中英对照2021国务院办公厅关于完善科技成果评价机制的指导意见.docx

GuidingOpinionsoftheGeneralOfficeoftheStateCouncilonImprovingtheMechanismfortheEvaluationofScientificandTechnologicalAchievementsDocumentNumber：No.262021oftheGeneralOfficeoftheSlateCouncilAreaofLau:AppraisalandAwardsforScientificandTechnologicalAchievementsOptimizationofDoingBusiness1.evelofAuthority：RegulatoryDocumentsoftheStateCouncilIssuingAuthority：GeneralOfficeoftheStateCouncilDateIssued：07-16-2021EffectiveDale07-16-2021Status:EffectiveGuidingOpinionsoftheGeneralOfficeoftheStateCouncilonImprovingtheMechanismfortheEvaluationofScientificandTechnologicalAchievements(No.262021oftheGeneralOfficeoftheStateCouncil)Thepeople'sgovernmentsofallprovinces,autonomousregionsandmunicipalitiesdirectlyundertheCentralGovernment;andallministriesandcommissionsoftheStaleCouncilandallorganizationsdirectlyundertheStateCouncil:WiththeconsentoftheStateCouncil,thefollowingopinionsareherebyofferedforthepurposesofimprovingthesystemfortheevaluationofscientificandtechnologicalachievements,leveragingthestrengthsoftheevaluationinamoreeffectivemanner,promotingthefullintegrationofscienceandtechnologywitheconomicandsocialdevelopment,andacceleratingstepstotransformscientificandtechnologicalachievementsintorealproductiveforces.国务院办公厅关于完善科技成果评价机制的指导意见(国办发(2021)26号)各省、自治区、直辖市人民政府，国务院各部委、各直属机构：为健全完善科技成果评价体系，更好发挥科技成果评价作用，促进科技与经济社会发展更加紧密结合，加快推动科技成果转化为现实生产力，经国务院同意，现提出如下意见。一、总体要求I.Generalrequirements1. Guidingideology:UndertheguidanceofXiJinpingThoughtwithChineseCharacteristicsforaNewEra,effortsshallbemadetofurtherimplementtheguidingprinciplesofthe19thCPCNationalCongressandthesecond,third,fourth,andfifthPIenarySessionsofthe19thCPCCentralCommittee,pushaheadwiththeimplementationofaninnovation-drivendevelopmentstrategy,furtherreformthesystemtorscienceandtechnologymanagement,followthecorrectdirectionfortheevaluationofscientificandtechnologicalachievements,andintroducenewmethodsofevaluation.Throughevaluation,theenthusiasmofscientificandtechnologicalpersonnelshallbestimulated,high-qualityachievementsshallbeproduced,andafavorableinnovation-basedecosystemshallbecreated.Innovationchains,industrialchainsandvaluechainsshallbefurtherintegratedsoastoprovidestrongsupportforcreatinganewdevelopmentpatternandachievinghigh-qualitydevelopment.2. BasicprinciplesFollowingtheevaluationguidelinethatiscenteredonthequalityandperformanceofandthecontributiontoscientificandtechnologicalinnovation.Theleadingroleoftheevaluationofachievementsshallbefullyleveragedtocomprehensivelyandaccuratelyreflecttheinnovationcapacityofachievements,theperformanceintheircommercializationandapplication,andtheircontributiontoeconomicandsocialdevelopment,andsparenoefforttoenhancetheirhigh-quality（一）指导思想。以习近平新时代中国特色社会主义思想为指导，深入贯彻党的十九大和十九届二中、三中、四中、五中全会精神，深入实施创新驱动发展战略，深化科技体制改革，坚持正确的科技成果评价导向，创新科技成果评价方式，通过评价激发科技人员积极性，推动产出高质量成果、营造良好创新生态，促进创新链、产业链、价值链深度融合，为构建新发展格局和实现高质量发展提供有力支撑。（二）基本原则。坚持科技创新质量、绩效、贡献为核心的评价导向。充分发挥科技成果评价的“指挥棒”作用，全面准确反映成果创新水平、转化应用绩效和对经济社会发展的实际贡献，着力强化成果高质量供给与转化应用。