementation process, please report to the Ministry of Science and Technology and the Ministry of Education in a timely manner.
Tel: Ministry of Science and Technology 010-58881715
Ministry of Education 010-66096298
Development and Reform Commission of Ministry of Education, Ministry of Science and Technology
Ministry of Finance, Ministry of Human Resources and Social Security, Chinese Academy of Sciences
July 30, 2019
(This piece is made public voluntarily)
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On expanding scientific research in universities and research institutes
Some opinions on relevant autonomy
Universities and research institutes are engaged in exploratory and creative scientific research activities, which have unique advantages in knowledge and talents and are an important force in implementing the innovation-driven development strategy and building an innovative country. The CPC Central Committee and the State Council attached great importance to the decentralization of scientific research in universities and research institutes. In recent years, a series of reform measures have been introduced and achieved good results. However, with the deepening of scientific and technological innovation, it is increasingly difficult for universities and research institutes to adapt to the needs of practical development. In order to further improve the relevant institutional system, promote the expansion of autonomy in scientific research in universities and research institutes, comprehensively enhance innovation vitality, enhance innovation performance, increase the supply of scientific and technological achievements, and support high-quality economic and social development, we hereby put forward the following opinions.
I. General requirements
(1) Guiding ideology.
Guided by Socialism with Chinese characteristics Thought of the Supreme Leader in the New Era, we will fully implement the spirit of the 19th National Congress of the Communist Party of China and the Second and Third Plenary Sessions of the 19th Central Committee, conscientiously implement the decision-making arrangements of the CPC Central Committee and the State Council, firmly establish a new development concept, follow the laws of scientific research activities, talent growth and achievement transformation, deepen the reform of the scientific and technological system, transform the government’s scientific and technological management functions, grasp the strategy, plan, policy and service, and support universities and research institutes to exercise scientific research-related autonomy according to laws and regulations. Fully mobilize the enthusiasm and creativity of units and personnel, enhance the vitality of innovation and the ability to serve economic and social development, and provide strong support for building an innovative country and a world science and technology power.
(2) Basic principles.
Adhere to the consistency between unit development and national mission. Adhere to and strengthen the party’s overall leadership over universities and research institutes, keep in mind the national mission, adhere to the national goal orientation, make full use of the responsibilities and powers entrusted by the state to organize work, actively undertake major scientific research tasks, integrate the development of units into the overall situation of national development, and realize their own sustainable development in the process of serving national goals.
Adhere to the unified requirements and coordinate the classified policies. Expanding scientific research-related autonomy of universities and research institutes should conform to the overall requirements of the central classification to promote the reform of public institutions, respect scientific laws, accurately implement policies according to the different characteristics of universities and research institutes, implement classified management, and improve the pertinence and operability of policies.
Adhere to the combination of decentralization and strengthening supervision. Minimize the government’s micro-management and direct intervention in the internal affairs of universities and research institutes, strengthen the overall grasp of the development direction, implement budget performance management, promote the construction of internal control mechanism, ensure full decentralization and effective undertaking, improve internal governance and strengthen external supervision, encourage action and serious accountability, and the power and responsibility are consistent.
Second, improve the operation and management mechanism of institutions
(3) Improve the management of articles of association. The competent department should, in accordance with the spirit of the central reform and the principle of separating government affairs from management, organize subordinate universities to improve their bylaws, promote scientific research institutes to formulate bylaws, and scientifically determine the functional orientation and rights and responsibilities of different types of units. Universities and research institutes should carry out scientific research activities in accordance with the functions and business scope stipulated in the articles of association, improve the internal governance structure and establish an efficient operation and management mechanism. The competent department shall not interfere in the affairs that the articles of association give management authority to universities and research institutes.
