(Adopted at the Forty-fourth Session of the Standing Committee of the Sixth People's Congress of Shenzhen Municipality on August 26, 2020)
Chapter One General Provisions
Article 1 for the purpose of thoroughly implementing the innovation-driven development strategy, accelerate the construction of a modern, international, and innovative city and a capital of innovation and creativity with global influence, and advance the construction of the Guangdong-Hong Kong-Macao Greater Bay Area and building Shenzhen into a Pilot Demonstration Area of Socialism with Chinese Characteristics, these Regulations are formulated in accordance with the basic principles of laws and administrative regulations and in light of the actual circumstances of the Shenzhen Special Economic Zone.
Article 2 These Regulations shall apply to activities regarding science, technology and innovation (“STI”) in the Shenzhen Special Economic Zone.
Article 3 Innovation drive shall be upheld as the leading strategy for urban development, comprehensive innovation shall be advanced with STI as the core, and STI innovation systems and mechanisms shall be improved. Basic research and applied basic research shall be strengthened; core technology research shall be enhanced; the commercialization and industrialization of scientific and technological achievements shall be promoted; innovation in technological finance shall be deepened; the supporting role of talents shall be maximized; and a whole-process innovation ecological chain focusing on "basic research and applied basic research", "core technology research", "achievement industrialization", "technological finance", and "talent support" shall be constructed.
Article 4 Municipal and district people's governments shall incorporate the development of high-tech industries, the construction of scientific and technological infrastructure, the reform of the STI system, research on significant scientific and technological projects, and guarantee for scientific and technological talents into their national economic and social development plans.
Municipal and district people's governments shall formulate special plans for STI innovation and development, which shall specify the overall ideas, development goals, main tasks, and guarantee measures for STI innovation and development, and shall disclose their implementation progress to the public annually.
During the formulation and revision of municipal and district spatial plans, the basic requirements for STI innovation and development shall be fully guaranteed.
Article 5 Municipal and district people's governments shall increase financial investment in STI innovation, establish an investment mechanism for STI innovation that combines stable support with competitive funds, and guide enterprises and other private entities in investing in STI innovation activities, so as to promote the continuing and stable growth of funds for STI innovation.
Municipal and district people's governments and their relevant departments shall provide support for higher education institutions, scientific research institutions, enterprises, and scientific and technological personnel in conducting STI innovation activities, by comprehensively using post-research government subsidies, indirect investment, and other methods, in various forms including but not limited to grants, loan interest subsidies, rewards, and funds.
The methods for proposing and organizing scientific and technological projects shall be reformed, and a mechanism shall be established for the selection of scientific and technological projects, allocation of funds, and achievement evaluation mainly determined by the market.
Article 6 Municipal and district people's governments shall establish a working mechanism for scientific and technological security coordination, strengthen the construction of the scientific and technological security system, tighten the guarantee for the security of the supply chain in key industries, prevent and eliminate material risks in the scientific and technological field, and improve the level of scientific and technological security governance.
Article 7 Municipal and district departments in charge of the STI innovation shall be responsible for the overall coordination, supervision, and administration over STI innovation in their respective administrative areas.
Municipal and district departments in charge of development and reform, education, industry and information technology, justice, finance, human resources and social security, planning and natural resources, commerce, health, state-owned assets supervision and administration, market regulation, financial regulation, small and medium-sized enterprise services, etc. shall be responsible for work related to STI innovation within their respective scope of responsibilities.
Article 8 Municipal and district people's governments shall strengthen the development and construction of high-tech industrial parks, make innovation in systems and mechanisms, improve the planning system, increase investment, enhance infrastructure, raise management and service levels, promote the clustering of industries in the parks, and nurture and develop innovative industry clusters.
Article 9 The construction of the Shenzhen Comprehensive National Science Center(hereinafter referred to as “the National Center”), as an important basic platform for the construction of the national innovation system, shall be accelerated; pre-research on significant scientific and technological infrastructure projects shall be conducted; major scientific and technological infrastructure clusters shall be laid out and constructed in a concentrated manner; and a group of inter-field and interdisciplinary cutting-edge research platforms shall be built to form an innovative core integrated with, in close collaboration with, and mutually supported by major technological infrastructure, so as to strengthen original innovation capabilities and maximize the National Center’s key role in the construction of an international STI innovation center in the Guangdong-Hong Kong-Macao Greater Bay Area.
Article 10 Higher education institutions, scientific research institutions, enterprises, scientific and technological service providers, and social organizations including but not limited to industry associations, chambers of commerce, and academic alliances shall play their roles in the relevant links of the innovation chain, actively conduct STI innovation activities, and join powerful forces for the joint advancement of STI innovation.
Scientific and technological personnel shall actively promote the spirit of science, explore scientific truths, safeguard the dignity of science, follow the ethics of science and technology, maximize initiative and creativity, make solid efforts in scientific research and technological innovation, and facilitate the commercialization of scientific and technological achievements.
Chapter Two Basic Research and Applied Basic Research
Article 11 Higher education institutions, scientific research institutions, enterprises, and scientific and technological personnel shall be encouraged to conduct basic research and applied basic research, freely explore unknown scientific issues, and discover and broaden new fields of knowledge.
Article 12 The funds invested by the Municipal People's Government in basic research and applied basic research shall not be less than 30% of the municipal funds for scientific and technological research and development (“R&D”).
Article 13 The Municipal People's Government shall establish a Municipal Natural Science Fund to fund basic research and applied basic research, train scientific and technological talents, and enhance capabilities for original innovation and capabilities for core technologies supply in key fields.
Article 14 The construction of the Shenzhen-Hong Kong Science & Technology Innovation Cooperation Zone shall be accelerated; institutional innovation shall be the core; scientific research systems and mechanisms in line with Hong Kong and international standards shall be established; international innovation resources shall be gathered; coordinated development by Shenzhen and Hong Kong shall be advanced; and the efficient and convenient flow of talents, capital, materials, technology, information, and other innovation shall be boosted, so as to create a zone that is in line with international rules and is suitable for STI innovation and development, and a pioneering zone for open innovation.
Article 15 The construction of Guangming Science City, which shall be the core area of the National Center, shall be accelerated. With a focus on the fields of information, materials and life science & technology, cutting-edge and inter-disciplinary research platforms, high-level research universities, scientific research institutions and other major STI innovation media shall be laid out, so as to shape a major scientific and technological infrastructure cluster which is reasonably laid out and leading the world in functions and levels, and an emerging industry cluster that unveils future development.
Article 16 The construction of Xili Lake International Science and Education City, which shall be a demonstration zone for in-depth integration of production, education, research and application, shall be accelerated; the reform of higher education systems and mechanisms shall be explored; scientific and technological resources shall be opened and shared; the commercialization of scientific and technological achievements shall be boosted; scientific research institutions, platforms, enterprises and high-end talents shall be directed to form clusters; and the coordinated development of education, scientific research, and industries shall be fostered.
Article 17 The construction of high-level basic research platforms including but not limited to national laboratories and Guangdong provincial laboratories shall be accelerated, and they shall be supported in making innovation management systems and operational mechanisms, conducting strategic, forward-looking and systematic basic research and research on core technologies in key fields, so as to promote breakthroughs and innovations in disciplines, theories, and cutting-edge technologies and give full play to a role in supporting innovation.
Article 18 Municipal and district people's governments shall coordinate the planning, layout, and construction of major scientific and technological infrastructure and introduce domestic and overseas STI innovation resources.
Municipal and district people's governments shall support, in reliance on scientific and technological infrastructure, higher education institutions, scientific research institutions, and enterprises in conducting cutting-edge technology foresight research, exploration of basic principles and proof technological concept, core technology research and research & development of key equipment, engineering verification, and other activities, and advance the in-depth integration between the construction of major scientific and technological infrastructure and inter-disciplinary and cutting-edge research.
Article 19 Municipal and district people's governments shall, with a focus on the core links and cutting-edge fields of integrated circuits, artificial intelligence, biomedicine, new materials, and other industry chains, and targeting the shortcomings and bottlenecks that restrict industry development, advance the construction of key technology platforms and research on major projects, prioritize the cultivation of STI innovation teams, introduce world-class core teams, key equipment, and advanced technology, among others, and foster the continuous improvement of STI innovation levels.
