| Notice by Nine Departments Including the Ministry of Science and Technology of Issuing the Implementation Plan for the Pilot Program of Conferring the Ownership or Rights of Long-Term Use of Job-Related Scientific and Technological Achievements on Scientific Researchers | | 科技部等9部门印发《赋予科研人员职务科技成果所有权或长期使用权试点实施方案》的通知 |
| (No. 128 [2020] of the Ministry of Science and Technology) | | （国科发区〔2020〕128号） |
| All relevant entities: | | 各有关单位： |
| The Implementation Plan for the Pilot Program of Conferring the Ownership or Rights of Long-Term Use of Job-Related Scientific and Technological Achievements on Scientific Researchers (hereinafter referred to as the “Implementation Plan”), as deliberated and adopted at the12th meeting of the Central Commission for Comprehensively Deepening Reform on February 14, 2020, is hereby issued to you for your conscientious implementation in light of the actual circumstances. | | 《赋予科研人员职务科技成果所有权或长期使用权试点实施方案》（以下简称《实施方案》）已经2020年2月14日中央全面深化改革委员会第十二次会议审议通过。现将《实施方案》印发给你们，请结合实际认真贯彻执行。 |
| Ministry of Science and Technology | | 科 技 部 |
| National Development and Reform Commission | | 发展改革委 |
| Ministry of Education | | 教 育 部 |
| Ministry of Industry and Information Technology | | 工业和信息化部 |
| Ministry of Finance | | 财 政 部 |
| Ministry of Human Resources and Social Security | | 人力资源社会保障部 |
| Ministry of Commerce | | 商 务 部 |
| National Intellectual Property Administration | | 知识产权局 |
| Chinese Academy of Sciences | | 中 科 院 |
| May 9, 2020 | | 2020年5月9日 |
| Implementation Plan for the Pilot Program of Conferring the Ownership or Rights of Long-Term Use of Job-Related Scientific and Technological Achievements on Scientific Researchers | | 赋予科研人员职务科技成果所有权或长期使用权试点实施方案 |
| For the purposes of deepening the reform of the right to use, dispose of and derive income from scientific and technological achievements, further stimulating scientific researchers' enthusiasm for innovation, and promoting the transformation of scientific and technological achievements, in accordance with the relevant provisions of the Law of the People's Republic of China on Scientific and Technological Progress, the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements and the Patent Law of the People's Republic of China, this Implementation Plan has been developed for conducting the pilot program of conferring the ownership or rights of long-term use of job-related scientific and technological achievements on scientific researchers. | | 为深化科技成果使用权、处置权和收益权改革，进一步激发科研人员创新热情，促进科技成果转化，根据《中华人民共和国科学技术进步法》《中华人民共和国促进科技成果转化法》《中华人民共和国专利法》相关规定，现就开展赋予科研人员职务科技成果所有权或长期使用权试点工作制定本实施方案。 |
| I. Overall Requirements | | 一、总体要求 |
| (1) Guiding ideology. | | （一）指导思想。 |
| Guided by Xi Jinping Thought on Socialism with Chinese Characteristics in a New Era, the spirit of the 19th CPC National Congress and the Second, Third and Fourth Plenary Sessions of the 19th CPC Central Committee shall be implemented in a comprehensive manner; the decisions and arrangements made by the CPC Central Committee and the State Council shall be implemented in a conscientious manner; the implementation of innovation-driven development strategies shall be accelerated; the concept that “scientific and technological achievements cannot truly create innovation value unless they are transformed and maximum losses will occur if they are not transformed” shall be established; the mechanisms and modes for promoting the transformation of scientific and technological achievements shall be innovated; focus shall be put on breaking down obstacles and barriers restricting the transformation of scientific and technological achievements; property right incentives shall be implemented by conferring the ownership or rights of long-term use of job-related scientific and technological achievements on scientific researchers; the incentive policies for the transformation of scientific and technological achievements shall be improved; scientific researchers' enthusiasm for innovation and entrepreneurship shall be simulated; in-depth integration of science and technology and the economy shall be promoted; the high-quality economic development shall be boosted; and the building of an innovative country shall be accelerated. | | 以习近平新时代中国特色社会主义思想为指导，全面贯彻党的十九大和十九届二中、三中、四中全会精神，认真贯彻党中央、国务院决策部署，加快实施创新驱动发展战略，树立科技成果只有转化才能真正实现创新价值、不转化是最大损失的理念，创新促进科技成果转化的机制和模式，着力破除制约科技成果转化的障碍和藩篱，通过赋予科研人员职务科技成果所有权或长期使用权实施产权激励，完善科技成果转化激励政策，激发科研人员创新创业的积极性，促进科技与经济深度融合，推动经济高质量发展，加快建设创新型国家。 |
| (2) Basic principles. | | （二）基本原则。 |