(4) Strengthen performance management. Universities and research institutes should formulate medium-and long-term development goals and plans, and define performance goals and indicators. Competent departments should, in accordance with the principles of unity of power, responsibility, benefit and efficiency and classified evaluation, reduce process management, highlight innovation orientation, result orientation and performance orientation, implement medium-and long-term performance management and evaluation of universities and research institutes, and make the evaluation results public in an appropriate way, which will serve as an important basis for financial allocation of units, construction of scientific and technological innovation bases, evaluation and reward of leaders, and verification of total performance wages. The establishment department shall refer to the evaluation results when handling the adjustment of the establishment of scientific research institutions in accordance with the procedures.
(5) Optimize the management of institutional setup. Science and technology departments should formulate plans for the reform, development and layout of scientific research institutions in accordance with the principles of clear functional orientation, reasonable layout, simplicity and high efficiency, and promote the optimal allocation of scientific and technological resources. Universities and research institutes can independently set up, change and cancel their internal institutions according to the national strategic needs, industry development needs and scientific and technological development trends, and according to the principle of simplification and efficiency.
Third, optimize the scientific research management mechanism
(6) Simplify the management process of scientific research projects. Improve the organization and implementation mechanism of major projects of the central financial science and technology plan, improve the project formation mechanism around the national demand, reasonably determine the project layout, quantity and volume, optimize the R&D team, strengthen the responsibility implementation and result assessment, and simplify the process management. Science and technology departments should work with relevant departments to streamline the project application process and reduce unnecessary application materials. "Milestone" management will be implemented during the project implementation to reduce all kinds of process evaluation, inspection, spot check and audit. Combine financial acceptance and technical acceptance, evaluate, standardize and dynamically adjust third-party audit institutions. Integrate the material submission links of various work and plans of science and technology management to realize multi-purpose of one form. The establishment of the national science and technology management information system according to the authority of the open system, where the information system has been provided or has been required to provide materials, shall not be required to provide repeated. Science and technology, finance, education departments and Chinese Academy of Sciences should carry out special actions to reduce the burden on scientific researchers and actively create an environment conducive to concentrated research.
(seven) improve the management mechanism of scientific research funds. Reform the budgeting and payment method of indirect funds, instead of budgeting by the person in charge of the project, the project management department (unit) will directly approve and go through the formalities of fund payment, and the funds will be paid directly to the undertaking unit. Accelerate the pilot reform of scientific research management based on performance, integrity and ability, and timely summarize and promote the pilot experience and practices of scientific research project fund management. To implement the autonomy in the use of horizontal funds, the measures for the management of horizontal funds formulated by the unit according to the law can be used as the basis for audit and inspection. Allow the project undertaker to implement the contract system for food subsidies, local transportation fees and accommodation fees that are difficult to obtain invoices in domestic travel expenses. Science, technology and education departments timely select some universities and research institutes to explore the pilot reform of domestic travel reimbursement.
(eight) improve the procurement management of scientific research instruments and equipment consumables. Simplify the procurement process, shorten the procurement cycle, and universities and research institutes can adopt more flexible and convenient procurement methods for instruments and equipment that are exclusively represented or produced according to relevant regulations and procedures. For the equipment and consumables urgently needed for scientific research, the procurement mechanism of special handling and on-call handling can be adopted, and the bidding procedure can be avoided. All units should establish a sound procurement management system for scientific research equipment and consumables, and make clear provisions on the procurement that really needs to be handled in a special way, so as to ensure that it is not chaotic.
(9) Give innovative leading talents greater scientific research autonomy. The person in charge of the national scientific research project can independently adjust the research scheme and technical route according to the relevant provisions of the state, and independently organize the scientific research team. In the distribution of graduate enrollment plans of universities and research institutes with corresponding authorization, they should be inclined to the excellent teams and tutors who undertake major national scientific research projects such as major scientific and technological projects and key R&D plans. Explore strengthening the cultivation of doctoral students based on major scientific and technological innovation platforms, major scientific research projects and engineering projects, and improve the training cost sharing mechanism. The project undertaker should earnestly implement the autonomy of official card management, and allow temporary employees, graduate students and other personnel who do not have the application conditions for official cards to settle their travel expenses due to the implementation of project tasks without using official cards.