Article 20 A financial guarantee system for the basic research and applied basic research by higher education institutions shall be established. Higher education institutions shall be supported in arranging scientific research funds in a coordinated manner to conduct basic research and applied basic research to make significant breakthroughs in original innovations.
Article 21 Enterprises shall be supported in undertaking basic research and applied basic research projects independently or in cooperation with higher education institutions and scientific research institutions, so as to boost the connection and integration between basic research and applied basic research on one side and industrialization on the other side and enhance enterprises' R&D capabilities.
Article 22 Enterprises and other private entities shall be supported in investing in basic research and applied basic research by way of establishing funds, making donations, and other means.
The donation expenditures made by enterprises to fund basic research and applied basic research may enjoy relevant preferential treatment as public welfare donations in accordance with relevant regulations, mutatis mutandis.
Chapter Three Technological Innovation
Article 23 The technological innovation system with enterprises as the mainstay, oriented towards the market, and profoundly integrating production, education, research and application, shall be improved to enhance independent innovation capabilities and develop a new landscape of technological innovation that integrates R&D, application and promotion, and industry development.
Article 24 Higher education institutions, scientific research institutions, enterprises, and scientific and technological personnel shall be encouraged, based on the industrial foundation, to intensify the R&D of public and non-profit technologies and enhance the advanced arrangement of R&D of game-changing technologies.
Article 25 The organization and formation mechanism and management methods for core technology research projects shall be improved; the role of higher education institutions, scientific research institutions, enterprises and scientific and technological personnel in core technology research shall be maximized; the implementation of special technology research projects shall be organized; and breakthroughs in core technologies in key fields shall continue to be carried out, so as to make major original scientific and technological achievements and obtain independent intellectual property.
Article 26 For major research projects on core technologies related to the national interest and the public interest, the Municipal People's Government may organize research on core technologies in key fields by assigning mandatory tasks and other means.
Article 27 Where an enterprise develops any new technology, product, or process, or engages in research on core technology, key technology, or public technology, it may, in accordance with relevant provisions, enjoy preferential treatment including but not limited to weighted pre-tax deduction of R&D expenditure, accelerated depreciation of scientific research instrument and equipment, and technology development and transfer tax relief.
Article 28 Enterprises, higher education institutions, and scientific research institutions shall be encouraged to engage in production-education-research cooperation by cooperative development, commissioned R&D, payment of capital stock in technology, and other means and jointly conduct scientific and technological R&D.
Article 29 Enterprises, higher education institutions, and scientific research institutions shall be encouraged to establish technological R&D centers, industry research institutes, and other new types of R&D institutions and jointly build laboratories, STI innovation bases or doctoral workstations, post-doctoral scientific research workstations, academician and expert workstations, and other STI innovation platforms.
Article 30 Higher education institutions, scientific research institutions, and enterprises shall be encouraged to independently or jointly establish R&D institutions, offshore laboratories, and technological cooperation platforms overseas to utilize global STI innovation resources and heighten capabilities for STI innovation.
Article 31 A system in support of innovation in game-changing technologies shall be established and improved, and higher education institutions, scientific research institutions and enterprises shall be supported in conducting the R&D of game-changing technologies and the commercialization and industrialization of achievements.
Article 32 New R&D institutions with diversified investors, modern management systems, market-oriented operating mechanisms, and flexible employment mechanisms shall be cultivated and built, and they shall be supported in conducting scientific research, technological innovation, and R&D services in an integrated manner.
Preferential policies related to public scientific research institutions may apply mutatis mutandis to new types of R&D institutions in undertaking government projects, professional title review, introduction and training of talents, application for construction land, investment and financing services, and other aspects.
Article 33 Higher education institutions, scientific research institutions, enterprises, and other social organizations shall be supported in taking the lead or participating in the drafting and revision of international standards, national standards, industry standards, local standards, and group standards to promote STI innovations to develop relevant technical standards.
Chapter Four Achievement Commercialization
Article 34 The commercialization of scientific and technological achievements shall be in conformity with laws and regulations, in line with the principles of voluntariness, mutual benefit, fairness, and good faith, and without prejudice to the national interest, the public interest, or the lawful rights and interests of another person.
Article 35 Municipal and district people's governments shall, in light of the needs for laying out the industry chain, prompt various innovators to establish a cooperation mechanism for the commercialization of scientific and technological achievements, broaden the fields and channels for cooperation, and improve the level of commercialization of scientific and technological achievements.
Enterprises, higher education institutions, scientific research institutions, and other organizations shall be encouraged, by jointly establishing R&D platforms, technology transfer institutions, technology innovation alliances, intellectual property right alliances, or the like, to gather advanced technology and high-quality resources and jointly conduct R&D, application and promotion of achievements, research on and development of standards, and other activities.
Article 36 A scientific and technological achievement made by any scientific and technological professional as a result of performing the tasks for a higher education institution, scientific research institution, enterprise, or any other employer, or mainly using the material and technological conditions of the employer, shall be a job-related scientific and technological achievement, unless otherwise agreed by the scientific and technological professional and the employer.
Article 37 Where a job-related scientific and technological achievement is made by using government funds in whole or mainly, the higher education institution or scientific research institution shall vest the ownership or right of long-term use of the scientific and technological achievement in the person or team making the scientific and technological achievement, unless the national security or material public interest may be jeopardized.
If the ownership of a scientific and technological achievement is vested in the person or team making the scientific and technological achievement according to the preceding paragraph, the employer and the person or the team making the scientific and technological achievement may agree on undivided co-ownership or divided co-ownership. If divided co-ownership is agreed, the share held by the person or team making the scientific and technological achievement shall not be less than 70%; and if the right of long-term use of a scientific and technological achievement is vested in the person or team making the scientific and technological achievement, the license period shall not be less than ten years.
For a specific job-related scientific and technological achievement, if a scientific and technological professional acquires the ownership or right of long-term use of the job-related scientific and technological achievement, the employer may not pay the income of achievement commercialization and related rewards to such scientific and technological professional.
Article 38 Where a higher education institution or scientific research institution acquires a scientific and technological achievement by using government funds, except in relation to any state secret or the national security, it may independently determine the commercialization method in accordance with the law; and all the revenue derived from the commercialization of the scientific and technological achievement may go to the employer and be included in its budget.
Article 39 Municipal and district people's governments shall establish incentive mechanisms conducive to the commercialization of scientific and technological achievements, and commend and reward relevant entities and personnel delivering outstanding performance in the commercialization of scientific and technological achievements as required.
Article 40 The relevant persons in charge of higher education institutions and scientific research institutions shall strictly comply with decision-making, publication, and other management rules with diligence and care, and may be exempt from the liability for decision-making errors in the pricing of scientific and technological achievements, independent determination of asset appraisal, and vesting of rights in job-related scientific and technological achievements, if they have not sought illegal benefits or maliciously colluded.
Article 41 The Intellectual Property and Scientific and Technological Achievement Property Trading Platform established by the Shenzhen Stock Exchange may carry out the following business, under the supervision and management of competent departments according to the law:
(1) Trading business of intellectual property and scientific and technological achievement property and supporting business including but not limited to publication of certificate of ownership, listing, and registration of technical contracts;
(2) Intellectual property securitization, equity transfer, well-regulated management thereof, and other business of connection between technology markets and capital markets;
(3) Business of cross-border trading of intellectual property and scientific and technological achievements;
(4) Public benefit services in relation to intellectual property and scientific and technological achievements including but not limited to publicity and promotion, education and training, business consultation, and protection and cooperation;
(5) Other business approved by competent departments.
The Intellectual Property and Scientific and Technological Achievement Property Trading Platform may conduct business including but not limited to the appraisal of intellectual property and scientific and technological achievements and the design of property incentive schemes in coordination with relevant intermediaries; and conduct intellectual property pledged financing, technological insurance, investment funds, financing guarantee, and other businesses in coordination with relevant financial institutions.
Higher education institutions, scientific research institutions, and enterprises shall be encouraged, in reliance on the Intellectual Property and Scientific and Technological Achievement Property Trading Platform, to commercialize scientific and technological achievements and trade intellectual property, scientific and technological achievements, and stock equities.
