Circular of the State Council on the issuance and implementation of several provisions of the law of the people's Republic of China on promoting the transformation of scientific and technological achievements

Source: People's governments of all provinces, autonomous regions and municipalities directly under the central government, ministries and commissions under the State Council, and institutions directly under the State Council (2016-3-3, GF [2016] No 16) of the state government website: now we have printed and distributed to you several provisions on the implementation of the law of the people's Republic of China on promoting the transformation of scientific and technological achievements, please implement them seriously The State Council implemented several provisions of the law of the people's Republic of China on promoting the transformation of scientific and technological achievements on February 26, 2016 In order to speed up the implementation of the innovation driven development strategy, implement the law of the people's Republic of China on promoting the transformation of scientific and technological achievements, open the channel for the combination of science and technology with economy, promote mass entrepreneurship and innovation, encourage innovation subjects such as research and development institutions, colleges and universities, enterprises and scientific and technological personnel to transfer and transform scientific and technological achievements, and promote the upgrading of economic quality and efficiency, the following provisions are made 1 To promote the transfer of technology from research and development institutions and institutions of higher learning (1) the State encourages research and development institutions and institutions of higher learning to transfer scientific and technological achievements to enterprises or other organizations by means of transfer, licensing or pricing investment Research and development institutions and institutions of higher learning established by the State shall take measures to give priority to the transfer of scientific and technological achievements to small, medium and micro enterprises, so as to provide technological supply for mass entrepreneurship and innovation Research and development institutions and institutions of higher learning established by the state may, on their own, decide to transfer, license or value their scientific and technological achievements, without examination and approval or filing, except for those involving state secrets and national security Research and development institutions and institutions of higher learning established by the state have the right to confirm the equity and proportion of capital contribution based on the value of the scientific and technological achievements held by them according to law, and clearly stipulate the ownership, value, number of shares converted or proportion of capital contribution of the scientific and technological achievements in the form of sponsor agreement, investment agreement or articles of association, etc., so as to clarify the property rights (2) research and development institutions and institutions of higher learning established by the State shall establish and improve the working system and mechanism of technology transfer, improve the management system for the transfer and transformation of scientific and technological achievements, clarify the main body of responsibility for each work of scientific and technological achievements transformation, establish and improve the collective decision-making system of the leading group for major events of scientific and technological achievements transformation, strengthen the construction of specialized scientific and technological achievements transformation team, and optimize The transformation process of scientific and technological achievements shall be carried out through the institutions in charge of technology transfer of their own units or by entrusting independent service institutions for transformation of scientific and technological achievements We will encourage research and development institutions and institutions of higher learning to build specialized technology transfer institutions without increasing their staffing All the revenues from the transformation of scientific and technological achievements of research and development institutions and institutions of higher learning established by the State shall be retained by the units and included in the unit budget They shall not be turned over to the state treasury After deducting the rewards and rewards for the personnel who have made important contributions to the completion and transformation of scientific and technological achievements, they shall be mainly used for the related work of scientific and technological research and development and achievement transformation, and for the operation and development of the technology transfer institutions Exhibition is guaranteed (3) research and development institutions and institutions of higher learning established by the State shall determine the prices of the scientific and technological achievements they hold by means of agreement pricing, listing in the technology trading market, auction and other market-oriented methods In case of pricing by agreement, the holder of scientific and technological achievements shall publicize the name of scientific and technological achievements and the price to be traded in its own unit for no less than 15 days The unit shall clarify and publicize the procedures and methods for handling objections (4) the State encourages small and medium-sized enterprises that invest in the form of scientific and technological achievements as shares to make full use of the capital market to become bigger and stronger The financial and scientific and technological administrative departments under the State Council shall study and formulate relevant policies on the exemption of state-owned shares formed by state-owned research and development institutions and institutions of higher learning from technology from transferring to the national social security fund when the enterprises are listed (5) research and development institutions and institutions of higher learning established by the State shall, in accordance with the prescribed format, submit the annual report on the transformation of scientific and technological achievements of the previous year to their competent departments before March 30 of each year, and the report shall be reviewed by the competent departments on April 30 of each year Recently, the annual report on the transformation of scientific and technological achievements of each unit has been submitted to the information management system designated by the administrative department of science and technology and finance The contents of the annual report mainly include: 1 The overall achievements and problems in the transformation of scientific and technological achievements; 2 The quantity and relevant conditions of scientific and technological achievements obtained according to law; 3 The transfer, licensing and pricing investment of scientific and technological achievements; 4 Promote the cooperation between industry, University and Research Institute, including the self built, CO built research and development institutions, technology transfer institutions, service platforms for the transformation of scientific and technological achievements, the signing of technology development contracts, technology consulting contracts, technology service contracts, personnel training and mobility, etc.; 5 Achievements, rewards and punishments of transformation of scientific and technological achievements, including income and distribution of transformation of scientific and technological achievements, rewards and rewards for personnel engaged in transformation of scientific and technological achievements, etc II Encourage the innovation and Entrepreneurship of scientific and technological personnel (VI) when the research and development institutions and institutions of higher learning established by the state formulate the income distribution system for the transformation of scientific and technological achievements, they shall fully listen to the opinions of their own scientific and technological personnel in accordance with the regulations, and publicize the relevant systems in their own units When rewarding the persons who have completed the work-related scientific and technological achievements and other persons who have made important contributions to the transformation of the achievements in accordance with the law, the following provisions shall be followed: 1 For the transformation of the work-related scientific and technological achievements by means of technology transfer or license, a proportion of not less than 50% of the net income from the technology transfer or license shall be used for the reward 2 In case of conversion of investment based on scientific and technological achievements, no less