(10) Reform the management system of scientific and technological achievements. Revise and improve the laws and regulations on the evaluation and management of state-owned assets, and cancel the procedures for the evaluation and filing management of post scientific and technological achievements. Science and technology, finance and other departments should carry out pilot projects to give scientific researchers the ownership or long-term use right of post scientific and technological achievements, and explore ways to further improve the ownership system of post scientific and technological achievements.
Fourth, reform the relevant personnel management methods
(eleven) to hire staff independently. Universities and research institutes can make recruitment plans, set job conditions, release recruitment information, organize open recruitment independently, standardize post-employment management, smooth the export of personnel, and realize the market-oriented exit of employed personnel according to the relevant provisions of the state and the need to carry out scientific research activities. Treat local talents and overseas talents equally and equally. Support and encourage professional and technical personnel in universities and research institutes to engage in innovative activities by means of attachment, participation in project cooperation, part-time work and on-the-job entrepreneurship. Scientific research institutes are allowed to improve the internal employment system and employ the heads of internal institutions independently. Cadres in the leading bodies of universities and research institutes who are under the central management should strictly implement the relevant provisions of the central government, and the heads of internal R&D institutions can receive cash and equity rewards for the transformation of scientific and technological achievements according to laws and regulations, and implement the policies of differential treatment and classified management for teaching and research personnel who temporarily go abroad on business and take part-time jobs.
(12) setting up posts independently. Universities and research institutes can independently formulate post setting plans and management methods in accordance with relevant state regulations and in combination with the development needs of scientific and technological innovation, and determine the proportion of post structure. The employment contract, post management and open recruitment system have been fully implemented, and the units that have established a flexible employment mechanism with the ability to go up and down can appropriately increase the proportion of senior professional and technical posts within the establishment, and the adjustment can be reported to the relevant departments for the record according to the management authority. Universities and research institutes are allowed to introduce outstanding talents to engage in innovative activities by setting up innovative posts and mobile posts. If the demand for high-level talents introduced by the unit is in urgent need, and it is difficult to meet the demand by adjusting the post setting, a certain number of special posts will be set up with the approval of relevant departments, which is not limited by the total number of posts, the highest level and the structural proportion, and the preparation matters will be reported to the organization establishment management department for special approval according to the procedures. After completing the relevant tasks, write them off according to the management authority.
(13) Effectively delegate the authority to evaluate professional titles. Universities and research institutes independently formulate methods and operational plans for professional title evaluation according to state regulations, independently carry out professional title evaluation according to management authority, and report the evaluation results to the competent authorities for the record as required afterwards. Some universities and research institutes that do not have the conditions and can not independently organize the evaluation can independently adopt joint evaluation and entrusted evaluation. For imported talents who are in urgent need of high-level talents and have made outstanding contributions, universities and research institutes are allowed to open up a green channel for evaluation on the premise of clear standards, procedures and publicity, and the evaluation standards do not set thresholds such as qualifications and years.
(fourteen) to improve the management of staffing. The education department shall, in conjunction with relevant departments such as institutional establishment, finance, human resources and social security, speed up the formulation of guiding standards and pilot programs for the total number of personnel in colleges and universities, and actively carry out pilot projects. On the basis of summarizing and evaluating the pilot work of filing system in scientific research institutes, we will improve relevant policies and gradually expand the scope of the pilot.
Five, improve the performance pay distribution mode.
(fifteen) increase the distribution of performance pay to researchers. Universities and research institutes can independently determine the structure, assessment methods, distribution methods, salary project names, standards and distribution scope of performance pay within the total amount of performance pay, and the distribution of performance pay should be tilted to key innovative posts, researchers who have made outstanding contributions, personnel who undertake financial research projects, innovative teams and outstanding young talents. In the examination and approval of the total amount of performance pay, it is necessary to tilt towards universities and research institutes with high-level talents and outstanding innovation performance. The departments of human resources, social security and finance should, together with the relevant competent departments, explore the establishment of a wage system in line with the characteristics of the industry in some universities and research institutes.
