(December 31, 2022)

STCSM D [2022] No. 10

Attention: all relevant units:

With a view to implementing and enforcing the Provisions of Shanghai Municipality on Promoting the Sharing of Large Scientific Instruments and Facilities, improving the sharing and utilizing of large scientific instruments and facilities, and enhancing the scientific and innovative capacity, the Implementation Rules of Procedures of Shanghai Municipality on Evaluation and Awards for Sharing Services of Large Scientific Instruments and Facilities are revised and formulated in accordance with the Procedures of Shanghai Municipality on Evaluation and Awards for Sharing Services of Large Scientific Instruments and Facilities. We hereby issue them to you, and request you to implement them conscientiously.

You are hereby notified.

Implementation Rules of Procedures of Shanghai Municipality on Evaluation and

Awards for Sharing Services of Large Scientific Instruments and Facilities

Article 1 (Purposes)

With a view to implementing and enforcing the Provisions of Shanghai Municipality on Promoting the Sharing of Large Scientific Instruments and Facilities, improving the utilization efficiency of large scientific instruments and facilities, and enhancing the scientific and innovative capacity, these implementation rules are formulated in accordance with the Procedures of Shanghai Municipality on Evaluation and Awards for Sharing Services of Large Scientific Instruments and Facilities (hereinafter referred to as the “Procedures”).

Article 2 (Application Subjects)

These Implementation Rules apply to higher-learning institutions, scientific research institutes, and other legal person or non-legal-person organizations (hereinafter jointly referred to as the “management units”) applying for the evaluation and awards of large scientific instruments and facilities sharing services within the administrative area of this Municipality.

Article 3 (Definition)

The “acts of scientific research and technological development” mentioned in Article 3 of the Procedures include the development of new technologies, new products, new processes and new materials, and other technological innovation activities. Activities such as legal certification, law enforcement inspections, commercial inspections, commercial filming, medical services, telecommunications billing, and large-scale inspections are not included.

Article 4 (Application Requirements)

Large scientific instruments and facilities applying for sharing services awards shall complete information submission, join the Shanghai R&D Public Service Platform, and voluntarily provide sharing services to the public.

Article 5 (Evaluation Content)

The “performance of sharing services” mentioned in Article 7 of the Procedures includes the annual compliance rate of running hours of the shared instruments, the annual compliance rate of shared service hours per instrument, the annual average number of users of the shared instruments, the annual average service revenue of the shared instruments, and the social benefits achieved by sharing services in a year. The “sharing service management” includes the organization safeguards and incentive measures of the unit, internal service quality management, and user management. The “service team and capabilities” include the technical personnel staffing, skills training of technical personnel, as well as service qualifications and service level of the unit. The “information disclosure” includes the quantity, completeness, and timeliness of instrument information updating, the information submissions of annually added instruments, and the annual increase of newly-affiliated instruments.

Article 6 (Evaluation Procedures)

The Municipal Science and Technology Commission shall, jointly with all relevant competent departments, organize the annual evaluation and awards of the sharing services of large scientific instruments and facilities in accordance with Article 8 of the Procedures.

1. The Municipal Science and Technology Commission shall issue a notice of the application for annual evaluation and awards in May each year.

2. The Municipal Science and Technology Commission may entrust an accepting institution to collect application materials and review the appropriateness and completeness of the materials, and organize experts to evaluate and score the effective application materials submitted by the management units.

3. Five users from each evaluated management unit may be randomly selected for a user satisfaction survey.

4. The sharing services of large scientific instruments and facilities of the management units shall be ranked based on the evaluation scores, and the evaluation results will be determined. Those below 60 points are considered unqualified (out of a full score of 100).

Article 7 (Award Conditions)

The “awards for advanced individuals” mentioned in Article 9 of the Procedures shall be divided into two categories, namely management and technical, who are selected through a combination of recommendation by the management unit, recommendation by the competent department(s), and expert advice.

Article 8 (Determination of Award Money)

The service performance value of each single (set of) large scientific instrument and facility is determined based on its sharing service hours, fees, and user numbers, combined with the evaluation results of the sharing services of the large scientific instruments and facilities provided by the management unit. The calculation formula is as follows:

Service Performance Value of Each Single (Set of) Instrument = Adjustment Coefficient of the Evaluation Result × (External Service Hours of Each Single (Set of) Instrument / Average Service Hours of All Instruments in the Current Year + External Service Fees of Each Single (Set of) Instrument / Average Service Fees of All Instruments in the Current Year + External Service Number of Users of Each Single (Set of) Instrument /Average Service Number of Users of All Instruments in the Current Year)

The Adjustment Coefficient of the Evaluation Result shall be determined based on the evaluation results of the sharing services of the large scientific instruments and facilities in each unit and is used to adjust the Service Performance Value of Each Single (Set of) Instrument. Where the evaluation result of a management unit is excellent, the Adjustment Coefficient shall be 1.2; where the result is qualified, the Adjustment Coefficient shall be 1.

Based on the nature of the unit, the large scientific instruments and facilities may be of two groups, namely the group of higher-learning institutions and scientific research institutes, and the group of others, and may be divided into five levels from A to E according to the performance value of the instruments. The proportion of instruments in each level and the award money for each single (set of) large scientific instrument and facility are as follows: 50,000 yuan for the top 5% of level A; 30,000 yuan for the 5%-15% of level B; 10,000 yuan for the 15%-75% of level C; 5,000 yuan for the 75%-95% of level D; and 1,000 yuan for the bottom 5% of level E.

Article 9 (Fund Management and Supervision)

The award fund shall be included in the departmental budget of the Municipal Science and Technology Commission, and be managed and appropriated in accordance with relevant provisions of the departmental budget funds.

Management units shall submit the actual use of the award fund to the accepting institution for record; the accepting institution shall compile the use of funds and submit it to the Municipal Science and Technology Commission for record.

Article 10 (Effective Date)

These Implementation Rules shall be effective as of January 1, 2023, and remain in effect till December 31, 2027. The Implementation Rules of Procedures of Shanghai Municipality on Evaluation and Awards for Sharing Services of Large Scientific Instruments and Facilities (STCSM D [2018] No. 3) shall be repealed simultaneously.