Circular of the State Council on the Issuance and Implementation of Certain Provisions of the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements

Circular of the State Council on the Issuance and Implementation of Certain Provisions of the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements

No. 16 Guofa (2016)
People's Governments of provinces, autonomous regions and municipalities directly under the Central Government, ministries and commissions under the State Council, and agencies directly under the State Council.
 
　　Now the implementation of the Law of the People's Republic of China on the Promotion of the Transformation of Scientific and Technological Achievements "several provisions" issued to you, please seriously implement.
                                                                                       Department of State February 26, 2016 (This is a public release)
Provisions on the Implementation of the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements
 
　　In order to accelerate the implementation of the innovation-driven development strategy, implement the Law of the People's Republic of China on the Promotion of the Transformation of Scientific and Technological Achievements, open up channels for the integration of science and technology with the economy, promote mass entrepreneurship and innovation, encourage the transfer and transformation of scientific and technological achievements by innovative entities such as research and development institutions, institutions of higher learning and enterprises, as well as scientific and technological personnel, and promote the upgrading of the economy by increasing its efficiency, the following provisions have been made.
I. Promoting technology transfer 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 through transfer, licensing or investment for a price. State-established research and development institutions and institutions of higher learning should take measures to give priority to the transfer of scientific and technological achievements to small, medium and micro-enterprises, so as to provide technology supplies for mass entrepreneurship and innovation.
　　State-established research and development institutions and institutions of higher education can decide independently to transfer, license or invest in the scientific and technological achievements they hold, without the need for examination and approval or filing, except for those involving state secrets and national security.
　　State-established research and development institutions and institutions of higher education have the right, in accordance with the law, to price the scientific and technological achievements they hold as shares to confirm their shareholdings and the proportion of their capital contributions, and to make clear agreements on such matters as the ownership of scientific and technological achievements, their price, the number of shares to be discounted or the proportion of capital contributions by means of promoter agreements, investment agreements or articles of association, so as to clarify property rights.
　　(2) State-established research and development institutions and institutions of higher learning should establish and improve the system and mechanism for technology transfer, improve the management system for the transfer and transformation of scientific and technological achievements, identify the responsible parties for the transformation of scientific and technological achievements, establish and improve the collective decision-making system for the leadership on major matters relating to the transformation of scientific and technological achievements, strengthen the construction of a professional team for the transformation of scientific and technological achievements, optimize the process of the transformation of scientific and technological achievements, and be responsible for the transfer of scientific and technological achievements through their own units. Technology transfer agencies or independent scientific and technological achievement transfer services are commissioned to carry out technology transfer work. Research and development institutions and institutions of higher learning are encouraged to establish specialized technology transfer agencies without increasing their staffing levels.
　　All income from the transformation of scientific and technological achievements by State-established research and development institutions and institutions of higher learning is retained by the unit and incorporated into the unit's budget; it is not paid into the State treasury, and, after deducting the rewards and remuneration for personnel who have made important contributions to the completion and transformation of scientific and technological achievements, it should be used mainly for research and development and the transformation of scientific and technological achievements, and the operation and development of technology transfer institutions should be guaranteed.
　　(3) State-established research and development institutions and institutions of higher education shall determine the prices of scientific and technological achievements held by them through such market-oriented methods as agreement pricing, listing on the technology exchange market, and auction. In the case of agreement pricing, the unit holding the scientific and technological achievements shall publicize the name of the scientific and technological achievements and the proposed transaction price at the unit for not less than 15 days. The unit shall clarify and make public the procedures and methods for handling objections.
　　(iv) The State encourages small and medium-sized enterprises that have invested in scientific and technological achievements as shares to make full use of the capital market to grow bigger and stronger, and the financial and scientific and technological administrative departments of the State Council are required to study and formulate policies to exempt State-owned shares in State-established research and development institutions and institutions of higher learning that have been invested in technology from being transferred to the National Social Security Fund when the enterprises are listed.
