Notice of the People's Government of Henan Province on Issuing the Management Measures for Laboratory Construction in Henan Province (Trial)

People's governments of cities under the jurisdiction of each province, the Management Committee of Jiyuan Demonstration Zone, the People's Governments of counties (cities) directly under the jurisdiction of each province, and various departments of the Provincial People's Government:

We hereby issue the "Henan Province Laboratory Construction Management Measures (Trial)" to you, please implement them seriously.

August 26, 2021

Henan Province Laboratory Construction Management Measures (Trial)

Chapter 1 General Provisions

Article 1: In order to implement the spirit of the "Several Opinions of the State Council on Comprehensively Strengthening Basic Scientific Research" (Guo Fa [2018] No. 4) and the decision-making and deployment of the provincial party committee and government on building a national innovation highland, strengthen strategic scientific and technological capabilities, and promote the construction, operation, and management of Henan Provincial Laboratories (hereinafter referred to as Provincial Laboratories) from a high starting point, high standard, and high level, these measures are formulated.

Article 2: Provincial laboratories are an important component of our province's scientific and technological innovation system, serving as the reserve team of national laboratories and the vanguard of various innovation bases in our province; We should focus on national strategic goals and major strategic needs of our province, actively integrate into the global innovation network, and form a full chain and open innovation highland that gathers high-level talents, tackles key core technologies, co builds and shares scientific research facilities, and transforms and applies scientific and technological achievements, becoming a powerful engine for promoting high-quality economic and social development in the region.

Article 3: The construction of provincial laboratories should highlight institutional and institutional innovation, and can integrate forces such as higher education institutions, research institutes, and industry leading enterprises within and outside the province across departments, regions, and fields, forming an innovative pattern with provincial laboratories as the core subject and various high-quality high-end innovation resources for collaborative cooperation.

Article 4: The construction of provincial laboratories shall adhere to the principle of "provincial government leading, municipal government or department (unit) leading, mature one, construction one, survival of the fittest, and orderly entry and exit".

Article 5: The Provincial Science and Technology Innovation Committee is responsible for coordinating the planning and layout of provincial laboratories, and the provincial government is responsible for approving the start of construction of provincial laboratories.

The Provincial Department of Science and Technology is the business guidance department of the provincial laboratory, which, in conjunction with relevant departments (units), strengthens the service, guidance, and supervision of the operation of the provincial laboratory, coordinates the implementation of support policies, and conducts performance evaluations in conjunction with the Provincial Department of Finance.

The municipal and county-level governments where provincial laboratories are located should jointly support the construction of provincial laboratories, and do a good job in infrastructure construction, funding investment, policy support, and condition guarantee.

Higher education institutions, research institutes, or enterprises that lead the construction of provincial laboratories are the supporting units of provincial laboratories, and should provide key guarantees in attracting top talents, building research conditions, undertaking high-quality strategic tasks, and supporting research funds.

Provincial industry regulatory authorities should actively play a role in coordinating the advantages and innovative forces within the industry to actively support and participate in the construction of provincial laboratories.

Article 6: The construction of a provincial laboratory shall be initiated after approval by the provincial government, with a construction period of 5 years. During the construction period, the government provides stable funding support; After the construction period expires, post subsidy support will be provided based on performance evaluation.

Article 7: Strengthen diversified investment, implement three-level linkage at the provincial, municipal, and county levels for provincial laboratories, and provide support for each case and discussion. Encourage governments at all levels to guide funds to support the transfer and transformation of scientific and technological achievements in provincial laboratories, and encourage provincial laboratories to expand their funding channels through cooperation with social capital, receiving social donations and subsidies in accordance with the law.

Article 8: All regions and departments shall provide support to provincial laboratories in building major basic research and development platforms, undertaking major scientific and technological projects, and gathering high-level innovative talents.

Chapter 2 Layout and Organization

Article 9: Provincial laboratories are established through methods such as "provincial level design layout" and "local government led creation". The construction of provincial laboratories should actively coordinate and utilize the existing technological innovation resources and facilities of various regions and relevant innovation entities.

Provincial level design layout: In accordance with the principles of "strategic urgent need, domestic first-class, cross integration, distinct characteristics, and supporting industries", comprehensively measure factors such as innovation resource base, industrial advantages, guarantee capacity, policy environment, and coordinated development, strengthen overall planning, select and integrate relevant provincial or above key laboratories and other innovation platforms, and actively layout and construct provincial laboratories from top to bottom, Enhance our province's ability to undertake major national strategic tasks.

Local government led creation: Focusing on the innovative needs of the cultivation and development of strategic emerging industries and the transformation and upgrading of traditional industries in our province, we support local governments to combine local economic and social development reality, rely on domestic and foreign advantageous universities, research institutes, and industry leading enterprises, actively apply for the construction of provincial laboratories from bottom to top, gather innovative resources from the province, break through core key common technologies, and provide innovative support for industrial development.