| Making systematic designs and making overall arrangements. By focusing on the reform of the ownership or rights of long-term use of job-related scientific and technological achievements, good top-level designs shall be made in terms of standardizing the process for conferring the ownership or rights of long-term use of job-related scientific and technological achievements on scientific researchers, fully conferring the autonomy in managing scientific and technological achievements on entities, establishing a mechanism of exemption from liability for due diligence, and effectively conducting administration of and providing services for the transformation of scientific and technological achievements so as to advance the pilot work in an overall manner. | | 系统设计、统筹布局。聚焦科技成果所有权和长期使用权改革，从规范赋予科研人员职务科技成果所有权和长期使用权流程、充分赋予单位管理科技成果自主权、建立尽职免责机制、做好科技成果转化管理和服务等方面做好顶层设计，统筹推进试点工作。 |
| Being problem-oriented and fixing weaknesses. The rules of market economy and scientific and technological innovations shall be followed to concentrate efforts on breaking the policy and system bottlenecks in the effective transformation of scientific and technological achievements, identifying breakthroughs in the reform, and concentrating resources and strength to keep the channels for the transformation of scientific and technological achievements unimpeded. | | 问题导向、补齐短板。遵循市场经济和科技创新规律，着力破解科技成果有效转化的政策制度瓶颈，找准改革突破口，集中资源和力量，畅通科技成果转化通道。 |
| Conducting pilot program and making breakthroughs in key areas. With mobilizing the scientific researchers' enthusiasm for innovation and promoting the transformation of scientific and technological achievements as the starting point and foothold, policy guidance shall be strengthened, pilot explorations shall be encouraged, and system and mechanism barriers shall be removed so as to form new paths and new models and accelerate the construction of long-term mechanisms conducive to scientific and technological innovations and the transformation of scientific and technological achievements. | | 先行先试、重点突破。以调动科研人员创新积极性、促进科技成果转化为出发点和落脚点，强化政策引导，鼓励先行开展探索，破除体制机制障碍，形成新路径和新模式，加快构建有利于科技创新和科技成果转化的长效机制。 |
| (3) Main objectives. | | （三）主要目标。 |
| Forty colleges, universities and scientific research institutions in different fields shall be selected to conduct the pilot program to explore the establishment of mechanisms and models for conferring the ownership or rights of long-term use of job-related scientific and technological achievements on scientific researchers, form replicable and promotable experiences and practices, and promote the improvement of relevant laws, regulations, policies and measures so as to further stimulate scientific researchers' enthusiasm for innovation and promote the transfer and transformation of scientific and technological achievements. | | 分领域选择40家高等院校和科研机构开展试点，探索建立赋予科研人员职务科技成果所有权或长期使用权的机制和模式，形成可复制、可推广的经验和做法，推动完善相关法律法规和政策措施，进一步激发科研人员创新积极性，促进科技成果转移转化。 |
| II. Main tasks of the pilot program | | 二、试点主要任务 |
| (1) Conferring the ownership of job-related scientific and technological achievements on scientific researchers. | | （一）赋予科研人员职务科技成果所有权。 |
Job-related scientific and technological achievements accomplished by scientific researchers of colleges, universities and scientific research institutions established by the state shall belong to the entities. Pilot entities may, in light of the actual circumstances of these entities, confer on achievement accomplishers (teams) the ownership of job-related scientific and technological achievements owned by these entities, which are formed by these entities' utilization of financial funds or acceptance of authorization of enterprises and other social organizations, and pilot entities and achievement accomplishers (teams) shall be co-owners. The achievements whose ownership is conferred on achievement accomplishers (teams) shall meet the condition of clear ownership, bright application prospects, definite objects of acceptance, and the scientific researchers shall have strong willingness to transform such achievements, among others. The types of achievements shall include patent rights, copyrights in computer software, exclusive rights to layout designs of integrated circuits, rights to new varieties of plants, new bio-medicine varieties, and technological know-how, among others. The achievements that may affect national security, national defense security, public security, economic security, and social stability and otherwise concern national interests and major public interests shall not be included in the scope of ownership conferring for the time being, and the promotion of the establishment of the negative list system for achievements whose ownership is conferred on achievement accomplishers (teams) shall be accelerated.
．．．．．． | | 国家设立的高等院校、科研机构科研人员完成的职务科技成果所有权属于单位。试点单位可以结合本单位实际，将本单位利用财政性资金形成或接受企业、其他社会组织委托形成的归单位所有的职务科技成果所有权赋予成果完成人（团队），试点单位与成果完成人（团队）成为共同所有权人。赋权的成果应具备权属清晰、应用前景明朗、承接对象明确、科研人员转化意愿强烈等条件。成果类型包括专利权、计算机软件著作权、集成电路布图设计专有权、植物新品种权，以及生物医药新品种和技术秘密等。对可能影响国家安全、国防安全、公共安全、经济安全、社会稳定等事关国家利益和重大社会公共利益的成果暂不纳入赋权范围，加快推动建立赋权成果的负面清单制度。
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