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Implementation of the "People's Republic of China to promote the transformation of scientific and technological achievements"

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Implementation of the "People's Republic of China to promote the transformation of scientific and technological achievements"

 

Guofa [2016] No. 16


 In order to accelerate the implementation of the innovation-driven development strategy, implement the "People's Republic of China to promote the transformation of scientific and technological achievements", open up the channel of science and technology and economic integration, promote mass entrepreneurship, innovation, encourage research and development institutions, institutions of higher learning, enterprises and other innovative entities and technology The personnel transfer and transfer of scientific and technological achievements, promote economic upgrading, efficiency improvement, and make the following provisions.
1. Promote technology transfer in research and development institutions and universities
(1) The State encourages research and development institutions and institutions of higher learning to transfer scientific and technological achievements to enterprises or other organizations through transfer, licensing or investment in investment. Research and development institutions and institutions of higher learning established by the state should take measures to prioritize the transfer of scientific and technological achievements to small and medium-sized enterprises, and provide technical supply for mass entrepreneurship and innovation.
The research and development institutions and institutions of higher learning established by the state may independently transfer, license or invest in scientific and technological achievements. Except for state secrets and national security, no approval or filing is required.
The research and development institutions and institutions of higher learning established by the state have the right to use the scientific and technological achievements held by the company to confirm the shareholding and capital contribution ratio, and to the ownership, price, and discount of scientific and technological achievements through the form of sponsor agreement, investment agreement or company charter. The number of shares or the proportion of capital contribution is clearly stipulated and the property rights are clarified.
(2) The research and development institutions and institutions of higher learning established by the state shall establish and improve the technology transfer work system and mechanism, improve the management system for the transfer and transformation of scientific and technological achievements, clarify the main body of responsibility for the transformation of scientific and technological achievements, and establish and improve major issues in 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 process of scientific and technological achievements transformation, and carry out technology transfer through the organization responsible for technology transfer work or the commissioned independent scientific and technological achievements transformation service organization. Encourage research and development institutions and institutions of higher learning to build specialized technology transfer institutions without increasing the establishment.
The incomes obtained by the state-established research and development institutions and institutions of higher education to transfer scientific and technological achievements are all retained by the unit, included in the unit budget, and not paid to the state treasury. After deducting the rewards and rewards for those who have made important contributions to the completion and transformation of their job achievements, they should be mainly It is used for scientific and technological research and development and transformation of results, and guarantees the operation and development of technology transfer institutions.
(3) The scientific and technological achievements held by the research and development institutions and institutions of higher learning established by the state shall determine the prices through market pricing such as agreement pricing, listing transactions in the technology trading market, and auctions. For the pricing of the agreement, the holder of the scientific and technological achievements shall publicize the name of the scientific and technological achievements and the proposed transaction price in the unit, and the publicity time shall not be less than 15 days. The unit shall clarify and disclose the procedures and methods for handling objections.
(4) The State encourages small and medium-sized enterprises that invest in scientific and technological achievements to invest in shares to make full use of the capital market to become bigger and stronger. The competent department of finance and science and technology of the State Council shall study and formulate state-owned shares formed by state-owned research and development institutions and institutions of higher learning by technology. Exemption from the relevant policies of the National Social Security Fund when the company is listed.
(5) The research and development institutions and institutions of higher learning established by the state shall, in accordance with the prescribed format, submit to their competent authorities an annual report on the transformation of their scientific and technological achievements in the previous year in accordance with the prescribed format. Before the 30th of the month, report the annual report on the transformation of scientific and technological achievements of all units to the information management system designated by the competent department of science and technology and finance. The contents of the annual report mainly include:
1. The overall results and problems faced by the transformation of scientific and technological achievements;
2. The number of scientific and technological achievements obtained in accordance with the law and relevant information;
3. Transfer of scientific and technological achievements, licensing and investment;
4. Promote cooperation between industry, universities and research institutes, including self-construction, joint research and development institutions, technology transfer institutions, and scientific and technological achievements transformation service platforms, signing technology development contracts, technical consulting contracts, technical service contracts, personnel training and personnel turnover, etc. ;
5. The performance of scientific and technological achievements transformation and rewards and punishments, including the income and distribution of scientific and technological achievements, the rewards and rewards for the transformation of scientific and technological achievements.
Second, encourage scientific and technological personnel to innovate and start businesses
(6) 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 the scientific and technological personnel of their own units in accordance with the regulations, and disclose relevant systems in their own units. When awarding rewards to those who complete the achievements in scientific and technological achievements and those who make important contributions to the transformation of results in accordance with the law, the following provisions shall be followed:
1. In the case of technology transfer or licensing, the proportion of not less than 50% of the net income from technology transfer or license shall be used for reward.
2. If the investment is implemented by scientific and technological achievements, the proportion of the shares or capital contribution obtained from the investment shall be no less than 50% for the reward.
3. Those who make major contributions in research and development and the transformation of scientific and technological achievements, the share of the award is not less than 50% of the total award.
4. Awards for scientific and technological personnel to carry out technical 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 the Promotion of the Transformation of Scientific and Technological Achievements and these Provisions.