Article 42 Higher education institutions and scientific research institutions shall be supported in establishing proof-of-concept centers to provide proof of technological concept, commercial development, and other services for scientific and technological achievements in the experimental stage.
Article 43 The construction of specialized and comprehensive pilot-scale experiment bases shall be supported to provide pre-production experiments or trial production services for the industrialization, commercialization, and large-scale application of scientific and technological achievements.
Article 44 The advancement of construction of inspection, testing, and certification institutions shall be accelerated; a reasonably laid out, fair and authoritative, fairly competitive, and premium inspection, testing, and certification service system shall be established; and a group of inspection, testing, and certification industry clusters with core competitiveness shall be shaped.
Inspection, testing, and certification institutions shall be encouraged to establish technological alliances to improve inspection, testing and certification capabilities in key fields.
Article 45 Higher education institutions, scientific research institutions, and enterprises shall be supported in establishing technology transfer agencies and introduce technology managers to participate in invention disclosure, appraisal, patent application and maintenance, technology promotion, negotiation about cooperation, and other commercialization activities of scientific and technological achievements.
Article 46 A state organ, public institution, or mass group or organization may utilize government funds to procure innovative products and services with core independent intellectual property and market competitiveness in a non-bidding manner, if the relevant conditions are met.
When government funds are utilized to procure the products and services specified in the preceding paragraph, comprehensive scoring shall be adopted, prices shall not be used as the only evaluation indicator, and a successful bidder shall not be pre-selected or determined by lottery or any other means.
Article 47 STI innovation activities in the fields of resources and environment, population & health, cultural creativity, energy conservation & emission reduction, public security, earthquake prevention & disaster reduction, and urban construction, among others, shall be encouraged. The application of innovative technologies to promote sustainable economic and social development shall be encouraged.
Chapter Five Technological Finance
Article 48 Municipal and district people's governments shall actively push forward the establishment of a STI innovation fund system and establish a fund system covering seed investment, angel investment, venture investment, and investment in mergers and acquisitions and restructuring by government guidance, market cultivation, and other means.
Municipal and district people's governments may establish investment funds of funds by promotion to guide private capital in investing in projects in high-tech industries, strategic emerging industries, future industries, and other STI innovation industries; and may promote the commercialization of scientific and technological achievements by holding the right of use, income, and disposal of scientific and technological achievements or equities generated by commercialization of scientific and technological achievements and other means.
Article 49 Investment in technology-based micro, small and medium-sized enterprises and early scientific and technological projects shall be supported. Enterprises and individuals investing in technology-based micro, small and medium-sized enterprises or early scientific and technological projects may enjoy preferential tax treatment and special financial subsidies in accordance with relevant provisions.
Article 50 The establishment of a green channel for registration and filing of STI innovation funds and their management institutions shall be promoted to improve the facilitation of market access and fundraising, among others, and create a convenient and fair development environment under well-regulated and transparent regulation.
Article 51 The mechanism of risk prevention and elimination and graded and classified supervision for STI innovation funds shall be established and improved to safeguard the lawful rights and interests of investors.
Article 52 The exit mechanism for STI innovation funds shall be refined, and the establishment of funds traded on the private equity secondary market shall be given support.
Article 53 Technology enterprises shall be encouraged to achieve innovative development through capital markets. Technology enterprises shall be supported in obtaining financing by stock offerings, bond offerings, mergers and acquisitions and restructuring, seasoned offerings, and other means.
Article 54 Financial institutions shall be supported in innovating technological financial products and improving financial services by means of financial technology.
The establishment of innovative financial institutions to conduct technological finance leasing, technological insurance, and other business shall be given support.
Article 55 Commercial banks shall be encouraged to establish a risk control, incentives and evaluation system focusing on credit services for technology enterprises and to conduct financing business including but not limited to unsecured loans, intellectual property pledged loans, equity pledged loans, expected income pledged loans, accounts receivable loans, commercial paper pledged loans, and performance bond loans.
Commercial banks shall be encouraged to conduct external investment and loan combination business in accordance with the law and in light of the characteristics of technology enterprises.
Article 56 An insurance institution shall be encouraged to innovate products and services and provide insurance services for technology enterprises in relation to product R&D, production, sales, and other links as well as data security, intellectual property protection, and other aspects.
Article 57 Local financial institutions including but not limited to small loan companies, financing guarantee companies, finance leasing companies, and commercial factoring companies shall be supported in developing characteristic financial products and services in accordance with relevant provisions to facilitate the financing of technology enterprises.
Article 58 A financing guarantee risk-sharing mechanism shall be established, and the role of financing guarantee institutions in providing credit enhancement services for STI innovation enterprises shall be maximized.
A municipal cash pool that supports the risk-sharing of financing guarantee institutions shall be established, and districts, where conditions permit, may make capital contributions supporting the municipal cash pool.
Article 59 Municipal and district people's governments and their relevant departments shall promote the utilization of big data, blockchain, artificial intelligence, and other means, strengthen the construction of public welfare financing service platforms, and provide technology enterprises with online, intelligent and bulk services of connection between investment and financing.
Article 60 Municipal and district people's governments may include commercial banks, insurance institutions, and local financial institutions specified in Article 57 hereof in the scope of government rewards and subsidies, risk compensation, and risk subrogation, among others.
Chapter Six Intellectual Property
Article 61 Municipal and district people's governments shall advance the construction of a well-regulated and market-oriented intellectual property operation and service system, promote the efficient allocation and reasonable movement of various factors of intellectual property, and maximize the role of intellectual property in guaranteeing and supporting high-quality development.
Article 62 The municipal intellectual property department shall, in conjunction with relevant departments, push forward the improvement of the intellectual property appraisal system, formulate intellectual property appraisal standards, cultivate appraisal institutions highly credible and recognized in the market, and provide appraisal services for intellectual property trading.
Article 63 The municipal intellectual property department shall establish a market-oriented high-value patent indicator system to guide enterprises in strengthening patent reserves and improving patent quality.
Article 64 An enterprise shall gradually incorporate the value of intellectual property into its financial statements, convert it into shares or a proportion of capital contribution, and use it to increase its own capital or for external investment.
Article 65 An enterprise shall be guided in establishing and improving intellectual property management rules and shape an intellectual property management system that underpins all the processes of R&D, production, and operations, so as to heighten its capability of sustainable development.
Article 66 Municipal and district people's governments may establish a risk compensation mechanism for intellectual property pledged financing, appropriate special funds for accounts uncollectible compensation and interest subsidies for intellectual property pledged financing, and support financial institutions in conducting the business of intellectual property pledged financing.
If an enterprise conducts intellectual property pledge financing, it may be given government funds as interest and grantee subsidies when the conditions are met.
Article 67 The securitization of intellectual property shall be promoted, and the issurance of intellectual property securitization products with the right of future income of intellectual property operations as the backed assets shall be advanced. If an enterprise successfully issues intellectual property backed securities, municipal and district people's governments may grant appropriate subsidies.
Intellectual property licensing with respect to securities shall be treated as financing in tax administration.
Article 68 The establishment of a non-profit public welfare service platform for intellectual property to provide intellectual property services including but not limited to agency, information, consulting, training, early warning, etc., for higher education institutions, scientific research institutions, enterprises, and scientific and technological personnel shall be given support.
Article 69 The development of intellectual property operation service institutions shall be given support, and intellectual property operation professionals shall be trained, so as to improve capabilities in intellectual property trading, licensing, appraisal, investment and financing, commercialization, and other aspects.
Article 70 Municipal and district people's governments shall establish an intellectual property analysis and evaluation system and support relevant specialized institutions in assessing and justifying the value and risk of intellectual property in relation to significant economic and scientific and technological activities and giving opinions and recommendations.
Chapter Seven Spatial Guarantee
Article 71 The municipal planning and natural resources department shall satisfy the land use demand of high-tech industries, strategic emerging industries, future industries, and other STI innovation industries when preparing construction land supply plans.
Article 72 Municipal and district people's governments may, as required, supply land for scientific research by funds, agreed transfer, and other means to guarantee the construction of major scientific and technological infrastructure including but not limited to the Shenzhen Comprehensive National Science Center.
If land for scientific research is supplied by means of funds, the conditions of users and the use of the land, among others, shall be strictly restricted.