　　(5) State-established research and development institutions and institutions of higher education shall, in accordance with the prescribed format, submit an annual report on the transformation of their units' scientific and technological achievements of the previous year to their competent departments by March 30 of each year, and the competent departments shall, after examination, submit the annual report on the transformation of each unit's scientific and technological achievements to the information management system designated by the scientific and technological and financial administrative departments by April 30 of each year. The contents of the annual report mainly include.
　　1. The overall effectiveness of the transformation of scientific and technological achievements and the problems faced.
　　2. The number of scientific and technological achievements obtained in accordance with the law and related information.
　　3. The transfer, licensing and investment in scientific and technological results.
　　4. Promoting cooperation among industry, universities and research institutes, including the establishment of self-built or jointly-built research and development institutions, technology transfer institutions and service platforms for the transformation of scientific and technological achievements, the signing of technology development contracts, technology consulting contracts and technical service contracts, as well as the training of talents and the movement of personnel.
　　5. Transformation of scientific and technological achievements performance and rewards and punishments, including the transformation of scientific and technological achievements to obtain income and distribution, rewards and remuneration to the transformation of scientific and technological achievements personnel.
II. Stimulating innovation and entrepreneurship among scientific and technical personnel
　　(f) When State-established research and development institutions and institutions of higher learning formulate systems for the distribution of proceeds from the transformation of scientific and technological achievements, they must fully listen to the views of their own scientific and technological personnel in accordance with the regulations, and make the relevant systems public in their own institutions. In accordance with the law, the following provisions shall be applied when awarding rewards to office holders of scientific and technological achievements and other persons who have made important contributions to the transformation of such achievements.
　　1. Technology transfer or licensing of the transformation of occupational scientific and technological achievements, shall be no less than 50% of the net income obtained from technology transfer or licensing shall be used for incentives.
　　2 to the scientific and technological achievements of the implementation of the transformation of the investment price, shall be obtained from the investment price of shares or the proportion of capital to extract not less than 50% of the proportion of the reward.
　　3. personnel who have made major contributions in research and development and the transformation of scientific and technological achievements will receive a share of the award not less than 50% of the total award.
　　4. Rewards to scientific and technical personnel for technological development, technical consultation, technical service and other activities in the transformation of scientific and technical achievements may be implemented in accordance with the Law on the Promotion of the Transformation of Scientific and Technical Achievements and these regulations.
　　(vii) Scientific and technical personnel in State-established research and development institutions and institutions of higher education may, with the consent of their units, engage in the conversion of scientific and technical achievements on a part-time basis in enterprises or leave their posts to start their own businesses, and may, in principle, retain their personnel relationship and engage in the conversion of scientific and technical achievements for a period not exceeding three years, provided that they perform their duties and complete their own work. Research and development institutions, institutions of higher learning should establish a system or with the scientific and technical personnel to agree on part-time, leave the post to engage in the transformation of scientific and technological achievements during the period and after the expiry of the rights and obligations. In principle, the national science and technology plans and fund projects undertaken by scientific and technical personnel shall not be suspended during the period of leaving their jobs to start up their own businesses; if they need to be suspended, they shall follow the relevant management procedures.
　　Actively promoting the gradual abolition of administrative levels of business management posts in State-established research and development institutions, institutions of higher learning and their internal faculties and departments, and establishing personnel management systems that conform to the laws of scientific and technological innovation and promote the transfer of scientific and technological achievements.
　　(viii) For scientific and technical personnel in leadership positions to receive awards for the transformation of scientific and technical achievements, the following are implemented in accordance with the principles of category management.