Article 10: Supporting units of provincial laboratories shall meet the following conditions:

（1）We have a national level research and development platform in relevant fields, with the necessary scientific research centralized housing and scientific infrastructure for provincial laboratory construction, stable research and development funding investment and guarantee mechanism, and the ability to carry out interdisciplinary and large-scale collaborative research.

（2）The research direction and field have obvious advantages or characteristics, in line with national development strategies and major local development needs, in line with the trend of interdisciplinary integration and development, and have the ability to undertake major scientific research tasks at or above the provincial level. The academic research carried out has reached the first-class level in the domestic discipline field.

（3）Having the ability to gather innovative talent resources both domestically and internationally, possessing a group of leading scientists recognized by domestic and foreign peers, high-level discipline leaders and research teams, and technical backbone.

（4）Having a new management system and operating mechanism that conforms to scientific laws.

Article 11: The procedures for initiating the construction of provincial laboratories are as follows:

（1）The provincial laboratory is organized by the supporting unit or the municipal government to prepare the construction plan, propose the composition of the council, the composition of the academic (consulting) committee, and the list of recommended laboratory directors. After expert argumentation, it is submitted to the Provincial Department of Science and Technology.

（2）The Provincial Department of Science and Technology organized experts to consult and conduct on-site inspections on the preparation plan for the provincial laboratory, forming argumentation opinions, guiding modifications and improvements, and submitting them to the provincial government for approval.

The provincial laboratory shall prepare and complete a construction implementation plan within 3 months after the approval of the provincial government to start construction, clarifying phased construction goals, key tasks, annual budget, and other contents. After being reviewed by the academic (consulting) committee and reviewed by the council, it shall be submitted to the Provincial Department of Science and Technology for filing, as the basis for performance evaluation of the provincial laboratory and provincial financial investment.

Chapter 3 Management System

Article 12: Provincial laboratories shall implement a director responsibility system under the leadership of the council. The Council is the macro management and leadership body of the provincial laboratory, composed of leaders of provincial and municipal governments and relevant departments, supporting units, as well as renowned scientists and entrepreneurs in related fields. It is responsible for reviewing major matters such as the development strategy, institutional setup, director nomination, and budget and final accounts of the provincial laboratory. The board of directors should hold regular meetings and form meeting minutes.

The director of the provincial laboratory is appointed by top domestic scientists with first-class academic attainments and excellent resource integration capabilities in the same field, approved by the provincial government, with a term of 5 years each. In principle, he/she shall not be reappointed for more than two consecutive terms. The director of the provincial laboratory shall work for a total of no less than 6 months annually for the provincial laboratory. The deputy director of the laboratory responsible for the daily operation and management of the provincial laboratory must work full-time in the provincial laboratory.

Article 13: The Academic (Consulting) Committee is the academic guidance institution of the provincial laboratory, with the director being a renowned scientist in the relevant field and generally being an academician; The committee is composed of well-known scientists, strategic experts, and entrepreneurs from both domestic and international sources. The Academic (Consulting) Committee is mainly responsible for guiding and grasping academic issues such as the research direction, academic layout, major research tasks and goals of provincial laboratories.

The director of the Academic (Advisory) Committee is appointed by the Council, with a term of 5 years each. In principle, he/she shall not be reappointed for more than two consecutive terms.

Article 14: If core personnel such as the director of the provincial laboratory and the director of the academic (consulting) committee are unable to continue performing their duties due to personal reasons, major work errors, or violations of contract, the supporting unit or the contracting municipal government shall propose preliminary opinions on adjustments and submit them to the Provincial Department of Science and Technology for approval in accordance with the procedures.

Article 15: Provincial laboratories shall establish a sound institutional system, clarify the basic rules, decision-making procedures, supervision mechanisms, and responsibility mechanisms for major management decisions, formulate the articles of association of the council, academic (consulting) committee, and research management, asset management, security and confidentiality systems, and report to the Provincial Department of Science and Technology for record keeping.

Article 16: Provincial laboratories shall establish a system for information dissemination and major event reporting. Information related to core technologies and major national security events should be promptly submitted to the Provincial Department of Science and Technology for approval in accordance with procedures, and carefully released. Any major matters involving the renaming of provincial laboratories, restructuring of councils, and changes in main research directions shall be submitted in writing to the Provincial Department of Science and Technology, which shall handle them in accordance with the procedures.

Article 17: Provincial laboratories shall establish a scientific and rigorous research ethics review system, strengthen expert evaluation, review, supervision, investigation and emergency response of research ethics, and effectively respond to research safety and ethical risks brought by cutting-edge technologies such as life sciences and artificial intelligence. Strengthening biosafety management and conducting research activities related to pathogenic microorganisms should be carried out in laboratories with corresponding biosafety protection levels. Research projects related to highly pathogenic pathogenic microorganisms should be submitted for approval in accordance with regulations.

Article 18: Provincial laboratories shall establish and improve a scientific research integrity system. Strengthen the normalized management of scientific research integrity, and promptly deal with serious fraud and major scientific research dishonesty.

Chapter 4 Operating Mechanism

Article 20: Provincial laboratories shall implement a new operating mechanism of task orientation, cross integration, collaborative research, and open sharing, and encourage provincial laboratories to operate as independent legal entities.