Article 73 Municipal and district people's governments may implement a flexible-term land supply system and reasonably determine transfer periods to the extent of the statutory maximum transfer period based on policies related to STI innovation, industry operating conditions, and the operating conditions of land users.
Municipal and district people's governments may supply land by long-term lease, lease before transfer, and other means as required to satisfy the land use demand of STI innovation industries. For land supplied by means of lease before transfer, if an enterprise passes the acceptance inspection after the lease term expires, it may apply for initiating land transfer-related procedures in accordance with the law.
Article 74 Municipal and district people's governments may stockpile innovative industrial housing by supporting construction, increasing plot ratios, overhauling unified leasing, repurchase, cooperative development, and other means, so as to satisfy the building use demand of STI innovation industries, scientific research institutions, public scientific and technological service platforms, incubators, maker spaces, and technologically advanced service enterprises.
Article 75 Except for relocation or government repurchase, an applicant or transferee of land or housing for a project in any STI innovation industry shall be an enterprise engaged in a high-tech industry, strategic emerging industry, future industry, or any other STI innovation industry.
Article 76 Where the land or housing supplied to a STI innovation industry is put up for auction by the people's court, a bidder shall meet the transferee conditions specified in Article 75 hereof before bidding. After the sale, the subsequent transferee shall succeed to the obligations stipulated in the original transfer contract; and the land use conditions stipulated in the original transfer contract shall remain unchanged, and so shall property restrictions and industry development requirements.
In the absence of a subsequent transferee that meets the transfer conditions, the people's government of the jurisdiction may make repurchase, at a price which is the sum of the land value for the remaining term and the residual value of the building(s) after depreciation.
Article 77 Municipal and district housing and development departments shall issue guiding rent(s) of innovative industrial housing.
If an industrial housing constructed may be leased under any of the following circumstances, the rent shall not be higher than the guiding rent specified in the preceding paragraph. If the rent is higher than the guiding rent specified in the preceding paragraph, the relevant department of the district people's government shall order the excess to be refunded to the lessee:
(1) Except for an urban renewal or land consolidation project, the right to use land for construction for own use or only for rent not for sale for any innovative industry, is acquired by means of agreed transfer
(2) After the selection of key industry projects, the right to use land for the industrial sector or any other industry is acquired by bidding, auction, listing, or any other means.
Article 78 A leased innovative industrial housing under the management of the government shall not be subleased to other party.
In the case of violation of the preceding paragraph, the district housing and development department shall confiscate the illegal income and impose a fine of twice the illegal income; and the lessor shall take back the innovative industrial housing.
Chapter Eight Innovative Environment
Article 79 Municipal and district people's governments shall establish an advisory committee on decisions on STI innovation which is composed of high-level experts in the fields of science and technology, industry, investment, and law, among others, and establish a system for consultation with enterprises on decisions on STI innovation, so as to seek comments from the committee and related enterprises before preparing and implementing major strategic plans, formulating important STI innovation policies, and making decisions on the layout of major STI innovation projects.
Municipal and district people's governments may introduce high-end think tanks and consulting institutions to participate in consultation on decisions on STI innovation by service procurement and other means.
Article 80 Municipal and district people's governments shall, oriented towards industry demand, maximize the decisive role of the market in the allocation of human resources and actively introduce scientific and technological talents.
The municipal department responsible for talent work shall, in conjunction with relevant departments, organize the introduction of STI innovation teams and leading talents urgently needed for industries of which priority is given to the development and effectively manage and serve introduced talents in accordance with relevant provisions.
Article 81 Municipal and district people's governments shall formulate and implement a STI innovation talent training plan and coordinate the development of industries and scientific and technological talents.
Higher education institutions, scientific research institutions, enterprises, and social organizations shall be supported in holding activities including but not limited to STI innovation competitions and academic forums, so as to provide scientific and technological personnel with platforms for the display of STI innovations and exchanges, and cooperation.
Article 82 The building of teams of young scientific and technological talents shall be strengthened, and a long-term stable support and relay training mechanism that conforms to the law of talent growth shall be established.
Extraordinarily excellent young scientific and technological personnel may lead or participate in major scientific research projects and exceptionally participate in the recruitment for various professional and technical positions.
Article 83 Municipal and district people's governments shall, as required, facilitate eligible scientific and technological personnel in enterprise establishment, project application, conditions guarantee for STI innovation, entry and exit, housing, medical security, children's schooling, etc.
Article 84 A scientific and technological talent evaluation system that consists of integrity, capabilities and performance as weighting factors shall be established; the role of diversified evaluators including but not limited to governments, enterprises, specialized organizations, and industry associations shall be maximized; and employers shall be given greater influence over talent evaluation.
Article 85 An employee holding a professional and technical position in any higher education institution or scientific research institution may work part-time, hold a provisional position, or participate in project cooperation in an enterprise and receive lawful remunerations, in accordance with relevant provisions, or start a new business while in service or depart for innovation and entrepreneurship.
A higher education institution or scientific research institution may engage management talents and scientific and technological talents with practical experience in innovation as part-time teachers or part-time researchers.
Article 86 The science education in primary and secondary schools shall be strengthened, and an orientation towards enlightening basic education that stimulates scientific thinking, inspires scientific discovery, and encourages scientific exploration shall be developed.
Primary and secondary schools shall, in accordance with the relevant rules of education authorities, establish a mechanism to connect extracurricular science popularization activities and school science courses and conduct various forms of extracurricular science popularization activities. Primary and secondary school students shall be encouraged to participate in STI innovation competitions, and the branding development of maker education shall be fostered.
Primary and secondary schools shall be encouraged to build innovation laboratories in cooperation with higher education institutions, scientific research institutions, and enterprises to carry out innovation talent training and scientific creation activities.
Article 87 Municipal and district people's governments shall strengthen the development of science popularization resources and the construction of science popularization infrastructure, innovate concepts and models of science popularization, support the creation of science popularization works and the R&D of products, and improve capabilities of scientific popularization services.
Higher education institutions, scientific research institutions, and enterprises, among others, where conditions permit, shall be encouraged to open R&D institutions, production facilities, procedures, or exhibition venues to the public based on their own characteristics to conduct science popularization activities and build science popularization education bases.
Article 88 The establishment of institutions dedicated to R&D, technology transfer, startup incubation, intellectual property, scientific and technological consulting, and other scientific and technological service and public scientific and technological service platforms shall be encouraged, so as to provide professional services for STI innovation activities.
Article 89 Municipal and district justice departments shall, in conjunction with relevant departments, establish a public legal service platform to render public legal services to the STI innovation activities of higher education institutions, scientific research institutions, enterprises, and scientific and technological professional. The municipal justice department shall formulate specific measures and organize implementation with the approval of the Municipal People's Government.
Article 90 Municipal and district people's governments shall support international exchanges and cooperation in STI innovation and strengthen the convenient flow of innovation factors and the efficient concentration of international innovation resources; and serve and facilitate innovators in business tourism, participation in overseas exhibitions, trade negotiations, offshore innovation and entrepreneurship, technology trading, exit and entry administration, foreign exchange administration, and other aspects.
Article 91 Cooperation in STI innovation with other cities in the Guangdong-Hong Kong-Macao Greater Bay Area shall be strengthened, cross-administrative area research on core technologies, joint construction of STI innovation platforms, intellectual property protection, and other work shall be given support, and the promotion of or participation in international big science research plans and projects shall be given support.
Hong Kong and Macao-based higher education institutions and scientific research institutions shall be supported in undertaking scientific and technological projects established with Shenzhen government funds, and a mechanism for the utilization of government funds for science and technology across Hong Kong and Macao shall be established and improved.
Article 92 Municipal and district people's governments shall push forward the establishment of a STI innovation resources sharing platform to provide the service of sharing instruments and facilities for STI innovation activities.
For large scientific instruments and facilities purchased or constructed with government funds and state-owned capital, higher education institutions, scientific research institutions, and enterprises shall, in accordance with relevant provisions, maximize their availability to society through the STI innovation resources sharing platform upon satisfying their own demands, unless the national security or material public interest may be jeopardized.
Private entities shall be encouraged to establish STI innovation resources sharing platforms and promote the convenient and efficient flow of STI innovation resources.
