| Notice by the Ministry of Science and Technology of Issuing the Guiding Opinions on Promoting the Development of New Types of Research and Development Institutions | | 科技部印发《关于促进新型研发机构发展的指导意见》的通知 |
| (No. 313 [2019] of the Ministry of Science and Technology) | | （国科发政〔2019〕313号） |
| The science and technology departments (commissions or bureaus) of all provinces, autonomous regions, municipalities directly under the Central Government, cities under separate state planning, and sub-provincial cities; and Science and Technology Bureau of Xinjiang Production and Construction Corps: | | 各省、自治区、直辖市及计划单列市、副省级城市科技厅（委、局），新疆生产建设兵团科技局： |
| For the purposes of further implementing the strategy of innovation-driven development, promoting the sound and orderly development of new types of research and development (“R&D”) institutions, and improving the holistic efficiency of the national innovation system, the Ministry of Science and Technology has developed the Guiding Opinions on Promoting the Development of New Types of Research and Development Institutions, which are hereby issued to you for your earnest implementation. | | 为深入实施创新驱动发展战略，推动新型研发机构健康有序发展，提升国家创新体系整体效能，科技部制定了《关于促进新型研发机构发展的指导意见》，现印发给你们，请认真贯彻执行。 |
| Ministry of Science and Technology | | 科 技 部 |
| September 12, 2019 | | 2019年9月12日 |
| Guiding Opinions on Promoting the Development of New Types of Research and Development Institutions | | 关于促进新型研发机构发展的指导意见 |
| For the purposes of further implementing the strategy of innovation-driven development, promoting the sound and orderly development of new types of research and development (“R&D”) institutions, and improving the holistic efficiency of the national innovation system, the opinions are offered as follows: | | 为深入实施创新驱动发展战略，推动新型研发机构健康有序发展，提升国家创新体系整体效能，提出如下意见。 |
| I. New types of R&D institutions are independent legal persons that focus on the demands for scientific and technological innovation, and mainly engage in scientific research, technological innovation and R&D services, with diversified investors, a modernized management system, a market-based operation mechanism, and a flexible employment mechanism. These institutions can be registered according to law as private non-enterprise scientific and technological entities (social service organizations), public institutions, or enterprises. | | 一、新型研发机构是聚焦科技创新需求，主要从事科学研究、技术创新和研发服务，投资主体多元化、管理制度现代化、运行机制市场化、用人机制灵活的独立法人机构，可依法注册为科技类民办非企业单位（社会服务机构）、事业单位和企业。 |
| II. To promote the development of new types of R&D institutions, efforts shall be made to highlight innovation in systems and mechanisms, intensify the role of policies in guidance and guarantee, lay equal emphasis on incentives and restraints, and motivate all walks of life in society to participate. Through the development of new types of R&D institutions, further steps shall be taken to optimize the planning of scientific research activities, enhance the supply of industrial technologies, support the commercialization of technological achievements, and push forward greater integration between technological innovation and economic and social development. | | 二、促进新型研发机构发展，要突出体制机制创新，强化政策引导保障，注重激励约束并举，调动社会各方参与。通过发展新型研发机构，进一步优化科研力量布局，强化产业技术供给，促进科技成果转移转化，推动科技创新和经济社会发展深度融合。 |
| III. The development of new types of R&D institutions shall follow the principle of “whoever holds an R&D activity shall be held responsible; and whoever registers an R&D institution shall be the one to deregister it”. The sponsors (competent business departments, and investors) shall provide guarantee to the management, operation and R&D innovation of new types of R&D institutions, guide the new institutions in focusing on scientific research, technological innovation and R&D services, and prevent the new R&D institutions from excessively expanding to other sectors. | | 三、发展新型研发机构，坚持“谁举办、谁负责，谁设立、谁撤销”。举办单位（业务主管单位、出资人）应当为新型研发机构管理运行、研发创新提供保障，引导新型研发机构聚焦科学研究、技术创新和研发服务，避免功能定位泛化，防止向其他领域扩张。 |
