"Guiding Opinions on Promoting the Development of New R & D Institutions"

All provinces, autonomous regions, municipalities directly under the Central Government, cities with separate plans, and sub-provincial city science and technology departments (committees and bureaus), Xinjiang Production and Construction Corps Science and Technology Bureau:
In order to deeply implement the innovation-driven development strategy, promote the healthy and orderly development of new R & D institutions, and enhance the overall effectiveness of the national innovation system, the Ministry of Science and Technology has formulated the "Guiding Opinions on Promoting the Development of New R & D Institutions", which is now issued to you. Please implement them carefully.

Ministry of Science and Technology September 12, 2019

Guiding Opinions on Promoting the Development of New R & D Institutions <br> In order to further implement the innovation-driven development strategy, promote the healthy and orderly development of new R & D institutions, and improve the overall effectiveness of the national innovation system, the following opinions are proposed.
1. New-type R & D institutions are focused on scientific and technological innovation needs. They are mainly engaged in scientific research, technological innovation and R & D services. They are independent legal entities with diversified investment entities, modernized management systems, market-oriented operating mechanisms, and flexible employment mechanisms. They can be registered as science and technology. Private non-enterprise units (social service organizations), institutions and enterprises.
2. To promote the development of new-type R & D institutions, it is necessary to highlight the innovation of systems and mechanisms, strengthen policy guidance and guarantee, pay attention to incentives and constraints, and mobilize all parties in society to participate. Through the development of new R & D institutions, we will further optimize the layout of scientific research strength, strengthen the supply of industrial technology, promote the transfer of scientific and technological achievements, and promote the deep integration of technological innovation and economic and social development.
3. Develop new-type R & D institutions, and insist on "who holds, who is responsible, who sets up, who cancels." The sponsoring unit (business supervisor, sponsor) should provide guarantee for the management and operation of new-type R & D institutions and R & D innovation, guide the new-type R & D institutions to focus on scientific research, technological innovation and R & D services, avoid the generalization of functional positioning, and prevent expansion into other fields.
4. New-type R & D institutions should generally meet the following conditions.
(1) Having independent legal person qualifications and sound internal control system.
(2) Mainly carry out basic research, applied basic research, research and development of key technologies common to industries, transfer and transformation of scientific and technological achievements, and research and development services.
(3) Possess the necessary conditions and facilities for R & D, testing and service.
(4) A talent team with a relatively reasonable and stable structure and strong R & D capabilities.
(5) It has a relatively stable source of income, which mainly includes investment from investors, income from technology development, technology transfer, technology services, and technology consulting, income from government purchases of services, and funds for undertaking research projects.
5. The new-type R & D institutions established by diversified investment shall in principle implement the decision-making system of the board of directors and the board of directors (hereinafter referred to as "the board of directors") and the responsibility system of deans, directors, and general managers (hereinafter referred to as "deans of the colleges"). The laws and regulations and the funder ’s agreement establish a charter, which is managed and operated in accordance with the charter.
(1) The charter should clarify the responsibilities, composition, and generation mechanism of the board of directors, the generation and qualification of the chairman and directors, the main funding sources and business scope, the main business income management, and the government-supported resource income distribution mechanism.
(2) In principle, the members of the board of directors should include investors, industry experts, industry experts, and representatives of the organization. The board of directors is responsible for selecting the director of the institute, formulating and revising the charter, reviewing and developing the development plan, annual work plan, financial budget and final accounts, and salary distribution.
(3) The legal representative is generally the director of the institute. The director of the institute is fully responsible for scientific research business and daily management, promotes internal control management and supervision, implements the resolutions of the council, and is responsible to the council.
(4) Establishing an advisory committee to carry out consultations on institutional development strategies, major scientific and technological issues, research integrity, and research ethics.
6. New-type R & D institutions should comprehensively strengthen party building. According to the "Articles of Association of the Communist Party of China", the establishment of party organizations should give full play to the role of party organizations as a battle bastion in new research and development institutions, strengthen political leadership, and effectively ensure that the party's leadership is fully implemented.
7. Promote new-type R & D institutions to establish a scientific R & D organization system and internal control system, and strengthen research integrity and research ethics. Based on the actual needs of scientific research, technological innovation and R & D services, new R & D institutions independently determine R & D topics, dynamically set up and adjust R & D units, flexibly deploy scientific researchers, organize R & D teams, and deploy scientific research equipment.
8. New-type R & D institutions should adopt a market-oriented employment mechanism and salary system, give full play to the decisive role of the market mechanism in the allocation of innovative resources, independently recruit people openly to the society, benchmark the market-based salary and reasonably determine the salary level of employees, and establish and innovate An income distribution mechanism that matches innovation performance. The personnel of universities and scientific research institutions that carry out part-time technical R & D and service in new-type R & D institutions through project cooperation and other methods shall be managed in accordance with the contract signed by both parties.
