China: 科技成果转化操作指引

Last Updated: 25 June 2019
Article by DeHeng Law Offices
Most Read Contributor in China, August 2019

指引旨在为科研院所、高校、企事业单位、科研工作者等主体将自身的科技成果进行投资、孵化、创办企业,进而转化为现实生产力提供参考。

标准可以起到桥梁和纽带的作用,《中华人民共和国促进科技成果转化法》对科技成果转化相关制度和操作程序的制定也提出了要求。为了让科技成果转化程序更清晰、流程更简便、转化更高效,特制定本指引。

一、总则

第一条 【制定目的】

为促进科技成果转化为现实生产力,规范科技成果转化活动,加速科学技术进步,推动经济建设和社会发展,根据《中华人民共和国促进科技成果转化法》等相关法律法规,制定本操作指引。

第二条 【适用范围】

本操作指引旨在为科研院所、高校、企事业单位、科研工作者等主体将自身的科技成果进行投资、孵化、创办企业,进而转化为现实生产力提供参考。

第三条 【宗旨】

科技成果转化活动应当有利于加快实施创新驱动发展战略,促进科技与经济的结合,合理利用资源,提高经济效益、促进经济建设和社会发展。

第四条 【原则】

科技成果转化活动应当尊重市场规律,发挥企业的主体作用,遵循自愿、互利、公平、诚实信用的原则,依照法律法规规定和合同约定,享有权益,承担风险。

二、科技成果权属

第五条【国家所有的科技成果】

国家设立的研究开发机构、高等院校完成的科研项目研究成果及其形成的知识产权属国家所有,除涉及国家安全、国家利益和重大社会公共利益的以外,国家授予项目承担单位持有。

第六条【企业所有的科技成果】

企业自行研发的科技成果,企业人员为执行工作任务或主要利用本企业的物质技术条件所完成的科技成果属企业所有。委托开发或合作开发的科技成果所有权归属根据法律或协议确定。

第七条【团队或个人所有的科技成果】

研究开发机构、高等院校、企业等单位的人员,在办理离职交接手续后,利用自身的物质技术条件研发的科技成果属于团队或个人所有。

三、科技成果转化方式

第八条【自行投资】

自行投资实施转化,即由科技成果所有人或持有人自行出资设立转化平台或项目运营主体实施转化。

第九条【转让】

向他人转让科技成果实施转化,即科技成果所有人或持有人直接将科技成果有偿或无偿转让给他人,由他人进行开发、运用、产业化运营或以其他方式实施转化。

第十条【许可使用】

 以许可使用方式实施转化,即科技成果所有人或持有人保留成果的所有权,将成果的占有、使用、收益权许可第三方进行开发、运用、产业化运营或以其他方式实施转化。

第十一条【合作转化】

与他人合作共同转化,即科技成果所有人或持有人与其他第三方通过协议约定对科技成果进行开发、运用、产业化运营或以其他方式实施转化。

第十二条【作价投资、折算股份或出资比例】

以科技成果作价投资、折算股份或出资比例实施转化,即科技成果所有人或持有人将成果评估作价后与第三方共同设立项目公司或参股第三方进行科技成果的开发、运用、产业化运营或以其他方式实施转化。

第十三条【其他】 

其他方式转化,即除上述转化之外的其他方式。

四、科技成果转化流程

第十四条【科技成果整理】

(1)明确科技成果转化管理部门;

(2)明确科技成果转化实施部门;

(3)梳理科技成果转化规章制度,规范转化活动;

(4)整理科技成果的申请、取得、变更、许可、转让等事宜;

(5)梳理科技成果的权属关系;

(6)统计单位科技成果的数量,确定可用于转化的科技成果;

(7)其他准备工作。

第十五条【科技成果的选定】

科技成果转化实施部门定期向管理部门上报可用于转化的科技成果,并提交初步方案。

第十六条【可行性论证】

科技成果选定后,由科技成果转化实施部门组织相关专家对下列内容进行可行性论证,做好事前、事中、事后严判:

(1)科技成果的合法性;

(2)科技成果的稳定性;

(3)科技成果的市场前景;

(4)科技成果的产业化空间;

(5)科技成果转化的最佳方式及转化方案;

(6)科技成果转化的可操作性;

(7)科技成果转化可能存在的风险;

(8)其他。

第十七条【科技成果评估】

(1)科技成果转化实施部门负责寻找有资质的中介机构,对中介机构进行审查、确认;涉及国有资产依法应当招标的,须履行招投标程序;

(2)中介机构确认后与中介机构签订委托评估合同;

(3)督促中介机构及时出具评估报告,并按时签收评估报告;

(4)转化主体可以委托专业律师参与评估,确保评估合理合法;

(5)其他与评估相关的事项。

第十八条【科技成果定价】

国家所有的科技成果,由持有该科技成果的研究开发机构、高等院校自主决定转让、许可或者作价投资行为,除涉及国家秘密、国家安全外,不需审批或备案。在科技成果资产评估备案的基础上,可采用的定价方式如下:

(1)在技术交易市场挂牌交易、拍卖等方式确定价格;

(2)协议定价,但须在本单位公示科技成果名称和拟交易价格,其中,公示时间应不少于15日,同时还应公示异议处理程序和办法;

(3)其中,职务科技成果定价交易,完成人和参加人与本单位通过协议参与转化,享受权益。

企业、团队及个人所有的科技成果可在技术交易市场挂牌交易、拍卖或协议等方式定价。

第十九条【信息公示与发布】

(1)公开转化的科技成果,转化主体可委托产权交易所、转移机构、孵化平台、行业媒体以及其他中介机构发布科技成果信息;

(2)不宜公开转化的科技成果,转化主体可通过定向邀标或其他方式发布科技成果信息;

(3)采用自行转化的科技成果,转化主体可通过内部平台发布科技成果信息。

第二十条【明确转化方式】

科技成果转化实施部门根据科技成果的性质选择转化方式,制定商业计划书或相关推介材料,向第三方平台发布,寻找可能接收的企业或机构进行转化;

采用自行转化或内部转化的,在进行内部审批或备案后,由内部设立的转化机构实施转化。

第二十一条【达成合作意向】

涉及与第三方合作的,科技成果转化实施部门应与第三方进行洽谈、磋商,达成合作意向。为规避后期合作过程中可能存在的法律风险,建议委托专业律师提供法律服务。

第二十二条【确定运营主体】

(1)自行转化或内部转化的,由国家设立的研究开发机构、高等院校、其他机构或其设立的转化组织作为运营主体;

(2)采用产学研方式转化的,由参与方共同协商确定运营主体;

(3)需要引进外部资金的,可以与私募股权投资基金、风险投资基金、国家产业发展基金或其他资金方进行合作,共同发起设立运营主体;

(4) 借助孵化平台或转化平台进行转化的,可以与平台方共同设立运营主体;

(5)研发团队或项目负责人参与职务科技成果转化的,可以与本单位、第三方共同发起设立运营主体。研发团队或项目负责人获得科技成果奖励资金的,鼓励将奖励资金投资、入股参与运营主体;

(6)其他方式确定运营主体。

第二十三条【合作协议签订】

根据合作方达成的意向,可就下列主要内容达成合作协议:

(1)运营主体的落户地;

(2)运营主体的组织形式;

(3)合作方的任务分工;

(4)合作方的出资形式和数额;

(5)出资时间及资金投入;

(6)合作方的权利义务;

(7)科技成果和后期开发的知识产权归属;

(8)权益分配及风险分担;

(9)运营过程中各方的退出;

(10)保密及竞业禁止;

(11)违约责任;

(12)争议解决;

(13)其他主要合同条款。

采用自行转化或内部转化的,建议与运营主体签订协议;未签订协议的,严格按照国家设立的研究开发机构、高等院校及其他机构的规章制度实施转化。

第二十四条【新设运营主体】

自行转化或与现有运营主体合作转化的,依据内部制度或协议办理;新设运营主体的,按照下列程序办理:

(1)企业名称商标检索及工商核名;

(2)委托专业律师起草发起人协议、章程、决议等相关材料;

(3)办理工商登记注册;

(4)制定各项规章制度,建立健全公司法人治理结构;

(5)知识产权申请及战略布局;

(6)其他相关事宜。

第二十五条【知识产权权属转移】

(1)运营主体设立后,科技成果已申请专利和其他知识产权的,应委托专业中介机构办理科技成果的变更、转让、许可、备案等相关手续,另有约定的除外;

(2)未申请专利或其他知识产权的,建议及时以运营主体的名义进行申请,以避免产生争议。

第二十六条【转化落地】

上述事项完成后,运营主体进入市场,按照市场经济发展规律进行市场化运营,将科技成果转化为现实生产力。

五、科技成果转化管理

第二十七条【国家管理】

国务院科学技术行政部门、经济综合管理部门和其他有关行政部门依照国务院规定的职责,管理、指导和协调科技成果转化工作。

第二十八条【地方管理】

地方各级人民政府负责管理、指导和协调本行政区域内的科技成果转化工作。县级以上地方各级人民政府科学技术行政部门和其他有关部门应当根据职责分工,为企业获取所需的科技成果提供帮助和支持。

第二十九条【科技成果转化相关制度】

科技成果转化管理部门或实施部门应制定的相关制度:

(1)科技成果转化发展规划、年度计划和项目实施制度;

(2)科技成果转化重大事项领导班子集体决策制度;

(3)科技成果转化情况年度报告制度;

(4)科技成果转化资金筹备、管理和使用制度;

(5)科技成果转化工作程序、权益保护、异议处理、公示制度;

(6)科技成果转化绩效考核评价制度;

(7)科技成果转化信息系统管理制度;

(8)科技成果市场定价制度;

(9)内设机构或专门岗位管理制度;

(10)知识产权和技术秘密管理和保密制度;

(11)科研人员的职称评定、岗位管理、绩效考核、兼职和离岗创业、评价制度;

