(Adopted at the 21st Meeting of the Standing Committee of the 5th Shenzhen Municipal People’s Congress on Feb 25th, 2013)
Chapter One General Provisions
Article 1 These Regulations are formulated in accordance with the basic principles of relevant laws and administrative regulations, as well as the actual circumstances of Shenzhen Special Economic Zone (hereinafter referred to as “the Special Zone”) for the purpose of promoting technology transfer, pushing forward technology innovation, and enhancing core competitiveness of Shenzhen.
Article 2 These Regulations shall be applicable to technology transfer and related activities within the Special Zone.
Technology transfer relating to national security or State secrets shall be dealt with according to relevant provisions.
Article 3 The term “technology transfer” in these Regulations means the transfer of systematic knowledge of manufacturing a product, applying a technique or providing a kind of service from the supplying party to the demanding party, including the assignment, transplantation, introduction, application, exchange and promotion of scientific and technological achievements, information and capability (hereinafter referred to as “technical achievements” collectively).
Article 4 The Municipal and District People's Governments (hereinafter referred to as “Municipal and District Governments”) shall incorporate the promotion of technology transfer into the development planning of science and technology, establish and perfect technology transfer system, guide, integrate and converge resources of technology and service, make the market play the basic role in allocating scientific and technological resources, develop technology transfer incentives, and create a favorable environment for technology transfer.
The strategy of international development shall be implemented for technology transfer. The exchange and cooperation of lawful technology transfer with foreign countries and regions abroad shall be encouraged.
Article 5 The Municipal and District Administrative Departments of Science and Technology (hereinafter referred to as “Municipal and District Technology Departments”) are responsible for the promotion, coordination and service of technology transfer, and shall exercise the following functions and duties:
(1) to draw up policies on technology transfer and organize the implementation;
(2) to promote the building of service system for technology transfer;
(3) to propel cooperation among manufacturing, study and research for technology transfer;
(4) to maintain the market order for technology transfer;
(5) other functions and duties stipulated by relevant laws and regulations.
Departments of Development and Reform, Finance, Human Resources and Social Security, Market Supervision, State Assets Supervision, Revenue, and other relevant departments shall respectively perform their functions and duties relating to the work of technology transfer.
Article 6 The Agency of Promotion of Technology Transfer established by the Municipal Government (hereinafter referred to as “Technology Transfer Promotion Agency”) shall work under the guidance of the Municipal Technology Department and exercises the following functions and duties:
(1) to implement the plans and programs relating to technology transfer;
(2) to establish, operate and manage the Public Service Platform for Technology Transfer;
(3) to provide consultation for the building and operation of technology transfer institutions;
(4) to promote the exchange and cooperation of technology transfer;
(5) to provide registration service for technical contracts, and to make statistical analysis of technology markets;
(6) to supply other public service for technology transfer.
Chapter Two Technology Transfer Service
Article 7 The Municipal Government shall push forward the establishment of a regional technology transfer service system, realize the regional sharing of technological information and mutual recognition of practitioner qualifications, speed up circulation of technology transfer elements, and enhance regional innovation and radiation capabilities.
Article 8 The Municipal Government shall annually arrange a certain percentage of the Municipal Science and Technology Research and Development Fund for the following technology transfer matters:
(1) to finance the building and development of technology transfer institutions and coalitions;
(2) to establish, operate and manage the Public Service Platform for Technology Transfer;
(3)to support the industrialization of key technology transfer achievements;
(4) to finance technology transfer service;
(5) to train and exchange technology transfer experts;
(6) other matters relating to technology transfer.
Measures on the use of the fund stipulated in the preceding paragraph shall be formulated separately by the Municipal Technology Department in conjunction with the Municipal Finance Department.
Article 9 The Municipal Government shall establish and perfect the multi-level risk protection mechanism for technical achievements pledge and financing, encourage financing and credit guarantee institutions to supply guaranty service for technical achievements pledge and financing to small and medium sized enterprises, and guide enterprises to operate guaranty business within the trade.