(sixteen) to strengthen the incentive effect of performance pay on scientific and technological innovation. Flexible distribution methods such as annual salary system, agreed salary and project salary can be implemented for team leaders who undertake key technical research tasks in key areas of the country and high-level talents urgently needed by the unit. Their salaries are listed separately in the total performance salary of the unit where they work, and the total performance salary of the unit in the current year is correspondingly increased. Increase the incentive of equity options for the transformation of scientific and technological achievements of personnel in universities and research institutes, and the cash rewards for the transformation of post scientific and technological achievements and the income from part-time or off-duty entrepreneurship obtained by scientific researchers are not limited by the total performance salary and are not included in the total base.
Sixth, ensure that the policy implementation is effective.
(seventeen) to strengthen overall coordination. Science, technology and education departments shall, in conjunction with relevant departments such as organization, institutional establishment, development and reform, finance, human resources and social security, improve supporting systems in a timely manner, establish communication and feedback mechanisms for policy implementation and dynamic adjustment, and organize the evaluation of reform effects in a timely manner. According to the spirit of this opinion, the competent department should complete the revision of the relevant management system within half a year, fully decentralize the post setting, personnel employment, internal organization adjustment, performance salary distribution, evaluation and assessment, scientific research organization, etc., and strengthen support and performance management. Relevant reform pilot work should be started within half a year, and relevant departments should strengthen guidance and timely summarize and evaluate, replicate and promote successful experiences and practices.
(eighteen) the implementation of the main responsibility. The main leaders of the party and government in universities and research institutes are the first responsible persons in their own units. They should improve their ideological understanding, strengthen their responsibility, do a good job in organizing and implementing, and implement the policy of autonomy to the front line of scientific research. Grasping the effectiveness of implementation is an important part of the assessment of the unit team. Within one year, it is necessary to formulate and improve specific management measures for scientific research, personnel, finance, achievement transformation and scientific research integrity of the unit, establish and improve relevant work systems and supporting systems, actively promote the disclosure of major decisions, major issues and important systems, and consciously accept supervision from all parties.
(nineteen) the implementation of effective supervision. Universities and research institutes should establish an internal control system suitable for the actual situation of their own units, strengthen internal process control, analyze potential risks, improve the risk assessment mechanism, realize the comprehensive and effective implementation of the internal control system, ensure that the autonomy can be well received and used without accidents, and prevent corruption.
All relevant departments should track the performance of duties and the exercise of autonomy by universities and scientific research institutes, urge and promote the implementation of reform policies through "double random and open" spot checks, supervision and third-party performance evaluation, notify those who fail to implement them in an appropriate way, and deal with the illegal problems found seriously. The budget performance responsibility system shall be implemented for those responsible for scientific research projects, and the lifelong accountability system for performance shall be implemented for those responsible for major projects. Establish a public publicity and credit mechanism, take the integrity status as an important basis for the unit to obtain scientific research-related autonomy, incorporate the dishonesty in the process of exercising relevant autonomy into the credit record management, and implement lifelong accountability and joint punishment for serious dishonesty.
(20) encourage responsibility. In accordance with the requirements of "three distinctions", encourage the reform and innovation of universities and research institutes. When the supervision and inspection work is inconsistent with the relevant policies understood by the working object, the supervision and inspection department should communicate with the policy-making department and investigate and clarify in time. Cadres who have made unintentional mistakes in taking responsibility should be comprehensively analyzed and properly handled in accordance with the principles of putting career first, seeking truth from facts, observing discipline according to law, tolerance and correction at the same time, combined with motivation, attitude, objective conditions, procedural methods, nature, consequences and recovery of losses. The boldness of tolerance should not be tolerated, and cadres should be encouraged to take responsibility and take the initiative.
This opinion applies to universities and central-level scientific research institutes affiliated to the central departments. If the existing relevant provisions are inconsistent with this opinion, this opinion shall prevail.