| IV. New types of R&D institutions shall generally comply with the following conditions: | | 四、新型研发机构一般应符合以下条件。 |
| 1. having the qualification of an independent corporate body, with a sound and complete internal control system; | | （一）具有独立法人资格，内控制度健全完善。 |
| 2. mainly engaging in basic research, applied basic research, R&D of industrial common key technologies, transfer and commercialization of technological achievements, and R&D services; | | （二）主要开展基础研究、应用基础研究，产业共性关键技术研发、科技成果转移转化，以及研发服务等。 |
| 3. having the conditions and facilities required for R&D activities, experiments, and services; | | （三）拥有开展研发、试验、服务等所必需的条件和设施。 |
| 4. having a team of professionals with a reasonably stable structure and strong R&D capabilities; and | | （四）具有结构相对合理稳定、研发能力较强的人才团队。 |
| 5. having relatively stable sources of income, mainly including investors' fund contribution, income from technological development, technological transfer, technical services, and technical consultancy, income from government procurement of services, and funds acquired for scientific research projects. | | （五）具有相对稳定的收入来源，主要包括出资方投入，技术开发、技术转让、技术服务、技术咨询收入，政府购买服务收入以及承接科研项目获得的经费等。 |
| V. Established by diversified investors, new types of R&D institutions shall in principle adopt the system of decision-making by the council or the board of directors (hereinafter referred to as the “council”) and the president, director and general manager (hereinafter referred to as the “president (director)”) responsibility system; make bylaws according to laws and regulations and the capital contribution agreement; and be managed and operated in accordance with the bylaws. | | 五、多元投资设立的新型研发机构，原则上应实行理事会、董事会（以下简称“理事会”）决策制和院长、所长、总经理（以下简称“院所长”）负责制，根据法律法规和出资方协议制定章程，依照章程管理运行。 |
| 1. The bylaws shall clarify the functions and duties, organization and establishment of the council; selection and qualification of the council chairperson and other council members; sources of funds and business scope; revenue management of main businesses; and the government-supported resource income distribution system. | | （一）章程应明确理事会的职责、组成、产生机制，理事长和理事的产生、任职资格，主要经费来源和业务范围，主营业务收益管理以及政府支持的资源类收益分配机制等。 |
| 2. The council members shall in principle include investors, industry circles, business experts, and the institution's representatives. The council shall be responsible for selecting the president (director), developing and revising the bylaws, reviewing the development plan, annual work plans, financial budgets and final accounts, salary allocation, and other major issues. | | （二）理事会成员原则上应包括出资方、产业界、行业领域专家以及本机构代表等。理事会负责选定院所长，制定修改章程、审定发展规划、年度工作计划、财务预决算、薪酬分配等重大事项。 |
| 3. The legal representative shall generally be served by the president (director) of the institution. The president (director) shall be fully responsible for conducting the scientific research and daily management work, promoting the management and supervision of the internal control system, implementing the council's resolution, and reporting work to the council. | | （三）法定代表人一般由院所长担任。院所长全面负责科研业务和日常管理工作，推动内控管理和监督，执行理事会决议，对理事会负责。 |
| 4. An advisory committee shall be established to provide advisory opinions on the development strategy of the institution, major scientific and technological issues, scientific research integrity, and scientific research ethics. | | （四）建立咨询委员会，就机构发展战略、重大科学技术问题、科研诚信和科研伦理等开展咨询。 |
VI. New types of R&D institutions shall comprehensively strengthen the building of the Party. A Party organization shall be established in each of the R&D institutions according to the provisions of the Constitution of the Communist Party of China; the role of the Party organization as a fortress shall be maximized; and the guidance of political leaders shall be strengthened so as to ensure that the Party's leadership can be effectively implemented.
．．．．．． | | 六、新型研发机构应全面加强党的建设。根据《中国共产党章程》规定，设立党的组织，充分发挥党组织在新型研发机构中的战斗堡垒作用，强化政治引领，切实保证党的领导贯彻落实到位。
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