Re-guarantee institutions established by the Municipal Government may lead guarantee institutions to provide guaranty service for technology transfer activities.
Article 10 The Municipal Government shall perfect the policies and measures for training and introduction of technology transfer talents, and provide convenience for senior technology transfer talents in residence, exit/entry affairs , housing, school attendance of their children, spouse placement, medical care and other aspects.
The Municipal Technology Department shall guide the Technology Transfer Promotion Agency to develop training mechanisms for technology transfer talents, establish training institutions and train technology transfer talents.
Article 11 The Municipal Technology Department shall enhance the building of the Public Service Platform and its carrier for Technology Transfer, provide relevant public service such as intermediate experiment and application, technology integration and operation, technology trading and financing, information resources and collaborative approaches for technology transfer, and improve technology transfer capacity.
The Public Service Platform for Technology Transfer shall be based on different levels of platform resources which are built with fiscal funds and social funds. The Platform shall, by means of information networks, integrate rationally as well as deploy organically the resources, establish working mechanisms of linkage and sharing, and form a public service platform system for technology transfer.
The Technology Transfer Promotion Agency shall make a list of technical achievements and service guidelines for technology transfer, which shall be published regularly through the Public Service Platform for Technology Transfer.
Measures on the establishment, operation and management of the Public Service Platform for Technology Transfer shall be formulated separately by the Municipal Technology Department.
Article 12 Universities, colleges and scientific research institutes, which engage in the research and development of applied technology, shall appoint a particular agency to be in charge of dealing with technology transfer matters and to perform the following functions and duties:
(1) to identify, collect, assess, manage and protect the technical achievements of themselves ;
(2) to promote technology, and to authorize use of technology ;
(3) to explore innovative means for technology transfer and benefit distribution;
(4) to research policies and mechanisms on technology transfer
Article 13 Universities, colleges and scientific research institutes, which engage in the research and development of applied technology, shall arrange special funds for technology transfer matters as follows:
(1) to identify, collect, and assess technical achievements;
(2) to protect and promote technical achievements;
(3) other activities relating to technology transfer.
Article 14 Support shall be awarded for mutual exchange of technology transfer talents among universities, colleges and scientific research institutes and enterprises.
Universities, colleges and scientific research institutes may set up positions such as visiting professors as well as researchers, and employ scientific talents from enterprises to carry out technology transfer research and teaching.
An enterprise may employ researcher(s) from any university, college or scientific research institute with consent of which, to engage in technical innovation and technology transfer as part-time job.
Article 15 An enterprise with need for production and operation shall be encouraged to establish a technology transfer department or appoint designated staff to be in charge of collecting, identifying enterprise technical achievements, analyzing enterprise technical capability and need, as well researching achievements application and protection strategies.
Article 16 Incubators for scientific and technological enterprises shall be encouraged to establish technology transfer platforms for providing services such as technology integration and intermediate experiment for start-up scientific and technological enterprises, and promoting technology transfer.
Article 17 Technology transfer institutions, which are encouraged to be established, shall provide the following services for technology transfer:
(1) technical information collection, filtering, analysis, and processing;
(2) technical consultation and assessment;
(3) technical integration and operation;
(4) intermediate experiment, industrial experiment and so on;
(5) technology assignment and agency;
(6) technology investment and financing;
(7) training for technology transfer talents.
Article 18 It shall be encouraged to introduce international technology transfer institutions so as to build cooperatively technology transfer organizations and bases, gather international technology transfer talents, as well as carry out international cooperation in technology transfer.
Technology transfer of technical achievements shall be encouraged to be implemented in Shenzhen. Anyone, who has made 0utstanding contributions to industrialization of technical achievements in Shenzhen, shall be financed or rewarded. Specific provisions for which shall be formulated separately by the Municipal Government.