Article 93 Municipal and district people's governments and their relevant departments shall achieve interconnection and establish an information-sharing mechanism, with respect to registration, licensing, and other government information related to higher education institutions, scientific research institutions, enterprises, or individuals in STI innovation, talent training and introduction, and other aspects.
Article 94 The municipal department responsible for STI innovation shall establish and improve a custody system of funds for scientific and technological R&D, optimize the application process, and improve the efficiency of fund use; and may use funds for scientific and technological R&D to perform professional services including but not limited to project proposal, process management, and performance assessment on a commission basis.
Funds for scientific and technological R&D shall be earmarked for specified purposes, and shall not be used to repay the debts of a project entity.
Article 95 The scientific and technological award system shall be improved to commend and reward entities and individuals that have made significant achievements or outstanding contributions in STI innovation activities as required.
Private entities shall be encouraged to establish scientific and technological awards and give rewards for STI innovation activities.
Article 96 For a scientific and technological project established by using government funds or state-owned capital, if there is sufficient proof that the entity and scientific and technological personnel undertake the project with diligence and care, but fail to complete the project, the project may be allowed to be closed, after the department responsible for project proposals has arranged for experts to give justifications, without affecting the relevant unit and individuals' application for another scientific and technological project established with government funds or state-owned capital.
Article 97 STI innovation activities shall be conducted according to the relevant ethics and standards of science and technology.
If a scientific and technological project established by using government funds is related to any cutting-edge field of life sciences, medicine, artificial intelligence, or the like, or presents a potential threat to society or the ecology and environment, the person in charge of the project shall be required to submit a written undertaking as to the ethics of science and technology before the project proposal.
Any entity engaged in health-related research or the production or use of laboratory animals shall establish a corresponding committee on the ethics of science and technology in accordance with relevant provisions, strengthen the ethical review and regulation of relevant scientific and technological activities, and perform regulatory responsibilities in relation to the ethics of science and technology. Relevant scientific and technological personnel shall accept review and regulation in relation to the ethics of science and technology.
Article 98 A higher education institution, scientific research institution, enterprise, or any other entity engaged in STI innovation activities shall perform the responsibilities for regulating scientific research integrity and strengthen its construction of scientific research integrity.
A scientific and technological professional shall abide by academic standards, observe professional ethics, and be in good faith, and shall not commit the following conducts:
(1) Copying, plagiarizing, or converting the research achievements or project application of another entity or individual;
(2) Fabricating a research process, or forging or tampering with any research data, chart, conclusion, test report, or user usage report;
(3) Buying, selling, or writing for another entity or individual any paper or project application, or falsifying a peer review expert or a review opinion;
(4) Obtaining the approval of any scientific research activity, or obtaining a scientific and technological plan or project, funds for scientific research, an award, an honor, a professional title, or the like, by providing false information or any other fraudulent means, or by bribery, benefit exchange, or any other illicit means;
(5) Violating the ethics and standards of science and technology;
(6) Violating the standards for signature of research achievements including but not limited to patents and for publishing papers;