9. New-type R & D institutions should establish classified evaluation systems. Focusing on scientific research, technological innovation and R & D services, scientifically and rationally set evaluation indicators, highlight innovation quality and contribution, and focus on giving play to user evaluation.
10. Encourage new-type R & D institutions to implement an information disclosure system and disclose major events and annual reports to the public through open channels.
11. New qualified R & D institutions that meet the requirements may apply the following policy measures.
(1) According to the requirements, apply for various national science and technology projects, national key research and development plans, national natural science funds and other government science and technology projects, scientific and technological innovation bases and talent plans.
(2) Organize or participate in the evaluation of job titles in accordance with regulations.
(3) In accordance with the "Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements" and other regulations, through encouraging the sale of equity, equity awards, stock options, project profit dividends, post dividends, etc., encourage scientific and technological personnel to carry out transformation of scientific and technological achievements.
(4) Combine the actual needs of industrial development, build an industrial technology innovation strategic alliance, explore a long-term and stable industrial-university-research integration mechanism, organize industrial technology research and development innovation, and formulate industry technical standards.
(5) Actively participate in international scientific and technological exchanges and cooperation. Build a national international scientific and technological cooperation base and a national demonstration base for talents and talents; develop foreign talent resources, absorb, gather, and cultivate world-class high-level innovative talents; cooperate with well-known overseas universities, scientific research institutions, and multinational companies to carry out R & D, set up R & D, Technology services and other institutions.
12. Encourage the establishment of new-type R & D institutions of the nature of non-enterprise units (social service organizations) of science and technology. Non-enterprise non-enterprise units of science and technology should register and manage according to law. The profits from operations are mainly used for the management and operation of institutions, construction and development, and R & D and innovation. Eligible technology-based non-governmental non-enterprise units, in accordance with the "Enterprise Income Tax Law of the People's Republic of China" and the "Regulations on the Implementation of the Enterprise Income Tax Law of the People's Republic of China" and non-profit organization corporate income tax, personal income tax for the conversion of scientific and technological achievements, and import tax on technological innovation Enjoy tax benefits.
13. New-type R & D institutions of enterprises shall carry out registration management in accordance with the "Regulations on the Administration of Company Registration of the People's Republic of China". Encourage profits from the operation of new-type R & D institutions of enterprises not to pay dividends, mainly for the management and operation of institutions, construction and development, and R & D and innovation. According to the Notice of the Ministry of Finance and the Ministry of Science and Technology of the State Administration of Taxation on Improving the Policy of Pre-tax Extra Deduction for Research and Development Expenses (Caishui [2015] No. 119), new-type R & D institutions of enterprises enjoy the pre-tax extra deduction policy. According to the "Administrative Measures on the Identification of High-tech Enterprises" (Guokefahuo [2016] No. 32), new enterprise R & D institutions may apply for the identification of high-tech enterprises and enjoy corresponding tax incentives.
14. Local governments may comprehensively adopt the following policy measures in accordance with the needs of regional innovation and development to support the development of new R & D institutions.
(1) Provide support in the construction of basic conditions, purchase of scientific research equipment, supporting services for talent housing, and operating funds, and promote the orderly construction and operation of new R & D institutions.
(2) Using innovation coupons and other support methods to promote enterprises to purchase R & D innovation services from new R & D institutions.
(3) Organize performance evaluation and provide corresponding support to the new R & D institutions based on the evaluation results.
15. Encourage local governments to guide local science and technology development special funds through the central government to support the construction and operation of new-type R & D institutions. Encourage the National Science and Technology Achievement Transformation Guidance Fund to support the transfer of new research and development institutions to the use of financial funds to form scientific and technological achievements.
16. The Ministry of Science and Technology organized the follow-up evaluation of new R & D institutions, built a database of new R & D institutions, and issued annual reports of new R & D institutions. Incorporate new R & D institutions into the implementation scope of innovation surveys and statistical survey systems, and gradually promote new R & D institutions of enterprises under the scale to be included in the national statistical scope. Local science and technology administrative departments are responsible for coordinating and promoting the construction and development of new R & D institutions in the region, carrying out monitoring and evaluation, and making dynamic adjustments.
17. Establish a new type of R & D institution supervision and accountability mechanism. New-type R & D institutions that violate management regulations of scientific and technological plans, funds, etc., violate scientific research ethics, academic style, and research integrity shall be accountable and handled in accordance with law and regulations.
18. Local governments may refer to this opinion, base on reality, highlight characteristics, and study and formulate policies and measures to promote the development of new R & D institutions.