Article 19 It shall be encouraged to introduce, foster and develop new financial institutions so as to provide financing for the industrialization of technical achievements.
Financial business of financial institutions such as venture capital funds and composite financing service shall be encouraged so as to provide financing for technology transfer activities.
Social funds donations shall be encouraged so as to finance technology transfer activities.
Article 20 The Municipal Technology Department shall, in conjunction with relevant departments, establish integrity evaluation system and credit-rating standards for technology transfer, as well as organize integrity monitoring and credit rating.
Results of monitoring and rating shall be published through the Public Service Platform for Technology Transfer, and be used as one of the important references to application for fiscal funds by technology transfer institutions.
Article 21 The Technology Transfer Promotion Agency, authorized by the Municipal Technology Department, shall assess technology transfer activities of universities, colleges and scientific research institutes. Basically, the assessment shall include the following aspects:
(1)the building of technology transfer systems;
(2)the efficiency and achievements of technology transfer;
(3) the input-output ratio of assignment fees for technical achievements in comparison with research funds;
(4)the input-output ratio of assignment fees for technical achievements in comparison with funds for technology transfer institutions;
(5)other matters stipulated by the Municipal Technology Department.
The assessment result stipulated in the preceding paragraph shall be used as one of the important references to the application for fiscal funds and other governmental support by universities, colleges and scientific research institutes.
Article 22 Trade associations, chambers of Commerce and other social organizations shall explore common technologies and key technical needs of the relevant industries, and promote technical brands of the relevant industries.
The Technical Brokers Association shall establish self-discipline mechanisms, set up integrity evaluation systems for technical brokerage practitioners in conjunction with the Municipal Technology Transfer Promotion Agency, and regularly publish complaints and credit records of technical brokers through the Public Service Platform for Technology Transfer.
Chapter Three Technology Transfer Incentives
Article 23 Where a university, college or scientific research institute has not applied a technical achievement, which has been achieved by primarily using fiscal funds and has practical value, via assignment, licensing or investment within two years upon completion, the one who has made the achievement shall be entitled to claim to be the assignee of the achievement with compensation, and the institute shall make the assignment.
The university, college or scientific research institutes hall conduct relevant assignment procedures within 30 days from the date of receipt of assignment application. Relevant matters such as the assignment price, rights and obligations and so on shall be agreed upon through negotiations by both parties. Where negotiations fail, the university, college or scientific research institute shall hand over the technical achievement to the Municipal Technology Transfer Promotion Agency to authorize a professional trader to carry out the transaction. Where the transaction still fails, the Municipal Technology Department shall license the application to a third party and inform the university, college or scientific research institute.
Article 24 Where a university, college or scientific research institute has not applied a technical achievement, which has been achieved by using fiscal funds and has practical value, via assignment, licensing or investment within two years upon completion, the one who have made the achievement shall be entitled to apply the achievement.
The university, college or scientific research institute shall hand over the technical data within 30 days from the date of receipt of application. Profits arising from the utilization of the technical achievement shall be distributed in accordance with the agreement; where there is no agreement, the profits shall be distributed according to the same proportion.
Article 25 Where a university, college or scientific research institute has not applied a technical achievement, which has been achieved by primarily using fiscal funds and has practical value, via assignment, licensing or investment within two years upon completion, and the one who has made the achievement, has not applied for paid assignment or utilization within the same period, the university, college or scientific research institute shall hand over the technical achievement to the Municipal Technology Transfer Promotion Agency to authorize a professional trader to carry out the transaction. Where the transaction still fails, the Municipal Technology Department shall license the utilization to a third party and inform the university, college or scientific research institute.
Article 26 Where a university, college or scientific research institute assigns or licenses others to utilize a technical achievement, which has been achieved by using fiscal funds, the university, college or scientific research institute shall extract not less than 30% from the net income for the one-off award to persons who have completed the achievement or made important contributions to its application.