(7) Other dishonest conducts in scientific research.
If a scientific and technological professional commits any conduct specified in the preceding paragraph as verified by investigation, the municipal and district departments responsible for STI innovation shall impose punishment in accordance with the law and take actions including but not limited to giving oral warnings, naming and shaming such scientific and technological professional within certain ranks, and suspending or canceling relevant qualifications as required; and if the conduct is criminally punishable, the offender shall be held criminally liable in accordance with the law.
Article 99 A technology enterprise registered in the municipality in accordance with the Company Law of the People's Republic of China may create a special ownership structure and stipulate a weighted voting right arrangement in the company bylaws, so as to in addition to common shares create special voting shares carrying a number of voting rights more than common shares.
Shareholders holding special voting shares may include the founding shareholders of the company, any other shareholder who has made major contributions to the technological progress and business development of the company and continue to play an important role in the subsequent development of the company, and shareholder(s) under the control of the foregoing shareholders.
If a company that has a special ownership structure complies with the relevant listing rules in other aspects, it may be listed and traded on a securities exchange.
Article 100 When a small or medium-sized high-tech enterprise registered in Shenzhen converts equity capital from its undistributed profits, surplus reserves, and capital reserves to individual shareholder(s) to its individual shareholders, individual shareholder(s) may make payment in installments within five years if such shareholder(s) has difficulty paying individual income tax in a lump sum .
Chapter Nine Supplementary Provisions
Article 101 These Regulations shall come into force on November 1, 2020, upon which the Regulations of Shenzhen Special Economic Zone on Promotion of Scientific and Technological Innovation shall be repealed simultaneously.
深圳经济特区科技创新条例
（2020年8月26日深圳市第六届人民代表大会常务委员会第四十四次会议通过）
第一章 总则
第一条 为了深入贯彻实施创新驱动发展战略，加快建设现代化国际化创新型城市和具有全球影响力的创新创业创意之都，推进粤港澳大湾区建设和建设深圳中国特色社会主义先行示范区，根据法律、行政法规的基本原则，结合深圳经济特区实际，制定本条例。
第二条 深圳经济特区科技创新活动适用本条例。
第三条 坚持把创新驱动作为城市发展主导战略，以科技创新为核心推进全面创新，完善科技创新体制机制；加强基础研究和应用基础研究，强化关键核心技术攻关，促进科技成果转化和产业化，深化科技金融创新，充分发挥人才支撑作用，构建以“基础研究和应用基础研究”“技术攻关”“成果产业化”“科技金融”“人才支撑”为重点的全过程创新生态链。
第四条 市、区人民政府应当将高新技术产业发展、科技基础设施建设、科技创新体制改革、重大科技项目攻关、科技人才保障等科技创新工作纳入国民经济和社会发展规划。
市、区人民政府应当制定科技创新发展专项规划，明确科技创新发展的总体思路、发展目标、主要任务和保障措施等，并每年向社会公布实施情况。
制定、修订市、区国土空间规划应当充分保障科技创新发展的基本要求。
第五条 市、区人民政府应当加大科技创新财政投入，建立稳定支持与竞争性经费相结合的科技创新投入机制，引导企业及其他社会力量投入科技创新活动，推动全社会科技创新经费持续稳步增长。
市、区人民政府及其相关部门应当综合运用财政后补助、间接投入等方式，通过资助、贷款贴息、奖励、基金等多种形式支持高等院校、科研机构、企业以及科技人员开展科技创新活动。
改革科技项目立项和组织方式，建立主要由市场决定的科技项目遴选、经费分配、成果评价机制。
第六条 市、区人民政府应当建立科技安全协调工作机制，加强科技安全制度建设，强化重点产业供应链安全保障，防范化解科技领域重大风险，提高科技安全治理水平。
第七条 市、区科技创新主管部门负责本行政区域科技创新的统筹协调和监督管理。
市、区发展改革、教育、工业和信息化、司法、财政、人力资源和社会保障、规划和自然资源、商务、卫生健康、国有资产监督管理、市场监管、地方金融监管、中小企业服务等部门在各自职责范围内，负责科技创新相关工作。
第八条 市、区人民政府应当加强高新技术产业园区发展建设，创新体制机制，健全规划体系，加大投资力度，完善基础设施，提高管理与服务水平，推动园区产业集聚，培育发展创新型产业集群。
第九条 加快建设深圳综合性国家科学中心，作为国家创新体系建设的重要基础平台，开展重大科技基础设施项目预先研究，集中布局建设重大科技基础设施集群；建设一批跨领域、跨学科的前沿交叉研究平台，与重大科技基础设施形成交叉融合、紧密协作、相互支撑的创新内核，强化原始创新能力，发挥其在粤港澳大湾区国际科技创新中心建设中的关键作用。
第十条 高等院校、科研机构、企业、科技服务机构以及行业协会、商会、学术联盟等社会组织应当发挥在创新链相关环节的作用，积极实施科技创新活动，形成共同推进科技创新的强大合力。
科技人员应当积极弘扬科学精神、探索科学真理、维护科学尊严、遵循科技伦理，充分发挥主动性和创造性，扎实开展科学研究和技术创新、促进科技成果转化。
第二章 基础研究和应用基础研究
第十一条 鼓励高等院校、科研机构、企业以及科技人员开展基础研究和应用基础研究，自由探索未知的科学问题，发现和开拓新的知识领域。
第十二条 市人民政府投入基础研究和应用基础研究的资金应当不低于市级科技研发资金的百分之三十。
第十三条 市人民政府设立市自然科学基金，资助开展基础研究和应用基础研究，培养科技人才，增强原始创新能力和关键核心技术供给能力。
第十四条 加快建设深港科技创新合作区，以制度创新为核心，建立与香港及国际接轨的科研体制机制，聚集国际创新资源，推进深港协同开发，促进人员、资金、物资、技术、信息等创新要素高效便捷流动，打造适应科技创新发展的国际规则对接区和开放创新先导区。
第十五条 加快建设光明科学城，作为综合性国家科学中心的核心承载区，重点围绕信息、材料、生命科学与技术领域，布局前沿交叉研究平台、高水平研究型大学和科研机构等重大科技创新载体，形成布局合理、功能水平全球领先的重大科技基础设施集群以及引领未来发展的新兴产业集群。
第十六条 加快建设西丽湖国际科教城，作为产学研用深度融合示范区，探索高等教育体制机制改革，开放共享科技资源，促进科技成果转化，引导科研机构、平台载体、企业和高端人才集聚，推动教育、科研、产业协同发展。
第十七条 加快建设国家实验室、广东省实验室等高水平基础研究平台，支持其开展管理体制和运营机制创新，开展战略性、前瞻性、系统性基础研究和关键核心技术攻关，推动学科理论与技术前沿的突破和创新，发挥创新支撑作用。
第十八条 市、区人民政府应当统筹规划、布局建设重大科技基础设施，引进境内外科技创新资源。
支持高等院校、科研机构、企业依托科技基础设施，开展前沿技术预见研究、基本原理探索和技术概念验证、关键技术攻关和重点设备研发、工程化验证等活动，推进重大科技基础设施建设与交叉前沿研究深度融合。