supplyandcommercializationandapplication.坚持科学分类、多维度评价。针对科技成果具有多元价值 的特点，科学确定评价标准，开展多层次差别化评价，提 高成果评价的标准化、规范化水平，解决分类评价体系不 健全以及评价指标单一化、标准定量化、结果功利化的问 题。Adheringtoscientificclassificationandmulti-dimensionalevaluation.Thestandardsofevaluationshallbedeterminedinascientificmannerbasedonthediversifiedfeaturesofscientificandtechnologicalachievements.Differentialevaluationshallbeconductedatvariouslevels,andtheevaluationofachievementsshallbestandardizedandwell-regulated.Theexistingproblems,suchasineffectivesystemforclassificationandevaluation,simplifiedevaluationindicators,quantitativeevaluationstandards,andprofit-basedevaluationresultsshallbeproperlyresolved.坚持正确处理政府和市场关系。充分发挥市场在资源配置 中的决定性作用，更好发挥政府作用，引入第三方评价， 加快技术市场建设，加快构建政府、社会组织、企业、投 融资机构等共同参与的多元评价体系，充分调动各类评价 主体的积极性，营造成果评价的良好创新生态。Continuingtocorrectlydealwiththerelationshipbetweenthegovernmentandthemarket.Themarketshallplayadecisiveroleintheallocationofresources,andtheroleofthegovernmentshallbeleveragedinamoreeffectivemanner.Theapproachofthird-partyevaluationshallbeintroduced.Theestablishmentofatradingmarketfortechnologyproductsshallbeaccelerated.Adiversifiedevaluationsystemwiththeparticipationofgovernmentagencies,socialorganizations,enterprisesandinvestmentandfinancinginstitutionsshallbeestablishedinafastermanner,wherebytofullymotivatevariousparticipantsintheevaluationandcreateaninnovation-drivenenvironmentfavorabletotheevaluationofachievements.坚持尊重科技创新规律。把握科研渐进性和成果阶段性的特点，创新成果评价方式方法，加强中长期评价、后评价和成果回溯，引导科研人员潜心研究、探索创新，推动科Remainingcommittedtotherulesofscientificandtechnologicalinnovation.Basedonthegradualprogressinscientificandtechnologicalresearchandphasedachievements,newevaluationmethodsshallbeintluced,andmedium-and-long-termevaluation,post-achievementevaluationandretrospectiveanalysisofachievementsshallbeadvanced.Scientificresearchpersonnelshallbeguidedtoconcentrateonresearchandpursueinnovationsoastopromotetheearlydiscoveryandrealizationofthevalueofscientificandtechnologicalachievements.II.Majortasksandmeasures1. Comprehensivelyandaccuratelyassessingthevalueofscientificandtechnologicalachievementsintheaspectsofscience,technology,economy,societyandculture.Inaccordancewithdifferentfeaturesofachievementsandthepurposeofevaluation,thediversifiedvalueofscientificandtechnologicalachievementsshallbeassessedinaprecisemanner.Theassessmentofscientificvalueshallbefocusedontheuniquecontributioninrespectofnewdiscoveries,newtheoriesandnewmethods.Theassessmentoftechnologicalvalueshallattachimportancetomajorinventions,withanemphasisontheiractualperformanceinresolvingkeygenerictechnicalproblemsincertainindustries,andsignificanttechnicalinnovationchallengesofenterprises,particularlycoretechnicaldifficulties.Theassessmentofeconomicvalueshalllayemphasisontheimpactofachievementsoneconomicandindustrialdevelopmentsuchasmarketingprospect,anticipatedbenefitsandpotentialrisks.Theassessmentofsocialvalueshallhighlighttheeffectivenessofachievementsinresolvingmajorbottlenecksintermsof,amongothers,people'shealthcare,nationaldefense,publicsecurity,andenvironmentalprotection.Theassessmentofculturalvalueshallemphasizetheimpactofachievementsonandtheir技成果价值早发现、早实现。