Management Measures for the Open Sharing of National Major Scientific Research Infrastructure and Large-scale Scientific Instruments

I. What is the background and purpose of the "Administrative Measures for the Open Sharing of National Major Scientific Research Infrastructure and Large-scale Scientific Instruments"?

Article 65 of the "Scientific Progress Law of the People's Republic of China" stipulates that "the management units of scientific and technological resources shall publicly announce the sharing and use system and usage status of the scientific and technological resources under their management, and arrange usage according to the usage system." In December 2014, the State Council issued the "Opinions of the State Council on Opening National Major Scientific Research Infrastructure and Large-scale Scientific Instruments to the Public" (hereinafter referred to as the "Opinions"), which clearly requires "the formulation of management systems and measures to promote the opening of scientific research facilities and instruments."

To clarify the responsibilities of management departments and units in the work of open sharing, streamline the management mechanism for open operation, promote the open sharing of national major scientific research infrastructure and large-scale scientific instruments, improve the utilization efficiency of scientific research infrastructure and instruments, and fully release service potential, in accordance with the requirements of the "Scientific Progress Law of the People's Republic of China" and the "Opinions," the Ministry of Science and Technology, together with the National Development and Reform Commission and the Ministry of Finance, jointly formulated these "Measures" based on thorough research and extensive consultation. 

II. What are the overall guiding principles and guidelines for formulating the "Measures"?

The overall guiding principle for formulating the "Measures" is to rely on the national network management platform, aim to solve problems in open sharing, and focus on optimizing resource allocation, improving management mechanisms, and increasing the efficiency of scientific research instruments and facilities. It fully implements the requirements of the "Opinions" regarding the open sharing of major national scientific research infrastructure and large-scale scientific research instruments.

The "Measures" emphasize the following principles: First, the principle of openness as the norm and non-openness as the exception. In accordance with the requirements of the "Opinions," all non-classified and non-restricted scientific research facilities and instruments should be open to the public. Second, the principle of combining rewards and punishments. An evaluation and supervision system based on user use and with user participation should be established, forming a reward and punishment mechanism closely linked to the quantity and quality of scientific research facilities and instruments serving the public. Third, the principle of classified management. Different assessment standards and methods should be formulated for different types of scientific research facilities and instruments, and classified assessments should be implemented.

III. What are the main contents and scope of application of the "Measures"?

The "Measures" consists of five chapters: General Provisions, Management Responsibilities, Open Sharing, Assessment and Rewards/Punishments, and Supplementary Provisions. 

The Measures clarify the scope of national major scientific research infrastructure and large-scale scientific research instruments included in the open sharing mechanism; clarify the responsibilities of the Ministry of Science and Technology, the Ministry of Finance, relevant ministries and commissions of the State Council, local governments, and management units in the open sharing work; set requirements for the management units in terms of system construction, team building, service fees, and intellectual property rights; stipulate the principles, methods, procedures, and uses of evaluation and assessment results; establish a post-evaluation subsidy mechanism; and formulate punitive measures.

The Measures apply to central-level research and development institutions, universities, and other institutions. Relevant departments shall formulate or revise relevant management regulations and implementation rules in accordance with these Measures and in light of their actual circumstances; local governments may refer to these Measures for implementation.

IV. What is the scope of major scientific research infrastructure and large-scale scientific research instruments in the Measures?

The national major scientific research infrastructure and large-scale scientific research instruments referred to in the Measures mainly include various major scientific research infrastructures constructed and purchased with government budgetary funds for scientific research and technological development activities, and scientific instruments and equipment with a single set value of 500,000 yuan or more. 

Major scientific research infrastructure refers to large-scale scientific research systems funded by government budgets, constructed over a considerable period, and generally required to operate stably and continuously conduct scientific and technological activities to achieve important scientific and technological or public service goals. This includes national major science and technology infrastructure approved by the National Development and Reform Commission, such as the Beijing Electron-Positron Collider and the Shanghai Synchrotron Radiation Facility, as well as other major scientific research infrastructure projects initiated by various departments and units, such as various wind tunnels and supercomputing centers.

Large-scale scientific research instruments refer to instruments and equipment with an original value of 500,000 RMB or more that directly serve scientific research and technological development activities. This includes scientific research and teaching instruments, but excludes auxiliary equipment such as various power equipment and mechanical equipment, as well as instruments and equipment used for production.

V. What is the division of responsibilities among departments and management units in the management of open sharing of scientific research facilities and instruments?

The Measures clearly define the division of responsibilities among science and technology management departments, relevant departments of the State Council, competent departments, and management units in the work of open sharing of scientific research facilities and instruments. The specific division of responsibilities is as follows:

The Ministry of Science and Technology is responsible for the macro-management and comprehensive coordination of the open sharing of scientific research facilities and instruments, promoting and supervising the work of open sharing, and, in conjunction with relevant departments, establishing and managing a national network management platform and evaluation system for scientific research facilities and instruments, and organizing evaluation and assessment of open sharing.

