Promotion of the Sci-tech Achievements Conversion Law

The State Council issued and issued the "People's Republic of China"
Notification of Certain Provisions of the Law on the Promotion of the Transformation of Scientific and Technological Achievements

Guofa [2016] 16

The people's governments of provinces, autonomous regions, and municipalities directly under the Central Government, the ministries and commissions of the State Council, and the agencies directly under the State Council:

The “Manual Provisions of the People's Republic of China Law on the Promotion of the Conversion of Scientific and Technological Achievements” is hereby printed and distributed to you. Please implement it conscientiously.

State Council

February 26, 2016

(This article is released publicly)

Implementation of the "People's Republic of China Law to Promote the Conversion of Scientific and Technological Achievements"

To expedite the implementation of innovation-driven development strategies and implement the "People's Republic of China Law for Promoting the Transformation of Scientific and Technological Achievements," we must open channels for integration of science and technology and economy, promote popular entrepreneurship, innovate people, and encourage research and development institutions, institutions of higher learning, enterprises, and other innovative entities and technologies. Personnel transfer and transform scientific and technological achievements, and promote economic upgrading and efficiency upgrading, and make the following provisions.

I. Promoting research and development institutions and technological transfer in institutions of higher learning

(1) The State encourages R&D institutions and institutions of higher learning to transfer scientific and technological achievements to enterprises or other organizations through transfer, licensing, or pricing investment. The research and development institutions and institutions of higher learning set up by the state should take measures to prioritize the transfer of scientific and technological achievements to small, medium and micro enterprises and provide technical support for popular entrepreneurship and innovation.

The research and development institutions and institutions of higher learning set up by the state may independently decide to transfer, license, or make investment in the scientific and technological achievements held by them. Except for state secrets and national security, there is no need for examination and approval or filing.

The research and development institutions and institutions of higher learning set up by the state have the right to use the scientific and technological achievements held by them as a shareholder to confirm the equity and capital contribution ratio, and to administer the ownership, pricing, and discount of scientific and technological achievements in the form of sponsor agreements, investment agreements, or articles of association. Issues such as the number of shares or the proportion of capital contributions are clearly stipulated and the property rights are clearly defined.

(2) The research and development institutions and institutions of higher learning set up by the State shall establish and improve the system and mechanism for the transfer of technology, improve the management system for the transfer of scientific and technological achievements, clarify the responsible subjects for the work of transforming scientific and technological achievements, and establish and improve major issues for the transformation of scientific and technological achievements. Leading group collective decision-making system, strengthen the construction of specialized scientific and technological achievements transformation team, optimize the transformation process of scientific and technological achievements, through the unit responsible for technology transfer work or entrust an independent scientific and technological achievement transformation service organization to carry out technology transfer. Encourage research and development institutions and institutions of higher learning to build specialized technology transfer agencies without increasing the establishment.

The revenues from research and development institutions set up by the state and universities and colleges in transforming scientific and technological achievements are all left in the unit, incorporated into the unit budget, not turned over to the state treasury, and after deducting the rewards and rewards to personnel who have made important contributions to the completion and transformation of their scientific and technological achievements, they should mainly For scientific and technological research and development and achievement transformation and other related work, and to guarantee the operation and development of technology transfer institutions.

(3) The research and development institutions and institutions of higher learning set up by the state shall determine the prices of scientific and technological achievements held by them through market-based methods such as pricing through agreement, listing in technology market, and auctioning. If the agreement is priced, the holder of the scientific and technological achievements shall publicize the name of the scientific and technological achievements and the price to be traded in the unit, and the publicity time shall be no less than 15 days. Units shall make clear and open procedures and methods for objection processing.

(4) The state encourages small and medium-sized enterprises investing in scientific and technological achievements to invest in equity to make full use of the capital market to become bigger and stronger. The competent administrative department of finance and science and technology under the State Council shall study and formulate research and development institutions set up by the state and state-owned shares formed by technology and equity in institutions of higher learning. When the company is listed, it will waive the relevant policies for transfer to the national social security fund.

(5) The research and development institutions and institutions of higher learning set up by the State shall submit their annual reports on the transformation of scientific and technological achievements of the previous year to their competent authorities before March 30 of each year in accordance with the prescribed format. Before the 30th of the month, the annual report on the scientific and technological achievements of each unit shall be submitted to the information management system designated by the scientific and technological and financial administrative departments. The contents of the annual report mainly include:

1. The overall achievements and problems faced in the transformation of scientific and technological achievements;

2. Obtain the number of scientific and technological achievements and relevant information according to law;

3. Scientific and technological achievements transfer, license and price investment;

4. Promoting the cooperation of industry, universities, and research institutes, including self-construction, joint construction of research and development institutions, technology transfer agencies, transformation of scientific and technological achievements service platforms, signing of technology development contracts, technical consulting contracts, technical service contracts, personnel training, and personnel flow, etc. ;

5. Achievements in the conversion of scientific and technological achievements, as well as rewards and punishments, including income and distribution of scientific and technological achievements, rewards and rewards for the transformation of scientific and technological achievements.

Second, encourage scientific and technological personnel innovation and entrepreneurship

(6) When the research and development institutions and institutions of higher learning established by the State formulate a revenue distribution system for the transformation of scientific and technological achievements, they must fully listen to the opinions of scientific and technical personnel of the unit and publish relevant systems in their own units. In the case of rewards for the completion of duties scientific and technological achievements and other personnel who make important contributions to the transformation of achievements, the following provisions shall be implemented:

1. Where technology achievements are transferred to technology in the form of technology transfer or licensing, no less than 50% of the net income obtained from technology transfer or licensing shall be used for rewards.

2. If the transformation is implemented through scientific and technological achievements as a price investment, it shall draw a ratio of not less than 50% out of the shares or capital contribution ratio obtained from the price-based investment for reward.