第十九条 市、区人民政府应当围绕集成电路、人工智能、生物医药、新材料等产业链的核心环节和前沿领域，针对制约产业发展的短板和瓶颈，推进关键技术平台建设和重大项目攻关，重点培育科技创新团队，引进全球一流核心团队、关键设备和先进技术等，促进科技创新水平不断提升。
第二十条 建立高等院校基础研究和应用基础研究财政保障制度。支持高等院校统筹科研资金开展基础研究和应用基础研究，实现引领性原创成果重大突破。
第二十一条 支持企业独立或者联合高等院校、科研机构承担基础研究和应用基础研究项目，促进基础研究、应用基础研究与产业化对接融通，提高企业研发能力。
第二十二条 支持企业及其他社会力量通过设立基金、捐赠等方式投入基础研究和应用基础研究。
企业用于资助基础研究和应用基础研究的捐赠支出，可以按照有关规定参照公益捐赠享受有关优惠待遇。
第三章技术创新
第二十三条 完善以企业为主体、市场为导向、产学研深度融合的技术创新体系，提高自主创新能力，形成研究开发、应用推广、产业发展贯通融合的技术创新新局面。
第二十四条 鼓励高等院校、科研机构、企业以及科技人员立足产业基础，加强公共性、非营利性技术的研究开发，加强颠覆性技术研究开发的前沿布局。
第二十五条 完善技术攻关项目的组织、形成机制和管理方式，充分发挥高等院校、科研机构、企业以及科技人员在关键核心技术攻关中的作用，组织实施技术攻关专项，持续推动突破关键核心技术瓶颈，取得重大原创科技成果和自主知识产权。
第二十六条 对于涉及国家利益和社会公共利益的重大技术攻关项目，市人民政府可以通过下达指令性任务等方式，组织关键核心技术攻关。
第二十七条 企业开发新技术、新产品、新工艺或者从事核心技术、关键技术和公共技术研究的，按照有关规定享受研究开发费用税前加计扣除、科研仪器设备加速折旧、技术开发和转让税收减免等优惠待遇。
第二十八条 鼓励企业与高等院校、科研机构通过合作开发、委托研发、技术入股等方式开展产学研合作，共同开展科技研发。
第二十九条 鼓励企业与高等院校、科研机构建立技术研发中心、产业研究院等新型研发机构，共建实验室、科技创新基地或者博士工作站、博士后科研工作站、院士专家工作站等科技创新平台。
第三十条 鼓励高等院校、科研机构、企业单独或者合作在境外建立研发机构、离岸实验室和技术合作平台，利用全球科技创新资源，提升科技创新能力。
第三十一条 建立完善支持颠覆性技术创新的制度，支持高等院校、科研机构、企业等开展颠覆性技术研发、成果转化和产业化。
第三十二条 培育和建设投资主体多元化、管理制度现代化、运行机制市场化、用人机制灵活的新型研发机构，支持其融合开展科学研究、技术创新和研发服务。
新型研发机构在承担政府项目、职称评审、引进和培养人才、申请建设用地、投资融资服务等方面可以参照适用科研事业单位相关优惠政策。
第三十三条 支持高等院校、科研机构、企业和其他社会组织牵头或者参与国际标准、国家标准、行业标准、地方标准和团体标准的起草和修订，推动科技创新成果形成相关技术标准。
第四章 成果转化
第三十四条 科技成果转化应当遵守法律、法规规定，遵循自愿、互利、公平、诚实信用原则，不得损害国家利益、社会公共利益和他人合法权益。
第三十五条 市、区人民政府应当结合产业链布局需要，推动各类创新主体建立科技成果转化合作机制，拓宽合作领域和渠道，提高科技成果转化水平。
鼓励企业与高等院校、科研机构及其他组织通过联合建立研究开发平台、技术转移机构、技术创新联盟或者知识产权联盟等，集聚先进技术和优质资源，共同开展研究开发、成果应用与推广、标准研究与制定等活动。
第三十六条 科技人员执行高等院校、科研机构和企业等单位的工作任务或者主要利用单位的物质技术条件所完成的科技成果，属于职务科技成果。科技人员与单位另有约定的，从其约定。
第三十七条 全部或者主要利用财政性资金取得职务科技成果的，高等院校、科研机构应当赋予科技成果完成人或者团队科技成果所有权或者长期使用权，但是可能损害国家安全或者重大社会公共利益的除外。
依据前款规定，赋予科技成果完成人或者团队科技成果所有权的，单位与科技成果完成人或者团队可以约定共同共有或者按份共有。约定按份共有的，科技成果完成人或者团队持有的份额不低于百分之七十；赋予科技成果完成人或者团队科技成果长期使用权的，许可使用期限不少于十年。
对于同一职务科技成果，科技人员获得职务科技成果所有权或者长期使用权的，其单位可以不再给予成果转化收益及相关奖励。
第三十八条 高等院校、科研机构利用财政性资金取得科技成果的，除涉及国家秘密、国家安全外，可以依法自主决定转化方式；科技成果转化所获得的收入全部留归单位，纳入单位预算。
第三十九条 市、区人民政府应当建立有利于促进科技成果转化的激励机制，对科技成果转化绩效突出的相关单位和人员按照规定给予表彰和奖励。
第四十条 高等院校、科研机构有关负责人履行勤勉尽职义务，严格执行决策、公示等管理制度，没有牟取非法利益或者恶意串通的，可以免予追究其在科技成果定价、自主决定资产评估以及职务科技成果赋权中的决策失误责任。
第四十一条 深圳证券交易所设立的知识产权和科技成果产权交易平台，可以开展下列业务，由相关主管部门依法实施监督管理：
（一）知识产权和科技成果产权交易业务，以及权属存证公示、挂牌展示和承接技术合同登记等配套业务；
（二）知识产权证券化、股权转让以及规范管理等技术市场对接资本市场业务；
（三）知识产权和科技成果产权跨境交易业务；
（四）知识产权和科技成果产权宣传推广、教育培训、业务咨询和保护协作等公益服务；
（五）经主管部门批准的其他业务。
知识产权和科技成果产权交易平台可以协同相关中介机构开展知识产权和科技成果产权价值评估和产权激励方案设计等业务；协同相关金融机构开展知识产权质押融资、科技保险、投资基金和融资担保等业务。
鼓励高等院校、科研机构、企业依托知识产权和科技成果产权交易平台，开展科技成果转化以及知识产权、科技成果产权和股权交易。
第四十二条 支持高等院校、科研机构建立概念验证中心，为实验阶段的科技成果提供技术概念验证、商业化开发等服务。
第四十三条 支持专业性和综合性中试基地建设，为科技成果实现工业化、商品化、规模化提供投产前试验或者试生产服务。
第四十四条 加快推进检验检测认证机构建设，建立布局合理、公正权威、公平竞争、服务优质的检验检测认证服务体系，形成一批具有核心竞争力的检验检测认证产业集群。
鼓励检验检测认证机构成立技术联盟，提升重点领域检验检测认证能力。
第四十五条 支持高等院校、科研机构和企业设立技术转移部门，引入技术经理人全程参与发明披露、价值评估、专利申请与维护、技术推广、对接谈判等科技成果转化活动。
第四十六条 国家机关、事业单位、群团组织使用财政性资金采购具有核心自主知识产权和市场竞争力的创新产品和服务，符合条件的可以采取非招标方式。
使用财政性资金采购前款规定的产品和服务时，应当采用综合评分，不以价格作为唯一评审指标，不得采用抽签、摇号等方式预选、确定中标人。
第四十七条 鼓励开展资源与环境、人口与健康、文化创意、节能减排、公共安全、防震减灾、城市建设等领域的科技创新活动。鼓励应用创新性技术促进经济和社会可持续发展。
第五章 科技金融
第四十八条 市、区人民政府应当积极推动科技创新基金体系建设，通过政府引导、市场培育等方式，建立覆盖种子期投资、天使投资、风险投资、并购重组投资的基金体系。
市、区人民政府可以发起设立投资母基金，引导社会资本投资高新技术产业、战略性新兴产业、未来产业等科技创新类产业项目；可以通过持有科技成果使用权、收益权、处置权或者科技成果转化形成的股权等方式，促进科技成果转化。
第四十九条 支持投资科技型中小微企业和早期科技项目。投资科技型中小微企业或者早期科技项目的企业和个人，按照有关规定享受税收优惠待遇及专项资金补贴。
第五十条 推动建立科技创新基金及其管理机构登记备案绿色通道，提升市场准入、资金募集等便利化程度，构建便捷公平、监管规范透明的发展环境。
第五十一条 建立完善科技创新基金风险防范化解和分级分类监管机制，保障出资人的合法权益。
第五十二条 完善科技创新基金退出机制，支持设立私募股权投资二级市场交易基金。
第五十三条 鼓励科技企业通过资本市场实现创新发展。支持科技企业通过发行股票、发行债券、并购重组、再融资等方式进行融资。
第五十四条 支持金融机构运用金融科技手段创新科技金融产品、提升金融服务水平。
支持设立创新型金融机构，开展科技金融租赁、科技保险等业务。
第五十五条 鼓励商业银行建立聚焦科技企业信贷服务的风险控制和激励考核体系，开展信用贷款、知识产权质押贷款、股权质押贷款、预期收益质押贷款、应收账款贷款、商票质押贷款、履约保证保险贷款等融资业务。
鼓励商业银行结合科技企业特点，依法开展外部投贷联动业务。
第五十六条 鼓励保险机构创新产品和服务，为科技企业在产品研发、生产、销售各环节以及数据安全、知识产权保护等方面提供保险服务。
第五十七条 支持小额贷款公司、融资担保公司、融资租赁公司、商业保理公司等地方金融机构按照有关规定开发特色金融产品和服务，为科技企业提供融资便利。
第五十八条 建立融资担保风险分担机制，充分发挥融资担保机构为科技创新企业提供增信服务的作用。
设立支持分担融资担保机构风险的市级资金池，有条件的区可以与市级资金池配套出资。
第五十九条 市、区人民政府及其有关部门应当推动利用大数据、区块链、人工智能等手段，加强公益性融资服务平台建设，为科技企业提供线上化、智能化、批量化投融资对接服务。
第六十条 市、区人民政府可以将商业银行、保险机构以及本条例第五十七条规定的地方金融机构纳入财政奖励补贴、风险补偿、风险代偿等范围。
第六章 知识产权
第六十一条 市、区人民政府应当推进规范化、市场化的知识产权运营服务体系建设，促进知识产权各项要素高效配置和合理流动，发挥知识产权对高质量发展的保障支撑作用。
第六十二条 市知识产权主管部门应当会同有关部门推动完善知识产权价值评估制度，制定知识产权评估标准，培育具有较强公信力和市场认可度的评估机构，为知识产权交易提供评估服务。
第六十三条 市知识产权主管部门应当建立市场化高价值专利指标体系，引导企业加强专利储备、提高专利质量。
第六十四条 企业应当逐步将知识产权价值纳入财务报表，转化为股份或者出资比例，用于增加自有资本或者对外投资。
第六十五条 引导企业建立完善知识产权管理制度,形成贯穿研发、生产、经营各环节的知识产权管理体系，提高企业可持续发展能力。
第六十六条 市、区人民政府可以建立知识产权质押融资风险补偿机制，设立知识产权质押融资坏账补偿和贴息专项资金，支持金融机构开展知识产权质押融资业务。