Article 21: Provincial laboratories shall innovate the formation mechanism and organizational methods of scientific research projects, adhere to facing the forefront of world science and technology, the main battlefield of the economy, the major needs of the country, and the life and health of the people, condense and deploy major scientific tasks, organize forward-looking, innovative, and integrated scientific research and technological breakthroughs, and carry out interdisciplinary and collaborative scientific and technological collaborative breakthroughs.

Article 22: Grants the provincial laboratory the right to independently initiate research projects. Provincial laboratories should establish a scientific, standardized, efficient and fair mechanism for independent project management. After being approved by the council, independent project projects should be reported to the Provincial Department of Science and Technology for filing, which is considered as a provincial-level science and technology plan project. Provincial laboratories should fulfill their management responsibilities and independently organize and implement them.

Article 23: Provincial laboratories shall implement the chief scientist system guided by major tasks. The Chief Scientist is responsible for the organization and implementation of major scientific research tasks, the overall promotion of various research directions and plans, and empowers them with autonomy in forming research teams, determining internal collaboration models and incentive mechanisms, and using funds.

Article 24: Provincial laboratories shall establish a new personnel management system and talent incentive mechanism. Establish an "open, mobile, competitive, and collaborative" employment mechanism, implement project management, set up positions according to needs, hire according to positions, manage contracts, dynamically adjust, and enable entry and exit. Implement a competitive salary distribution system that is commensurate with the scientific research capabilities and contributions of researchers, attract innovative leading talents and innovation teams to enter provincial laboratories, and strengthen the construction of young scientific research talents and research reserve forces.

Article 25: Provincial laboratories shall establish an open, collaborative, and interactive development mechanism. Pay attention to cooperation and co construction with domestic and foreign universities, research institutes, industry leading enterprises, and various scientific and technological innovation institutions (organizations) with innovative advantages, adopt various new research models such as research contracts and debunking, and form an innovation pattern of "strong core, multi base, large openness, large collaboration, and networking".

Article 26: Provincial laboratories shall establish a demand oriented mechanism for the transformation of scientific and technological achievements. Deploy an innovation chain around the industrial chain, coordinate and connect basic research, applied basic research, key technology development, scientific and technological achievement transformation, and industrial development support, explore incentive mechanisms for achievement transformation and income distribution policies linked to performance, and strengthen the supply of technology to technology-based enterprises, public technology platforms, and other sectors.

Chapter 5 Performance Evaluation

Article 27: Establish a performance evaluation mechanism that conforms to the characteristics and laws of provincial laboratories in accordance with the principle of "long cycle, heavy guidance, and promotion of development". Implement the reform policy of the science and technology evaluation system that emphasizes not only academic papers, but also professional titles, academic qualifications, and awards. Implement various methods such as the "representative work" system, the "landmark achievement" system, and the "milestone type" assessment, with a focus on assessing the achievement of international first-class talent introduction, landmark achievement output, and construction implementation plan goals and tasks.

Every 5 years is a cycle, and performance evaluation work is organized and implemented by a third-party organization commissioned by the Provincial Department of Science and Technology in conjunction with the Provincial Department of Finance.

Article 28: Annual self-assessment. Adopting a credit system approach, the provincial laboratory conducts a comparison and self-evaluation based on the construction implementation plan, annual work plan, and target tasks each year. Within three months after the end of the year, the self-evaluation report of the previous year and the detailed budget for the use of funds for the current year shall be submitted to the Provincial Department of Science and Technology and the Department of Finance. The Provincial Department of Science and Technology and the Department of Finance shall verify the self-evaluation situation as needed, and use the self-evaluation situation as an important basis for the arrangement of provincial financial support funds for the current year.

Article 29: Interim Evaluation. The Provincial Department of Science and Technology, in conjunction with the Provincial Department of Finance, commissioned a third-party evaluation agency to organize an expert group to conduct a mid-term evaluation based on the provincial laboratory construction implementation plan. The mid-term evaluation is conducted at the end of the third year of the construction period, mainly to evaluate the work and performance of the provincial laboratory. The evaluation results are divided into two levels: "qualified" and "unqualified". Provincial laboratories with an evaluation result of "unqualified" will be warned and ordered to rectify within a specified period of time. After the rectification is completed, provincial financial support funds for the next year will be allocated.

Article 30: Expiration assessment. The Provincial Department of Science and Technology, in conjunction with the Provincial Department of Finance, entrusts a third-party evaluation institution to organize an expert group to conduct assessment upon the expiration of the construction period according to the provincial laboratory construction implementation plan. The assessment results are divided into four levels: "excellent, good, qualified, and unqualified", which serve as an important basis for subsequent support. For those whose assessment results are "excellent" and "good", a certain performance reward will be given; Warn those whose assessment results are "unqualified" and order them to rectify within a specified period of time. Those who still fail after rectification will be delisted and the funds allocated by the provincial finance will be recovered according to the situation.

Chapter 6 Supplementary Provisions

Article 31: These measures shall come into effect from the date of issuance.