3. Those who make major contributions to research and development and the transformation of scientific and technological achievements shall receive no less than 50% of the total award.

4. The award of scientific and technical personnel for technological development, technical consultation, technical service and other activities in the transformation of scientific and technological achievements may be implemented in accordance with the Law on the Promotion of the Conversion of Scientific and Technological Achievements and these Provisions.

(7) Under the premise of fulfilling their job responsibilities and completing their own work, the research and development institutions set up by the state and the science and technology personnel of institutions of higher learning shall, with the consent of the acquiring entity, engage in part-time work in the transformation of scientific and technological achievements, or leave the post and start their own business. In principle, personnel relations shall be retained for a period of not more than 3 years and engaged in the transformation of scientific and technological achievements. Research and development institutions and institutions of higher learning shall establish institutional rules or stipulate the rights and obligations of scientific and technical personnel for part-time appointments and post-expiration periods of scientific and technological achievements. During the period of starting a job, the national science and technology plans and fund projects undertaken by scientific and technical personnel may not be suspended in principle. If it is really necessary to suspend, it shall go through the formalities in accordance with relevant administrative measures.

Actively promote the gradual abolition of state-level research and development institutions, institutions of higher learning and their internal administrative departments and other business management positions in the administrative level, the establishment of a human resource management system in line with scientific and technological innovation, and promote the transfer of scientific and technological achievements.

(8) For scientific and technical personnel who hold leading positions to receive scientific and technological achievements conversion incentives, they shall be implemented in accordance with the principle of classified management:

1. The formal leadership of departments, units and local research and development institutions, local institutions of higher learning, institutions of higher learning and other institutions (excluding internal institutions), and the above-mentioned institutions have their own independent legal entity qualified leaders, is the main achievement of scientific and technological achievements If people make important contributions to the transformation of scientific and technological achievements, they may receive cash awards in accordance with the provisions of the Law on the Promotion of Scientific and Technological Achievements Conversion, and in principle they may not obtain equity incentives. Where other scientific and technical personnel who hold leadership positions are the main contributors of scientific and technological achievements or make important contributions to the transformation of scientific and technological achievements, they may receive rewards and rewards such as cash, shares, or the proportion of investment in accordance with the provisions of the Law on the Promotion of Scientific and Technological Achievements Conversion.

2. The open-publicity system shall be applied to the distribution of benefits from the transfer of scientific and technological achievements of scientific and technical personnel who hold leadership positions and shall not use their powers to invade the proceeds of other people's scientific and technological achievements.

(9) The State encourages enterprises to establish sound incentive distribution mechanisms for the transformation of scientific and technological achievements, and to make full use of equity sales, equity awards, stock options, project revenue distribution, and post dividends to motivate scientific and technological personnel to transform scientific and technological achievements. The administrative departments of finance, science and technology of the State Council shall study and formulate incentive policies for equity and dividends in state-owned science and technology enterprises, and intensify the reform of state-owned enterprises to encourage scientific and technological personnel.

(10) In the process of transforming scientific and technological achievements, if prices are determined through technology trading market listing transactions, auctions, etc., or through agreement pricing and publicized transaction prices in their own units and technology trading markets, the unit leaders shall perform their duty of due diligence, without Under the premise of gaining illegal benefits, it is exempted from its decision-making responsibilities resulting from changes in the subsequent value of scientific and technological achievements in the pricing of scientific and technological achievements.

Third, create a scientific and technological achievements transferred to transform a good environment

(11) Research and development institutions, competent departments of institutions of higher learning, and related departments such as finance, science and technology shall, when performing performance appraisal of units, regard the conversion of scientific and technological achievements as one of the evaluation indicators.

(12) Increase support for research and development institutions, institutions of higher learning, and personnel with outstanding achievements in the transformation of scientific and technological achievements. The research and development institutions, the competent departments of universities and colleges, and the relevant departments of finance, science and technology, etc., evaluate the performance of the transformation of the scientific and technological achievements of the unit based on the annual report of the transformation of scientific and technological achievements, and use the evaluation results as one of the reference points for supporting the unit. .

The research and development institutions and institutions of higher learning set up by the state shall formulate incentive systems and reward those specialized technical transfer institutions with outstanding performance.

(13) To do a good job of promoting taxation pilot policies for national independent innovation demonstration zones to promote the nationwide implementation of tax policies that promote the transformation of scientific and technological achievements. Actively research and explore tax policies that support the transformation of scientific and technological achievements of individuals and organizations.

(14) The relevant departments of the State Council shall study and formulate policies for the conversion of scientific and technological achievements in line with the characteristics of the industries and fields under their management, in accordance with the relevant provisions of the laws and the reform of the classification and classification of public institutions. In relation to the transformation of scientific and technological achievements involving national security and state secrets, the competent department of the industry shall improve the management system and inspire and standardize the transformation of relevant scientific and technological achievements. For related scientific and technological achievements, the relevant units should do a good job in decryption and reduction in time according to the situation.

(15) All localities and departments shall effectively strengthen the organization and leadership of scientific and technological achievements transformation work, timely study new situations and new issues, strengthen policy coordination, optimize policy environment, conduct monitoring and evaluation, and timely summarize and popularize experience and practices. Propaganda efforts will increase the quality and efficiency of the transformation of scientific and technological achievements, and promote China's economic transformation and upgrading, and improve quality and efficiency.

(16) The “Notice of the General Office of the State Council Forwarding the Provisions of the Ministry of Science and Technology and Other Departments on Promoting the Transformation of Scientific and Technological Achievements” (Guobanfa [1999] No. 29) shall be repealed at the same time. In case of any inconsistency between the relevant regulations and this regulation, these regulations shall be followed.