二、主要工作措施（一）全面准确评价科技成果的科学、技术、经济、社会、文化价值。根据科技成果不同特点和评价目的，有针对性地评价科技成果的多元价值。科学价值重点评价在新发现、新原理、新方法方面的独创性贡献。技术价值重点评价重大技术发明，突出在解决产业关键共性技术问题、企业重大技术创新难题，特别是关键核心技术问题方面的成效。经济价值重点评价推广前景、预期效益、潜在风险等对经济和产业发展的影响。社会价值重点评价在解决人民健康、国防与公共安全、生态环境等重大瓶颈问题方面的成效。文化价值重点评价在倡导科学家精神、营造创新文化、弘扬社会主义核心价值观等方面的影响和贡献。（二）健全完善科技成果分类评价体系。基础研窕成果以 同行评议为主，鼓励国际“小同行”评议，推行代表作制 度，实行定量评价与定性评价相结合。应用研究成果以行 业用户和社会评价为主，注重高质量知识产权产出，把新 技术、新材料、新工艺、新产品、新设备样机性能等作为 主要评价指标。不涉及军工、国防等敏感领域的技术开发 和产业化成果，以用户评价、市场检验和第三方评价为 主，把技术交易合同金额、市场估值、市场占有率、重大 工程或重点企业应用情况等作为主要评价指标。探索建立 重大成果研发过程回溯和阶段性评估机制，加强成果真实 性和可靠性验证，合理评价成果研发过程性贡献。（三）加快推进国家科技项目成果评价改革。按照“四个contributionsto,amongothers,advocatingthespiritofscientists,creatingthecultureofinnovation,andcarryingforwardcoresocialistvalues.2. Improvingthesystemfortheclassificationandevaluationofscientificandtechnologicalachievements.Asregardstobasicresearchachievements,priorityshallbegiventopeerreview,andmeanwhilethereviewofinternationalpeersshallbeencouraged.Thesystemofrepresentativeworksshallbeadvanced,andquantitativeandqualitativeevaluationshallbecombined.Intermsofappliedresearchachievements,theevaluationmadebyindustrialusersandthesocietyshallbeemphasized,theoutputofhigh-qualityintellectualpropertyrightsshallbehighlighted,andnewtechnologies,newmaterials,newprocesses,newproductsandtheperformanceofnewequipmentprototypesshallbetakenasprimaryevaluationindicators.Fortechnicaldevelopmentandindustrializationachievementsnotinvolvingmiliiaryornationaldefense,focusshallbeplacedonuserassessment,markettestsandthird-partyevaluation;andtheamountoftechnicaltransactioncontracts,marketvaluation,marketshare,theapplicationofachievementsinmorengineeringprojectsorkeyenterprisesshallbetakenasprimaryevaluationindicators.EffortsshallbemadetoexploreamechanismforR&Dprocessretrospectiveanalysisandphasedevaluationofmajorachievements,strengthentheverificationofanachievement'sauthenticityandreliability,andproperlyevaluatethecontributionsofanachievement'sR&Dprocedures.3. Acceleratingthereformintheevaluationofachievementsinnationalscientificandtechnologicalprojects.Thepilotreform面向”要求深入推进科研管理改革试点，抓紧建立科技计划成果后评估制度。建设完善国家科技成果项目库，根据不同应用需求制定科技成果推广清单，推动财政性资金支 持形成的非涉密科技成果信息按规定公开。改革国防科技 成果评价制度，探索多主体参与评价的办法。完善高等院 校、科研机构职务科技成果披露制度。建立健全重大项目 知识产权管理流程，建立专利申请前评估制度，加大高质 量专利转化应用绩效的评价权重，把企业专利战略布局纳 入评价范围，杜绝简单以申请量、授权量为评价指标。（四）大力发展科技成果市场化评价。健全协议定价、挂牌交易、拍卖、资产评估等多元化科技成果市场交易定价inthemanagementofscientificresearchshallbefurtheradvancedinaccordancewiththerequirementsoftechnologicalinnovationinfouraspects(world'scutting-edgescienceandtechnology,maineconomicbattlefields,thestate'smajordemands,andthepeople'slifeandhealth).Noeffortshallbesparedinestablishingapost-achievementsystemforscientificandtechnologicalplans.Aneffectiveprojectdatabasefornationalscientificandtechnologicalachievementsshallbeestablishedandimproved.Alistofscientificandtechnologicalachievementsformarketingandpromotionshallbecreatedaccordingtovariousapplicationneeds.Theinformationonnon-confidentialscientificandtechnologicalachievementsfundedbythepublicfinanceshallbedisclosedaccordingtorelevantprovisions.Theevaluationsystemforscientificandtechnologicalachievementsinnationaldefenseshallbereformed,andthemethodsofevaluationwithmultipleparticipantsshallbeexplored.Thesystemforthedisclosureofjob-relatedscientificandtechnologicalachievementsmadebycolleges,universitiesandscientificresearchinstitutesshallbeimproved.Amanagementprocessforintellectualpropertyrightsderivingfrommajorprojectsshallheestablishedandimproved.Asystemforpre-applicationpatentevaluationshallbecreated,inwhichtheweightofperformanceofhigh-qualitypatentsintheircommercializationandapplicationwillbeincreased.Thestrategicplanofenterprisesforpatentsshallbeincludedinthescopeofevaluation.AnendshallbeputtothepracticeinwhichthenumberofpatentsappliedfororgrantedissolelyUkenasevaluationindicators.4. Strivingtopromotemarket-basedevaluationforscientificandtechnologicalachievements.Thediversifiedpricingmodesforthetransactionofscientificandtechnologicalachievementssuchascontractualpricing,tradingonexchanges,auction,andassetsevaluationshallbeimproved.Acceleratedmovesshallbemadetobuildamodernizedandhigh-standardtechnologyexchangemarket.Anationaltradingcenterforintellectualpropertyrightsandpropertyrightsofscientificandtechnologicalachievementsshallbeestablished.Thesystemforthetradingandsupervisionoftechnologicalfactorsshallbeupgraded.Supportshallbeprovidedforcolleges,universities,scientificresearchinstitutes,andenterprisestotradetheirachievementsonthetradingcenter.Forachievementsfundedbythepublicfinancewhichhavenotbeencommercializedforacertainperiodoftime,thedisclosureoftheirinformationandthecommercializationoftheseachievementsshallbeencouragedonthetradingcenter.AnationalinformationpublishingmechanismIbrthetradingoftechnologiesshallbeestablishedsoastoaccelerateeffortstomaketheinformationanddataregardingthetradingoftechnologies»scientificandtechnologicalachievementsandtheregistrationoftechnicalcontractsbetterconnectedinaccordancewiththelaw.Technologytransferentitiesshallbeencouragedtodevelopthemselvesinaprofessional,market-orientedandwell-regulatedmanner.Amechanismfortrainingevaluatorsthatareprimarilytechnologymanagersshallbeestablished.Technologytransferentitiesandtechnologymanagersshallbeencouragedtoparticipateintheentireprocessincludingthedisclosure,evaluation,coordination,andnegotiationinrespectofinventionssoastoCarTyoutprofessionalevaluationofscientificandtechnologicalachievementsbasedonmarketneeds.Higher-levelnationalpilotzonesforthetransferandcommercializationofscientificandtechnological模式，加快建设现代化高水平技术交易市场。推动建立全国性知识产权和科技成果产权交易中心，完善技术要素交易与监管体系，支持高等院校、科研机构和企业科技成果进场交易，鼓励一定时期内未转化的财政性资金支持形成的成果进场集中发布信息并推动转化。建立全国技术交易信息发布机制，依法推动技术交易、科技成果、技术合同登记等信息数据互联互通。鼓励技术转移机构专业化、市场化、规范化发展，建立以技术经理人为主体的评价人员培养机制，鼓励技术转移机构和技术经理人全程参与发明披露、评估、对接谈判，面向市场开展科技成果专业化评价活动。提升国家科技成果转移转化示范区建设水平，发挥其在科技成果评价与转化中的先行先试作用。（五）充分发挥金融投资在科技成果评价中的作用。