than 50% of the shares or the proportion of capital contribution obtained from the investment based on the price shall be used for reward 3 Those who have made major contributions to research and development and the transformation of scientific and technological achievements shall receive no less than 50% of the total amount of awards 4 Rewards given to scientific and technological personnel for carrying out technological development, technical consultation, technical services and other activities in the transformation of scientific and technological achievements may be implemented in accordance with the law on promoting the transformation of scientific and technological achievements and these provisions (7) scientific and technological personnel of research and development institutions and institutions of higher learning established by the state, on the premise of performing their post duties and completing their own work, may, with the consent of the units, work part-time in enterprises and other enterprises to engage in transformation of scientific and technological achievements, or leave their posts and start businesses, and in principle, retain personnel relations and engage in transformation of scientific and technological achievements for no more than three years Research and development institutions and institutions of higher learning shall establish systems to stipulate or stipulate with scientific and technological personnel the rights and obligations during and after the period of part-time or post leaving to engage in the transformation of scientific and technological achievements During the period of leaving the post and starting a business, the national science and technology plans and fund projects undertaken by the scientific and technological personnel shall not be suspended in principle, and the procedures for suspension shall be handled in accordance with the relevant administrative measures We will actively promote the gradual elimination of the administrative levels of business management posts established by the state, such as research and development institutions, institutions of higher learning and their internal departments, establish a personnel management system in line with the laws of scientific and technological innovation, and promote the transfer and transformation of scientific and technological achievements (8) for the scientific and technological personnel who hold the leading position to obtain awards for the transformation of scientific and technological achievements, the principle of classified management shall be followed: 1 If the heads of departments, units under the State Council, research and development institutions affiliated to various localities, institutions of higher learning and other institutions (excluding internal institutions) as well as the heads of institutions with independent legal personality affiliated to the said institutions are the main Achievers of scientific and technological achievements or make important contributions to the transformation of scientific and technological achievements, they may obtain the present situation in accordance with the provisions of the law on promoting the transformation of scientific and technological achievements In principle, no equity incentive can be obtained Other scientific and technological personnel holding leading positions who are the main Achievers of scientific and technological achievements or make important contributions to the transformation of scientific and technological achievements may, in accordance with the provisions of the law on the promotion of the transformation of scientific and technological achievements, receive awards and remuneration such as cash, shares or proportion of capital contributions 2 The profit distribution of scientific and technological achievements transformation of the scientific and technological personnel who hold the leading position shall be subject to the public announcement system, and they shall not take advantage of their power to encroach on the profit of scientific and technological achievements transformation of others (9) the State encourages enterprises to establish and improve the incentive and distribution mechanism for the transformation of scientific and technological achievements, and make full use of equity sales, equity awards, stock options, project income dividends, post dividends and other ways to encourage scientific and technological personnel to carry out the transformation of scientific and technological achievements The competent administrative departments of finance, science and technology under the State Council shall study and formulate incentive policies for equity and dividends of state-owned science and technology enterprises, and implement incentives for scientific and technological personnel in combination with deepening the reform of state-owned enterprises (10) in the process of transformation of scientific and technological achievements, if the price is determined through listing, auction, etc in the technology trading market, or if the price is determined through agreement and the price to be traded is publicized in the unit and the technology trading market, the unit leader shall exempt the subsequent price due to transformation of scientific and technological achievements in the pricing of scientific and technological achievements on the premise of performing the duty of diligence and diligence and not seeking illegal interests The decision responsibility arising from the change of value III create a good environment for the transfer and transformation of scientific and technological achievements (XI) the competent departments of research and development institutions, colleges and universities, finance, science and technology and other relevant departments shall take the transformation of scientific and technological achievements as one of the evaluation indicators when evaluating the performance of units (12) increase support to research and development institutions, institutions of higher learning and personnel with outstanding achievements in the transformation of scientific and technological achievements Research and development institutions, competent departments of institutions of higher learning and relevant departments such as finance and science and technology evaluate the performance of scientific and technological achievements transformation of units according to the annual report of scientific and technological achievements transformation of units, and take the evaluation results as one of the reference basis for supporting units Research and development institutions and institutions of higher learning established by the State shall establish incentive systems to reward specialized technology transfer institutions with outstanding performance (XIII) do a good job in promoting the pilot tax policies of the national independent innovation demonstration area to the whole country, and implement the existing tax policies to promote the transformation of scientific and technological achievements We should actively study and explore tax policies to support the transformation of scientific and technological achievements of units and individuals (14) the relevant departments of the State Council shall, in accordance with the provisions of laws and the relevant provisions of the reform of the classification of public institutions, study and formulate policies for the transformation of scientific and technological achievements that conform to the characteristics of the industries and fields under their administration For the transformation of scientific and technological achievements involving national security and state secrets, the competent authorities of the industry shall improve the management system and encourage and regulate the transformation activities of relevant scientific and technological achievements For the classified scientific and technological achievements, the relevant units shall timely do a good job in decrypting and declassifying them according to the situation (15) all localities and departments should earnestly strengthen the organization and leadership of the transformation of scientific and technological achievements, study new situations and problems in time, strengthen policy coordination, optimize policy environment, carry out monitoring and evaluation, summarize and promote experiences and practices in time, strengthen publicity, improve the quality and efficiency of the transformation of scientific and technological achievements, and promote the transformation and upgrading of China's economy, improve quality and efficiency 。 (16) the Circular of the general office of the State Council Transmitting the provisions of the Ministry of science and technology and other departments on promoting the transformation of scientific and technological achievements (GBF [1999] No 29) shall be repealed at the same time In case of any inconsistency between the previous relevant provisions and these Provisions, these Provisions shall prevail.