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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 [Effective]
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 [现行有效]
【法宝引证码】

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 directly under separate 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 is 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 a R&D activity shall be held responsible; and whoever registers a 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 an improved 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、开弓没有回头箭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。
VII. New types of R&D institutions shall be encouraged to establish a scientific R&D organization system and an internal control system, and strengthen the construction of scientific research integrity and scientific research ethics. New types of R&D institutions shall, based on the actual demands for scientific researches, technological innovation, and R&D services, independently determine the R&D subjects, dynamically build and adjust R&D centers, flexibly arrange scientific research personnel, organize R&D teams, and deploy the scientific research equipment.   七、推动新型研发机构建立科学化的研发组织体系和内控制度,加强科研诚信和科研伦理建设。新型研发机构根据科学研究、技术创新和研发服务实际需求,自主确定研发选题,动态设立调整研发单元,灵活配置科研人员、组织研发团队、调配科研设备。
VIII. New types of R&D institutions shall adopt a market-based personnel system and a market-based salary system, maximize the decisive role of the market system in allocating innovation resources, independently recruit personnel from the public, reasonably determine the staff's salaries based on the market standards, and establish an income distribution mechanism that fits in well with the staff's innovation capabilities and innovation performance. The personnel of universities and scientific research institutions who work part-time for a new-type R&D institution on technological researches and services in the way of project cooperation shall be managed according to the contract signed between the parties concerned.   八、新型研发机构应采用市场化用人机制、薪酬制度,充分发挥市场机制在配置创新资源中的决定性作用,自主面向社会公开招聘人员,对标市场化薪酬合理确定职工工资水平,建立与创新能力和创新绩效相匹配的收入分配机制。以项目合作等方式在新型研发机构兼职开展技术研发和服务的高校、科研机构人员按照双方签订的合同进行管理。
IX. New types of R&D institutions shall establish a categorized evaluation system. Based on scientific research, technological innovation and R&D services, new types of R&D institutions shall develop evaluation indicators in a scientific and reasonable manner, highlight innovation quality and achievements, and pay attention to the role of users in evaluation.   九、新型研发机构应建立分类评价体系。围绕科学研究、技术创新和研发服务等,科学合理设置评价指标,突出创新质量和贡献,注重发挥用户评价作用。
X. New types of R&D institutions shall conduct an information disclosure system to publicize major issues and annual reports through public channels.   十、鼓励新型研发机构实行信息披露制度,通过公开渠道面向社会公开重大事项、年度报告等。
XI. New types of R&D institutions that meet certain conditions shall be subject to the following policies and measures:   十一、符合条件的新型研发机构,可适用以下政策措施。
1. applying for various government-supported scientific and technological projects, and technological innovation bases and personnel plans, including major national science and technology programs, national key research and development plans, and the State Natural Sciences Fund; (一)按照要求申报国家科技重大专项、国家重点研发计划、国家自然科学基金等各类政府科技项目、科技创新基地和人才计划。
2. organizing or participating in job title evaluation work according to the relevant provisions; (二)按照规定组织或参与职称评审工作。
3. encouraging scientific and technical personnel to commercialize technological achievements by means of equity sale, equity rewards, stock options, program proceeds dividends, post dividends or otherwise to stimulate scientific and technological personnel to commercialize the technological achievements; (三)按照《中华人民共和国促进科技成果转化法》等规定,通过股权出售、股权奖励、股票期权、项目收益分红、岗位分红等方式,激励科技人员开展科技成果转化。
4. establishing strategic alliances for industrial technological innovation based on the actual needs of industrial development, exploring a long-lasting and stable mechanism combining the efforts of enterprises, universities and research institutions, and organizing the development of industrial technological innovation and the formulation of industrial technical standards; (四)结合产业发展实际需求,构建产业技术创新战略联盟,探索长效稳定的产学研结合机制,组织开展产业技术研发创新、制订行业技术标准。
5. actively participating in international exchanges and cooperation in technologies and personnel: building the state-level international sci-tech cooperation bases and the national talent and intelligence introduction demonstration bases; developing overseas human resources, recruiting, gathering and cultivating the world's first-class innovation professionals; and working together with overseas prominent universities, scientific research institutions and multinational companies to conduct R&D activities and establish R&D institutions and technological service institutions. (五)积极参与国际科技和人才交流合作。建设国家国际科技合作基地和国家引才引智示范基地;开发国外人才资源,吸纳、集聚、培养国际一流的高层次创新人才;联合境外知名大学、科研机构、跨国公司等开展研发,设立研发、科技服务等机构。