企业以知识产权开展质押融资，符合条件的，可以由财政性资金给予贴息贴保。
第六十七条 推动知识产权证券化，推进以知识产权运营未来收益权为底层资产发行知识产权证券化产品。企业成功发行知识产权证券化产品的，市、区人民政府可以给予适当补贴。
证券化产品中的知识产权许可在税收管理中视为融资行为。
第六十八条 支持建立非营利性知识产权公共公益服务平台，为高等院校、科研机构、企业以及科技人员提供知识产权代理以及信息、咨询、培训、预警等服务。
第六十九条 支持知识产权运营服务机构发展，培养知识产权运营专业人才，提高知识产权交易、许可、评估、投融资、商用化等方面能力。
第七十条 市、区人民政府应当建立知识产权分析评议制度，支持有关专业机构对重大经济科技活动涉及的知识产权价值和风险进行评估、论证，提出意见和建议。
第七章 空间保障
第七十一条 市规划和自然资源部门在编制建设用地供应计划时，应当保障高新技术产业、战略性新兴产业、未来产业等科技创新类产业的用地需求。
第七十二条 市、区人民政府可以按照规定采用划拨或者协议出让方式供应科研用地，保障深圳综合性国家科学中心等重大科技基础设施建设。
采用划拨方式供应科研用地的，应当严格限制使用人的条件和土地使用用途等。
第七十三条 市、区人民政府可以实行用地弹性年期供应制度，根据科技创新相关政策和产业发展情况、用地单位经营情况，在法定最高出让年期内合理确定出让年期。
市、区人民政府可以按照规定采用长期租赁、先租后让等方式供应土地，保障科技创新类产业的用地需求。采用先租后让方式供应土地，企业租赁期满通过验收的，可以依法申请办理土地出让相关手续。
第七十四条 市、区人民政府可以通过配套建设、提高容积率、整治统租、回购、合作开发等方式筹集创新型产业用房，保障科技创新类产业、科研机构、科技公共服务平台、孵化器和众创空间以及技术先进型服务企业的用房需求。
第七十五条 除回迁安置或者政府回购以外，科技创新类产业项目用地、用房的申请人以及受让人，应当为从事高新技术产业、战略性新兴产业、未来产业等科技创新类产业的企业。
第七十六条 供应科技创新类产业的用地、用房被人民法院强制拍卖的，竞拍人竞买前应当取得本条例第七十五条规定的受让人条件。成交后的次受让人应当承接原出让合同约定的受让人义务，原出让合同约定的土地使用条件不变，产权限制条件和产业发展要求不变。
无符合受让条件的次受让人的，可以由辖区人民政府回购，回购价格为剩余土地年期地价与建筑物折旧后的残值之和。
第七十七条 市、区住房建设部门应当发布关于创新型产业用房的租金指导价格。
有下列情形之一，建设的产业用房用于出租的，出租价格不得高于前款规定的租金指导价格。出租价格高于前款规定的租金指导价格的，高出部分由区人民政府有关部门责令退还承租人:
（一）除城市更新、土地整备项目外，通过协议出让方式取得用于建设自用或者只租不售的创新型产业用房土地使用权的；
（二）经重点产业项目遴选后通过招标、拍卖、挂牌等方式取得工业及其他产业用地使用权的。
第七十八条 承租纳入政府管理的创新型产业用房的，不得转租他人。
违反前款规定的，由区住房建设部门没收违法所得，并处违法所得两倍的罚款；由出租人收回该创新型产业用房。
第八章创新环境
第七十九条 市、区人民政府应当成立由科技、产业、投资、法律等领域高层次专家组成的科技创新决策咨询委员会，并建立科技创新决策企业咨询制度，在编制实施重大战略规划、制定重要科技创新政策、作出重大科技项目布局决策前，咨询该委员会和相关企业的意见。
市、区人民政府可以通过购买服务等方式，引入高端智库、咨询机构参与科技创新决策咨询。
第八十条 市、区人民政府应当以产业需求为导向，充分发挥市场在人才资源配置中的决定性作用，积极开展科技人才引进工作。
市人才工作主管部门应当会同有关部门组织引进优先发展产业急需的科技创新团队和领军人才，并按照有关规定做好引进人才的管理和服务工作。
第八十一条 市、区人民政府应当制定和实施科技创新人才培养计划，统筹产业发展和科技人才开发。
支持高等院校、科研机构、企业和社会组织举办科技创新竞赛、学术论坛等活动，为科技人员提供科技创新成果展示和交流合作平台。
第八十二条 加强青年科技人才队伍建设，建立符合人才成长规律的长期稳定支持和接力培养机制。
特别优秀的青年科技人员可以主持或者参与重大科研项目，破格参加各类专业技术岗位评聘。
第八十三条 市、区人民政府应当按照规定为符合条件的科技人员在设立企业、申报项目、科技创新条件保障和出入境、住房、医疗保障、子女入学等方面提供便利。
第八十四条 建立品德、能力、业绩相结合的科技人才评价制度，发挥政府、企业、专业组织、行业协会等多元评价主体作用，赋予用人单位更大的人才评价权。
第八十五条 高等院校、科研机构专业技术岗位人员可以按照有关规定到企业兼职、挂职或者参与项目合作并取得合法报酬，也可以在职创办企业或者离岗创新创业。
高等院校、科研机构可以聘请有创新实践经验的管理人才、科技人才担任兼职教师或者兼职研究人员。
第八十六条 加强中小学科学教育，树立激发科学思考、启发科学发现、鼓励科学探索的启智型基础教育导向。
中小学校应当按照教育部门有关规定，建立课外科学普及活动与学校科学课程相衔接的机制，开展多种形式课外科学普及活动。鼓励中小学生参加科技创新竞赛，促进创客教育品牌化发展。
鼓励中小学校与高等院校、科研机构、企业等联合建设创新实验室，开展创新人才培养和科学创造活动。
第八十七条 市、区人民政府应当加强科学普及资源开发和科学普及基础设施建设，创新科学普及理念和模式，支持科学普及作品创作和产品研发，提升科学普及服务能力。
鼓励有条件的高等院校、科研机构、企业等根据自身特点面向公众开放研发机构、生产设施、流程或者展览场所开展科学普及活动，建设科学普及教育基地。
第八十八条 鼓励设立研究开发、技术转移、创业孵化、知识产权、科技咨询等科技服务机构和科技公共服务平台，为科技创新活动提供专业服务。
第八十九条 市、区司法行政部门应当会同有关部门建立公共法律服务平台，为高等院校、科研机构、企业以及科技人员的科技创新活动提供公共法律服务。具体办法由市司法行政部门制定，经市人民政府批准后组织实施。
第九十条 市、区人民政府应当支持开展国际科技创新交流合作，加强创新要素便捷流动和国际创新资源高效聚集；在商务考察、出国参展、贸易洽谈、离岸创新创业、技术贸易、出入境管理、外汇管理等方面为创新主体提供服务和便利。
第九十一条 加强与粤港澳大湾区其他城市的科技创新合作，支持开展跨行政区科学技术攻关、共建科技创新平台、知识产权保护等工作，支持发起或者参与国际大科学计划和大科学工程建设。
支持香港、澳门高等院校、科研机构承接深圳市财政性资金设立的科技项目，建立和完善财政科技资金跨港澳使用机制。
第九十二条 市、区人民政府应当推动建立科技创新资源共享平台，为科技创新活动提供仪器设施开放共享服务。
对于利用财政性资金、国有资本购置和建设的大型科学仪器设施，高等院校、科研机构和企业等单位应当按照有关规定，在满足自身使用需求的基础上，通过科技创新资源共享平台，最大限度向社会开放使用。但是，可能损害国家安全或者重大社会公共利益的除外。
鼓励社会力量建立科技创新资源共享平台，促进科技创新资源便捷、高效流动。
第九十三条 市、区人民政府及其相关部门涉及高等院校、科研机构、企业或者个人在科技创新以及人才培养和引进等方面的登记、许可类等政务信息，应当实现互联互通，建立信息共享机制。
第九十四条 市科技创新主管部门应当建立和完善科技研发资金托管制度，优化申请流程，提高经费使用效益；可以使用科技研发资金委托开展立项、过程管理、绩效评估等专业服务。
科技研发资金应当专款专用，不得用于偿还项目单位的债务。
第九十五条 完善科技奖励制度，对在科技创新活动中取得重大成果或者作出突出贡献的单位和个人按照规定给予表彰和奖励。
鼓励社会力量设立科学技术奖项，对科技创新活动予以奖励。
第九十六条 对于利用财政性资金或者国有资本设立的科技项目，能够充分证明承担项目的单位和科技人员已经履行了勤勉尽责义务仍不能完成的，经立项主管部门组织专家论证后，可以允许该项目结题，不影响相关单位和个人再次申请利用财政性资金或者国有资本设立的科技项目。
第九十七条 从事科技创新活动应当遵循有关科技伦理规范。
利用财政性资金设立的科技项目涉及生命科学、医学、人工智能等前沿领域或者对社会、生态环境具有潜在威胁的，应当要求项目负责人在立项前提交科技伦理承诺书。
从事健康相关研究或者实验动物生产、使用的单位，应当按照有关规定设立相应的科技伦理委员会，加强对相关科技活动的伦理审查和监管，履行科技伦理监管责任。相关科技人员应当接受科技伦理审查和监管。
第九十八条 从事科技创新活动的高等院校、科研机构、企业等单位应当履行科研诚信监管责任，加强本单位科研诚信建设。
科技人员应当遵守学术规范、恪守职业道德、诚实守信，不得有下列行为：
（一）抄袭、剽窃、侵占他人研究成果或者项目申请书；
（二）编造研究过程，伪造、篡改研究数据、图表、结论、检测报告或者用户使用报告；
（三）买卖、代写论文或者项目申请书，虚构同行评议专家及评议意见；
（四）以提供虚假信息等弄虚作假的方式或者采取贿赂、利益交换等不正当手段获得科研活动审批，获取科技计划项目、科研经费、奖励、荣誉、职务职称等；
（五）违反科技伦理规范；
（六）违反专利等研究成果署名及论文发表规范；
（七）其他科研失信行为。
科技人员经调查核实有前款规定行为的，由市、区科技创新主管部门依法予以处罚，并按照规定予以诫勉谈话、通报批评、暂停或者取消相关资格等处理；构成犯罪的，依法追究刑事责任。
第九十九条 在本市依照《中华人民共和国公司法》登记的科技企业可以设置特殊股权结构，在公司章程中约定表决权差异安排，在普通股份之外，设置拥有大于普通股份表决权数量的特别表决权股份。
有特别表决权股份的股东，可以包括公司的创始股东和其他对公司技术进步、业务发展有重大贡献并且在公司的后续发展中持续发挥重要作用的股东，以及上述人员实际控制的持股主体。
设置特殊股权结构的公司，其他方面符合有关上市规则的，可以通过证券交易机构上市交易。
第一百条 在本市登记的中小高新技术企业以未分配利润、盈余公积、资本公积向个人股东转增股本时，个人股东一次缴纳个人所得税确有困难的，可以按照有关规定在五年内分期缴纳。
第九章 附则
第一百零一条 本条例自2020年11月1日起施行，《深圳经济特区科技创新促进条例》同时废止。
附件下载：
粤公网安备 44030402002963号