The Ministry of Finance coordinates the promotion of open sharing of scientific research facilities and instruments, providing support through a post-subsidy mechanism to management units with good open sharing effects and high user evaluations based on evaluation and assessment results, and, in conjunction with relevant departments, promoting the optimal allocation of scientific research facilities and instruments based on evaluation and assessment results.

The competent departments are responsible for establishing and improving policies and regulations for the open sharing of scientific research facilities and instruments within their departments, encouraging directly affiliated research institutions, universities, and other units to share innovative resources such as instruments, equipment, and experimental platforms; reviewing information on scientific research facilities and instruments submitted to the national network management platform by their subordinate management units, supervising and guiding the open sharing work of their subordinate management units; and organizing evaluation and assessment of the open sharing work of their subordinate management units.

The management unit is the responsible entity for the open sharing of scientific research facilities and instruments. Its main responsibilities include implementing relevant national policies and requirements; formulating regulations and systems for the open sharing of its own scientific research facilities and instruments; establishing and improving incentive and constraint mechanisms for the open sharing of scientific research facilities and instruments; building an online service platform for the open sharing of scientific research facilities and instruments; strengthening the development of experimental technical personnel; cooperating with relevant departments in the evaluation and assessment of open sharing; and accepting public supervision.

VI. What measures in the "Measures" guarantee the effective implementation of the open sharing of scientific research facilities and instruments?

First, reasonable charges are allowed for external sharing services to protect the legitimate interests of the entities providing open sharing. The "Measures" stipulate that management units of scientific research facilities and instruments may charge fees for providing open sharing services based on cost recovery and non-profit principles, and the fee standards should be disclosed to the public in an appropriate manner. Relevant income of administrative and public institutions shall be handled in accordance with the relevant regulations on the paid use of state-owned assets. Universities and research institutes may improve their internal cost accounting systems and establish a paid service revenue and expenditure management system in accordance with relevant regulations to protect the legitimate interests of their units.

Second, open sharing is encouraged through a post-subsidy mechanism. The Ministry of Finance, in conjunction with relevant departments, will provide post-funding support to management units that demonstrate good open service performance and high user satisfaction, based on evaluation and assessment results and the requirements of fiscal budget management.

Third, the Measures strengthen support for experimental technicians and enhance the enthusiasm of frontline technicians for open sharing. The Measures stipulate that management units of scientific research facilities and instruments should establish and stabilize high-level, professional experimental technical service teams, implementing incentive-based policies and measures in areas such as job placement, professional training, salary and benefits, promotion, and evaluation and assessment.

VII. What are the specific requirements for the evaluation and assessment of open sharing of scientific research facilities and instruments as outlined in the Measures?

The Measures specify the evaluation and assessment of open sharing from four aspects: the organization of the assessment, the assessment methods, the assessment targets, and the assessment results.

Regarding the assessment methods: Corresponding assessment indicators and methods will be formulated based on the characteristics of different types of scientific research facilities and instruments, and a classified assessment will be implemented; the assessment will be conducted step-by-step based on the different characteristics of the management units of scientific research facilities and instruments.

Regarding the assessment targets: Major scientific research infrastructure will be assessed separately, while other large-scale instruments will be assessed based on the management unit, with a comprehensive assessment of all eligible large-scale instruments held by the management unit.

Regarding the assessment results: The assessment results will be published on the national network management platform and will have three applications. First, the post-subsidy mechanism mentioned earlier. Second, the construction and configuration of scientific research facilities and instruments. The "Measures" stipulate that the assessment results should serve as the basis for the construction and configuration of scientific research facilities and instruments. The review and evaluation of proposed new facilities and newly purchased instruments should be combined with the assessment results. For management units with poor assessment results, penalties will be imposed, such as reducing the next year's repair and purchase funds and prohibiting the purchase of instruments and equipment when applying for science and technology programs (special projects, funds). Third, the impact on relevant responsible parties. The "Measures" stipulate that for management units with poor assessment results, the Ministry of Science and Technology, in conjunction with relevant departments, will issue warnings and order them to rectify within a specified period. For those who fail to fulfill their sharing and usage obligations as required, the competent department will impose disciplinary action on the relevant responsible personnel.

VIII. What are the specific requirements of the "Measures" for including scientific research facilities and instruments in the national network management platform?

The "Opinions" clearly require that all eligible scientific research facilities and instruments be included in the unified management of the national network management platform.

The Measures stipulate that management units should, within 30 working days from the date of completion of installation, use, and acceptance of scientific research facilities and instruments, submit relevant information on scientific research facilities and instruments that meet the conditions for opening to the national network management platform in accordance with unified standards and requirements. For those not included, the management unit should submit an application, which, after review and approval by the competent department, should be reported to the Ministry of Science and Technology for record-keeping. The Measures also require management units to establish and maintain comprehensive records of the operation and opening status of scientific research facilities and instruments, and submit them to the national network management platform quarterly.

Commentary

These Measures clearly address the content, scope, division of responsibilities, and related requirements for instrument opening. By formulating these measures, they help solve problems in the work of opening and sharing, promote the open sharing of major national scientific research infrastructure and large-scale scientific research instruments, improve the utilization efficiency of scientific research infrastructure and instruments, and fully unleash their service potential.