(7) Under the premise of fulfilling the duties of the post and completing the work of the university, the scientific research personnel established by the state's research and development institutions and institutions of higher learning may, with the consent of the acquired units, engage in part-time employment of enterprises to engage in scientific and technological achievements transformation activities, or leave their posts to start businesses. In principle, no more than three years to retain personnel relations, engaged in scientific and technological achievements transformation activities. Research and development institutions and institutions of higher learning shall establish institutional regulations or the rights and obligations of the scientific and technical personnel to agree to part-time, leave the post to engage in scientific and technological achievements transformation activities and after the expiration. During the period of leaving the company, the national science and technology plans and fund projects undertaken by scientific and technical personnel shall not be suspended in principle. If it is necessary to suspend, it shall go through the formalities in accordance with relevant administrative measures.
Actively promote the phasing out of the administrative level of business management positions established by the state-owned research and development institutions, institutions of higher learning and their internal departments, establish a personnel management system in line with the laws of science and technology innovation, and promote the transfer of scientific and technological achievements.
(8) For scientific and technological personnel holding leadership positions to receive rewards for the transformation of scientific and technological achievements, in accordance with the principles of classified management:
1. The department, the unit, the local research and development institutions, the institutions of higher learning and other institutions (excluding the internal institutions), and the full-time leaders of the above-mentioned institutions with independent legal person qualifications are the main accomplishments of scientific and technological achievements. If a person makes an important contribution to the transformation of scientific and technological achievements, he may obtain a cash award in accordance with the provisions of the Law on the Promotion of the Transformation of Scientific and Technological Achievements. In principle, no equity incentives may be obtained. Other scientific and technical personnel who hold leadership positions are the main accomplishers of scientific and technological achievements or make important contributions to the transformation of scientific and technological achievements. They can obtain rewards and remunerations such as cash, shares or capital contribution ratios in accordance with the provisions of the Law on the Promotion of the Transformation of Scientific and Technological Achievements.
2. Implement a public disclosure system for the distribution of income from the scientific and technological achievements of scientific and technical personnel in leadership positions, and may not use their powers to encroach on the profits of others.
(9) The State encourages enterprises to establish and improve the incentive distribution mechanism for the transformation of scientific and technological achievements, and fully utilize the methods of equity sales, equity awards, stock options, project dividends, and job dividends to encourage scientific and technological personnel to carry out the transformation of scientific and technological achievements. The administrative department of finance, science and technology, etc. of the State Council shall study and formulate the equity and dividend incentive policies of state-owned science and technology enterprises, and deepen the reform of state-owned enterprises to provide incentives for scientific and technological personnel.
(10) In the process of transforming scientific and technological achievements, if the price is determined through the listing of trading in the technology trading market, auction, etc., or through the agreement pricing and publicizing the proposed transaction price in the unit and the technology trading market, the unit leader is performing diligent and conscientious obligations, Under the premise of absorbing illegal interests, it is exempted from its decision-making responsibility in the pricing of scientific and technological achievements due to the subsequent changes in the value of scientific and technological achievements.
Third, create a good environment for the transfer of scientific and technological achievements
(11) The research and development institutions, the competent departments of higher education institutions, and the relevant departments of finance, science and technology, etc., should regard the transformation of scientific and technological achievements as one of the evaluation indicators when conducting performance appraisal on the units.
(12) Increase the support for research and development institutions, universities and personnel with outstanding performance in the transformation of scientific and technological achievements. The research and development institutions, the competent departments of higher education institutions, and the relevant departments of finance, science and technology, etc., evaluate the performance of the transformation of scientific and technological achievements of the units according to the annual report on the transformation of scientific and technological achievements of the unit, and use the evaluation results as a reference for supporting the units. .
Research and development institutions and institutions of higher learning established by the state shall formulate incentive systems and reward specialized technology transfer institutions with outstanding performance.
(13) Do a good job in promoting the taxation pilot policy of the national independent innovation demonstration zone to the whole country, and implement the existing taxation policies to promote the transformation of scientific and technological achievements. Actively study and explore tax policies that support the transformation of scientific and technological achievements of individuals and individuals.
(14) Relevant departments of the State Council shall, in accordance with the relevant provisions of the law and the classification reform 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 management. In the transformation of scientific and technological achievements involving national security and state secrets, the competent departments of the industry shall improve the management system, and encourage and standardize the transformation activities of relevant scientific and technological achievements. For the results of classified scientific and technological achievements, the relevant units shall promptly do a good job of deciphering and reducing confidentiality according to the situation.
(15) All localities and departments must earnestly strengthen the organization and leadership of the transformation of scientific and technological achievements, timely study new situations and new problems, strengthen policy coordination, optimize the policy environment, conduct monitoring and evaluation, and timely summarize and promote experience and practice. Propaganda efforts to improve the quality and efficiency of the transformation of scientific and technological achievements, and promote China's economic transformation and upgrading, improve quality and efficiency.
(16) The Notice of the General Office of the State Council on Forwarding the Provisions of the Ministry of Science and Technology and Other Departments on Promoting the Transformation of Scientific and Technological Achievements (Guo Ban Fa [1999] No. 29) shall be abolished at the same time. If the relevant provisions are inconsistent with these Provisions, they shall be implemented in accordance with these Provisions.