Article 27 Where a university, college or scientific research institute puts a technical achievement, which has been achieved by using fiscal funds , into a company as capital contribution , the university, college or scientific research institute shall extract not less than 30% from the shares acquired to reward persons who have completed the achievement or made important contributions to its application.
Article 28 Where a technical achievement, which has been achieved via using fiscal funds by a university, college or scientific research institute, has been put into production and generated profits, the university, college or scientific research institute shall extract not less than 30% from the newly-gained profits arising from the utilization of the technical achievement within 10 consecutive years to reward persons who have completed the achievement or made important contributions to its application.
Article 29 Universities, colleges and scientific research institutes shall, pursuant to the provisions of these Regulations, negotiate the specific reward ratio with persons who have completed the achievements or made important contributions to their application.
Article 30 Where a technical achievement is contributed as capital into a company, the amount and ratio of the technical achievement as capital contribution shall be agreed on by the parties. Parties who need to assess the value of the technical achievement shall authorize a qualified institution to carry out the assessment, and the assessment files shall be used as the basis for conversion of investments and shares as well as capital ratio determination.
Article 31 Where a university, college or scientific research institute puts a technical achievement, which has been achieved by using fiscal funds, into a company as capital contribution, and rewards persons who have completed the achievement or made important contributions to its application with the company shares, the persons rewarded shall hold the shares and finish the relevant equity registration procedures.
Article 32 Any university, college or scientific research institute shall, according to law, reveal the technical achievement(s) achieved by using fiscal funds through the Public Service Platform for Technology Transfer; and may carry out technology transfer by means of public bidding or auction through the Platform.
Article 33 Any university, college or scientific research institute shall carry out special financial accounting for technical achievement(s) achieved by using fiscal funds. Accounting information shall be disclosed to person(s) who has/have completed the specific achievement or made important contributions to its application.
Article 34 Enterprises shall be encouraged to cooperate with any university, college or scientific research institute in technical teaching, research and utilization for technology transfer.
Where an enterprise cooperates with university, college or scientific research institute in technology, and jointly apply for projects on the scientific and technological plan, the Municipal or District government shall provide priority support under the same conditions.
Article 35 The Municipal Technology Department shall reward the unit(s) or/and individual(s) that has/have made outstanding contributions to technology transfer. The specific measures for which shall be formulated separately by this Department.
Chapter Four Legal Liability
Article 36 Where a unit or individual makes a fraudulent report on or claim for, embezzles, misappropriates or intercepts technology transfer funds stipulated in Article 8 of these Regulations, the competent departments of science and technology, finance or audit shall process in accordance with the relevant provisions on science and research funds management, and keep a record in the integrity assessment archive for technology transfer; if a crime is constituted, criminal liability shall be investigated for according to law.
Where a unit or individual commits one of the violations stipulated in the preceding paragraph, the application for fiscal financing shall not be accepted within five years.
Article 37 Where the relevant unit declines to handle the assignment formalities or to coordinate the application activities in violation of Article 23, 24, 25 of these Regulations, the Municipal Technology Department shall order it to correct; if the circumstances are serious, administrative sanctions shall be granted to person(s) in charge and the other(s) with direct responsibilities of the unit.
Article 38 Where the relevant departments or the Municipal Technology Transfer Promotion Agency or their staff fails/fail to perform functions and duties in violation of these Regulations, of the chief and the other person(s) with direct responsibilities shall be pursued for administrative liability in accordance with the relevant laws and regulations; if a crime is constituted, criminal liability shall be investigated for according to law.
Chapter Five Supplementary Provisions
Article 39 The Municipal Government may formulate implementation rules according to these Regulations.
Where these Regulations stipulate that specific measures are to be formulated separately, the relevant departments shall formulate the measures within six months from the date of implementation of these Regulations.
Article 40 The new administrative district of Guangming, Pingshan, Longhua or Dapeng shall be regarded as the district referred to in these Regulations.
Article 41 These Regulations shall be effective as of June 1, 2013.
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