XII. The establishment of new types of R&D institutions and other private non-enterprise scientific and technological entities (social service organizations) shall be encouraged. Private non-enterprise scientific and technological entities shall be registered and managed according to law; their operating profits shall be mainly used on the institutions' management and operation, construction and development, and R&D innovation; and no dividends shall be distributed to investors. Private non-enterprise scientific and technological entities that meet certain conditions shall enjoy preferential taxes in accordance with the Enterprise Income Tax Law of the People's Republic of China, the Regulation on the Implementation of the Enterprise Income Tax Law of the People's Republic of China, and the provisions on enterprise income tax of non-profit organizations, individual income tax of commercializing job-related technological achievements, and import taxes of technological innovation.   十二、鼓励设立科技类民办非企业单位(社会服务机构)性质的新型研发机构。科技类民办非企业单位应依法进行登记管理,运营所得利润主要用于机构管理运行、建设发展和研发创新等,出资方不得分红。符合条件的科技类民办非企业单位,按照《中华人民共和国企业所得税法》《中华人民共和国企业所得税法实施条例》以及非营利组织企业所得税、职务科技成果转化个人所得税、科技创新进口税收等规定,享受税收优惠。
XIII. The new enterprise-type R&D institutions shall be registered and managed in accordance with the Regulation of the People's Republic of China on the Administration of Company Administration. The operating profits shall be encouraged to be used mainly on the institutions' management and operation, construction and development, and R&D innovation, instead of being distributed to the institutions as dividends. These R&D institutions shall enjoy the pre-tax deduction policy in accordance with the Notice by the Ministry of Finance, the State Administration of Taxation, and the Ministry of Science and Technology of Improving the Policies for the Weighted Pre-tax Deduction of Research and Development Expenses (No. 119 [2015], MoF). The R&D institutions may apply for the determination of high and new technology enterprises, and enjoy the relevant tax preferences in accordance with the Measures for the Administration of the Determination of High-tech Enterprises (No. 32 [2016], MoST).   十三、企业类新型研发机构应按照《中华人民共和国公司登记管理条例》进行登记管理。鼓励企业类新型研发机构运营所得利润不进行分红,主要用于机构管理运行、建设发展和研发创新等。依照《财政部 国家税务总局 科技部关于完善研究开发费用税前加计扣除政策的通知》(财税〔2015〕119号),企业类新型研发机构享受税前加计扣除政策。依照《高新技术企业认定管理办法》(国科发火〔2016〕32号),企业类新型研发机构可申请高新技术企业认定,享受相应税收优惠。
XIV. Local governments may, based on the local demands for innovation and development, adopt the following policies and measures to support the construction and development of new types of R&D institutions.   十四、地方政府可根据区域创新发展需要,综合采取以下政策措施,支持新型研发机构建设发展。
1. providing support in the construction of infrastructure, purchasing of scientific research equipment, supporting services for housing for talents, and operating funds; and promote the sound construction and operation of new types of R&D institutions. (一)在基础条件建设、科研设备购置、人才住房配套服务以及运行经费等方面给予支持,推动新型研发机构有序建设运行。
2. encouraging enterprises to buy R&D innovation services from new types of R&D institutions by using innovation coupons and other supporting methods; and (二)采用创新券等支持方式,推动企业向新型研发机构购买研发创新服务。
3. organizing and conducting performance assessment, and providing support to new types of R&D institutions based on assessment results. (三)组织开展绩效评价,根据评价结果给予新型研发机构相应支持。
XV. Local authorities shall be encouraged to support the construction and operation of new types of R&D institutions through the special funds of scientific and technological development. The funds for commercializing the national science and technology achievements shall be encouraged, and new types of R&D institutions shall be supported in transferring and commercializing the technological achievements constituted by using financial funds.   十五、鼓励地方通过中央引导地方科技发展专项资金,支持新型研发机构建设运行。鼓励国家科技成果转化引导基金,支持新型研发机构转移转化利用财政资金等形成的科技成果。
XVI. The Ministry of Science and Technology shall organize and carry out tracking evaluation for new types of R&D institutions, establish a database of the institutions, and release annual reports on these institutions. New types of R&D institutions shall be included in the scope of the innovation survey and statistical survey system; and these R&D institutions below a certain scale shall be gradually included in the scope of national statistics. The local administrative departments of science and technology shall be responsible for coordinating and pushing forward the construction and development of new types of R&D institutions in local areas, monitoring and assessing their performance, and making dynamic adjustments.   十六、科技部组织开展新型研发机构跟踪评价,建设新型研发机构数据库,发布新型研发机构年度报告。将新型研发机构纳入创新调查和统计调查制度实施范围,逐步推动规模以下企业类新型研发机构纳入国家统计范围。地方科技行政管理部门负责协调推动本地区新型研发机构建设发展、开展监测评价、进行动态调整等工作。
XVII. A supervision and accountability system for new types of R&D institutions shall be established. Any of the institutions that violates the management rules on scientific plans and funds, or commits the act in violation of scientific research ethics, learning and working styles, and scientific research integrity shall be held responsible and be handled according to laws and regulations.   十七、建立新型研发机构监督问责机制。对发生违反科技计划、资金等管理规定,违背科研伦理、学风作风、科研诚信等行为的新型研发机构,依法依规予以问责处理。
XVIII. Local authorities shall, by reference to the Opinions, take into consideration their actual conditions and own characteristics, study and develop the policies and measures for promoting the development of new types of R&D institutions and carry out the pilot program.此人家庭地位极低   十八、地方可参照本意见,立足实际、突出特色,研究制定促进新型研发机构发展的政策措施开展先行先试。
     
     
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