完善 科技成果评价与金融机构、投资公司的联动机制，引导相 关金融机构、投资公司对科技成果潜在经济价值、市场估 值、发展前景等进行商业化评价，通过在国家高新技术产 业开发区设立分支机构、优化信用评价模型等，加大对科 技成果转化和产业化的投融资支持。推广知识价值信用贷 款模式，扩大知识产权质押融资规模。在知识产权已确权 并能产生稳定现金流的前提下，规范探索知识产权证券 化。加快推进国家科技成果转化引导基金管理改革，引导 企业家、天使投资人、创业投资机构、专业化技术转移机 构等各类市场主体提早介入研发活动。（六）引导规范科技成果第三方评价。发挥行业协会、学achievementsshallbedevelopedsoastoleveragetheirroleintakingtheleadintheevaluationandcommercializationoftheseachievements.5. Makingfulluseoffinancialinvestmentintheevaluationofscientificandtechnologicalachievements.Themechanismforcoordinationbetweentheevaluationofachievementsandfinancialinstitutionsandinvestmentcompaniesshallbeimproved,wherebytoguiderelevantfinancialinstitutionsandinvestmentcompaniesinevaluatingthecommercializationofscientificandtechnologicalachievementsintermsoftheirpotentialeconomicvalue,marketvaluation,prospect,etc.Theinvestmentandfinancingsupportshallbeincreasedforthecommercializationandindustrialapplicationofscientificandtechnologicalachievementsbyestablishingtheirbranchesandsubsidiariesinnationalhigh-techindustrialdevelopmentzonesandoptimizingtheircreditassessmentmodels.Themodeofcreditloansbasedonthevalueofintellectualpropertyshallbepromoted,andthesizeofraisedfundsusingthepledgeofintellectualpropertyrightsshallbeincreased.Providedthatintellectualpropertyrightshavebeenconfirmedandcangenerateastablecashflow,thesecuritizationofintellectualpropertyrightsshallbeexploredandproperlyregulated.Thereformofthemanagementofaseedfundatthenationallevelforthecommercializationofscientificandtechnologicalachievementsshallbeacceleratedsoastoencouragealltypesofmarketplayerssuchasenterprises,angelinvestors,venturecapitalinstitutions,andspecializedtechnologytransferentitiestoengageinR&Dactivitiesasearlyaspossible.6. Guidingandregulatingthird-partyevaluationofscientificandtechnologicalachievements.Theroleof,amongothers,industrialassociations,academies,researchinstitutes,andspecializedevaluationentitiesintheevaluationofscientificandtechnologicalachievementsshallbeleveraged,theirselfregulationbestrengthened,andthesystemforwithdrawalofstakeholdersbeimproved,soastopromotetheregulationofmarketevaluationactivities.Generalrulesfortheevaluationofscientificandtechnologicalachievementsshallbedevelopedsoastospecifytechnicalstandardsandregulationsforevaluationincertainsectors.Industrialstandardsforthird-parlyevaluationentitiesshallbeestablishedandconstantlyimproved,whichshallsetforththeirqualifications,professionalcompetenceandotherrequirements.Relevantmanagementsystems,standardsandcodes,andqualitycontrolsystemsshallbeimproved.Indicatorsandmethodsfortheevaluationofscientificandtechnologicalachievementsintermsofinnovationandmaturityshallbeestablishedandpromoted.Relevantdepartments,localgovernments,andindustriesshallbeencouragedtoestablishaninformationserviceplatformfortheevaluationofachievementswherebytoreleaseinformationsuchaspolicies,standards,rules,methods,toolsandpersonnelregardingtheevaluationsoastoimprovetheopennessandtransparencyoftheevaluationofachi