(12)科研人员收入分配、激励和约束制度;

(13)其他相关制度。

第三十条【科技成果奖励】

国家设立的研究开发机构、高等院校转化科技成果所获得的收入全部留归本单位,对完成、转化职务科技成果做出重要贡献的人员给予奖励和报酬;

职务科技成果转化后,由科技成果完成单位对完成、转化该项科技成果做出重要贡献的人员给予奖励和报酬;

国务院部门、单位和各地方所属研究开发机构、高等院校等事业单位(不含内设机构)正职领导,以及上述事业单位所属具有独立法人资格单位的正职领导,可以获得现金奖励,但原则上不进行股权激励。其他担任领导职务的科技人员除外。

第三十一条【奖励和报酬约定】

科技成果完成单位可以规定或者与科研人员约定奖励和报酬的方式、数额和时限。单位制定相关规定,应当充分听取本单位科研人员的意见,并在本单位公开相关规定。

国家设立的研究开发机构、高等院校规定或者与科研人员约定奖励和报酬的方式和数额应当符合本指引第三十二条规定的标准。

第三十二条【奖励和报酬基本标准】

科技成果完成单位未规定,也未与科研人员约定奖励和报酬的方式和数额的,按照下列标准对完成、转化职务科技成果做出重要贡献的人员给予奖励和报酬:

(1)将该项职务科技成果转让、许可给他人实施的,从该项科技成果转让净收入或者许可净收入中提取不低于百分之五十的比例;

(2)利用该项职务科技成果作价投资的,从该项科技成果形成的股份或者出资比例中提取不低于百分之五十的比例;

(3)将该项职务科技成果自行实施或者与他人合作实施的,应当在实施转化成功投产后连续三至五年,每年从实施该项科技成果的营业利润中提取不低于百分之五的比例。

第三十三条【人事管理规定】

国有企业、事业单位依照本法规定对完成、转化职务科技成果做出重要贡献的人员给予奖励和报酬的支出计入当年本单位工资总额,但不受当年本单位工资总额限制、不纳入本单位工资总额基数。

第三十四条【离职、离岗】

(1)国家设立的研究开发机构、高等院校通过建立制度规定或者与科研人员约定兼职、离岗从事科技成果研发和转化活动期间和期满后的权利和义务。有约定的,约定优先;

(2)离岗创业期间,科研人员所承担的国家科技计划和基金项目原则上不得中止,确需中止的应当按照有关规定办理手续;

(3)离职离岗的,原单位保留不超过3年的人事关系。

第三十五条【年度报告】

国家设立的研究开发机构、高等院校应于每年3月30日前向其主管部门报送本单位上一年度科技成果转化情况的年度报告,主管部门审核后于每年4月30日前报送至科技、财政行政主管部门指定的信息管理系统。

第三十六条【年度报告内容】

(1)科技成果转化取得的总体成效和面临的问题;

(2)依法取得科技成果的数量及有关情况;

(3)科技成果转让、许可和作价投资等情况;

(4)产学研合作情况,包括自建、共建研究开发机构、技术转移机构、服务平台情况,签订技术、咨询、服务合同情况,人才培养和人员流动情况等;

(5)科技成果转化绩效和奖惩、收入及分配、奖励和报酬等情况;

(6)其他内容。

六、附则

第三十七条【依据效力】

本操作指引根据2017年10月1日以前发布的法律、法规及司法解释规定,并结合科技成果转化实践编写。转化主体办理具体业务还应充分注意个案事实及新颁布的法律、法规和司法解释。

第三十八条【指引效力】

本操作指引不具有强制性,仅作为科技成果转化主体办理科技成果转化时的参考。

第三十九条【术语解释】

本指引所称科技成果,是指通过科学研究与技术开发所产生的具有实用价值的成果。职务科技成果,是指执行研究开发机构、高等院校和企业等单位的工作任务,或者主要是利用上述单位的物质技术条件所完成的科技成果;

本指引所称科技成果转化,是指为提高生产力水平而对科技成果所进行的后续试验、开发、应用、推广直至形成新技术、新工艺、新材料、新产品,发展新产业等活动;

本指引所称转化主体,是指所有或持有科技成果并用于科技成果转化的权利人;

本指引所称运营主体,是指直接负责将科技成果转化为现实生产力的科研机构、高等院校、企业及其他组织。

第四十条【其他】

国家建立有效的军民科技成果相互转化体系,完善国防科技协同创新体制机制。军品科研生产应当依法优先采用先进适用的民用标准,推动军用、民用技术相互转移、转化。军民融合科技成果转化操作指引另行制定,本指引不再规定。


本操作指引由德恒合肥办公室知产部科技成果转化律师共同创作完成。执笔人:黄敏,对本指引作出重大贡献的还有:陶雨童、王永芳、黄允、唐大森律师。

声明:

本文由德恒律师事务所律师原创,仅代表作者本人观点,不得视为德恒律师事务所或其律师出具的正式法律意见或建议。如需转载或引用本文的任何内容,请注明出处。

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