　　1. Heads of departments, units under the State Council, local research and development institutions, institutions of higher learning and other institutions (excluding internal organizations), as well as heads of independent legal entities belonging to the above-mentioned institutions, who are the main completers of scientific and technological achievements or have made important contributions to the transformation of scientific and technological achievements, may receive cash rewards in accordance with the provisions of the Law on Promoting the Transformation of Scientific and Technological Achievements, and in principle may not receive Equity Incentives. Other scientific and technical personnel in leading positions who are the main completers of scientific and technical achievements or have made important contributions to the transformation of scientific and technical achievements may receive rewards and remuneration in cash, shares or proportion of capital contribution in accordance with the provisions of the Law on Promoting the Transformation of Scientific and Technical Achievements.
　　2. To the scientific and technical personnel in leadership positions of the scientific and technical achievements of the transformation of the income distribution of the public announcement system, shall not use his powers to usurp the scientific and technical achievements of others.
　　(ix) The State encourages enterprises to establish and improve incentive mechanisms for the transformation of scientific and technological achievements, and to make full use of equity sales, equity rewards, stock options, project income dividends and job bonuses to encourage scientific and technological personnel to transform their scientific and technological achievements. The administrative departments in charge of finance, science and technology under the State Council shall study and formulate policies on equity and dividend incentives for state-owned scientific and technological enterprises, and implement incentives for scientific and technological personnel in conjunction with deepening the reform of state-owned enterprises.
　　(10) In the process of transformation of scientific and technological achievements, through the technology market listing, auction and other ways to determine the price, or through the agreement pricing and announced in the unit and the technology market to be traded price, the unit leadership in the performance of due diligence obligations, no illegal profits, under the premise of the premise, exempted from the pricing of scientific and technological achievements in the scientific and technological achievements due to subsequent changes in the value of decision-making.
3. Create a favorable environment for the transfer of scientific and technological achievements
　　(xi) The authorities of research and development institutions and institutions of higher learning, as well as relevant departments of finance and science and technology, should include the transformation of scientific and technological achievements as one of the evaluation indicators when evaluating the performance of their units.
　　(xii) Increasing support for research and development institutions, institutions of higher learning and personnel with outstanding performance in the transformation of scientific and technological achievements. The competent departments of research and development institutions and institutions of higher learning, as well as the relevant departments of finance and science and technology, will evaluate the performance of units in the transformation of scientific and technological achievements on the basis of their annual reports, and the results of the evaluation will be used as one of the reference bases for providing support to the units.
　　State-established research and development institutions and institutions of higher learning should develop incentive systems to reward specialized technology transfer institutions with outstanding performance.
　　(xiii) Promote the national extension of the pilot taxation policy of the National Independent Innovation Demonstration Zone, and implement existing taxation policies that promote the transformation of scientific and technological achievements. Actively study and explore tax policies to support the transformation of scientific and technological achievements of units and individuals.
　　(xiv) Relevant departments of the State Council shall, in accordance with the relevant provisions of the law and the relevant provisions of the classification reform of public institutions, study and formulate policies on the transformation of scientific and technological achievements that are consistent with the characteristics of the industries and fields they manage. For the transformation of scientific and technological achievements involving national security and state secrets, the competent industrial departments shall improve the management system, and encourage and regulate the transformation activities of relevant scientific and technological achievements. For scientific and technological achievements involving secrets, the relevant units shall do the declassification and declassification work in a timely manner according to the situation.
　　(xv) All localities and departments should strengthen the organization and leadership of the transformation of scientific and technological achievements, conduct timely research on new situations and issues, strengthen policy coordination, optimize the policy environment, carry out monitoring and evaluation, summarize and disseminate experiences and practices, intensify publicity, enhance the quality and efficiency of the transformation of scientific and technological achievements, and promote China's economic transformation and upgrading, quality and efficiency.
　　(xvi) The Notice on Several Provisions on Promoting the Transformation of Scientific and Technological Achievements Transmitted by the General Office of the State Council to the Ministry of Science and Technology and Other Departments (Guo Ban Fa [1999] No. 29) is also repealed. If the previous provisions are inconsistent with these regulations, they shall be implemented in accordance with these regulations.

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