Opinions of the Ministry of Finance on Implementing Pilot Program for the Reform of Administration of Scientific Achievement Income Rights of the Public Institutions under Central Government within the Zhongguancun National Innovation Demonstration Zone

财政部关于在中关村国家自主创新示范区开展中央级事业单位科技成果收益权管理改革试点的意见

Promulgating Institution: Ministry of Finance

Document Number: Cai Jiao [2011] No. 127

Promulgating Date: 05/04/2011

Effective Date: 05/04/2011

颁布机关: 财政部

文      号: 财教[2011]127号

颁布时间: 05/04/2011

实施时间: 05/04/2011

Relevant departments of the Central Committee of the Party, all the ministries and commissions of and all organizations directly under the State Council, the General Office of the Standing Committee of the National People's Congress, the General Office of the Chinese People's Political Consultative Conference, the Supreme People's Court, the Supreme People's Procuratorate, relevant mass organizations, enterprises under the administration of the Central Government, and the Xinjiang Production and Construction Corps,

To actively support the construction of the Zhongguancun National Innovation Demonstration Zone and further inspire the initiative and creativity of the public institutions under the Central Government within the Zone and their research personnel, the Ministry of Finance decides to carry out the pilot program on the reform of administration of scientific achievement income rights among Central-government public institutions within the Zhongguancun National Innovation Demonstration Zone in accordance with the requirements of the State Council on carrying out reform on the administration of scientific achievement income rights within the Zhongguancun National Innovation Demonstration Zone, and proposes hereby the following opinions:

    党中央有关部门,国务院各部委、各直属机构,全国人大常委会办公厅,全国政协办公厅,高法院,高检院,有关人民团体,有关中央管理企业,新疆生产建设兵团:

    为积极支持中关村国家自主创新示范区建设,进一步激发区内中央级事业单位及其研发人员的积极性和创造性,按照国务院关于在中关村国家自主创新示范区开展科技成果收益权管理改革试点的要求,财政部决定在中关村国家自主创新示范区开展中央级事业单位科技成果收益权管理改革试点工作,现提出如下意见。

1. The scientific achievement income of the public institutions under the Central Government referred to in these Opinions includes:

(1) Incomes generated from disposal of scientific achievement by public institutions under the Central Government as provided in the Notice of the Ministry of Finance on Implementing Pilot Reform of Scientific Achievement Disposal Rights among the Public Institutions under the Central Government within the Zhongguancun National Innovation Demonstration Zone (Cai Jiao [2011] No.18).

(2) Incomes generated from initial disposal of any equity (or interest) formed from foreign investment by public institutions under the Central Government in accordance with the applicable provisions of the Interim Measures for the Administration of Disposal of State-owned Assets by Public institutions under the Central Government (Cai Jiao [2008] No.495) by using the scientific achievement the institutions have had, excluding income generated from second or multiple transfer of equity (interest).

The incomes as specified above refer to the incomes from disposal that shall be handed over to the Central Treasury according to the applicable provisions of the document of Cai Jiao [2008] No.495.

       一、本意见所指中央级事业单位科技成果收益包括:

    (一)《财政部关于在中关村国家自主创新示范区进行中央级事业单位科技成果处置权改革试点的通知》(财教【2011】18号)规定的中央级事业单位科技成果处置行为产生的收益。

    (二)中央级事业单位按照《中央级事业单位国有资产处置管理暂行办法》(财教【2008】495号)有关规定,对利用其拥有的科技成果对外投资形成的股权(权益)进行初次处置产生的收益,不包括二次或多次转让股权(权益)产生的收益。

    以上收益是指按照财教【2008】495号有关规定应上缴中央国库的处置收入。

2. The income from scientific achievements shall be reserved by the institution in phase and in proportion and included into the institution's budget for use in the work relating to the scientific research and the relevant technological transfer, with the remaining part handed over to the Central Treasury. Subject to the three circumstances under which the value of the scientific achievement is below RMB8 million, between RMB8 million and RMB50 million, and above RMB50 million respectively, it is provided as follows:

see the attached for details

Note: The definition of the value of scientific achievement shall be subject to the applicable provisions of the Interim Measures for the Administration of Disposal of State-owned Assets by Public institutions under the Central Government (Cai Jiao [2008] No.495).

       二、科技成果收益分段按比例留归单位，纳入单位预算统筹用于科研及相关技术转移工作，其余部分上缴中央国库。按照科技成果价值在800万元以下、800—5000万元、5000万元以上三种情况，分别规定如下:

见附件

   注:科技成果价值的界定按照《中央级事业单位国有资产处置管理暂行办法》（财教【2008】495号）有关规定执行。

3. In applying for approval of any matter relating to the disposal in accordance with the provisions of the document of Cai Jiao [2011] No.18, the public institution under the Central Government shall also submit the relevant reward scheme if the income falls under the income after deduction of the reward fund as provided in Article 33 of the document of Cai Jiao [2008] No.495.

       三、中央级事业单位按照财教【2011】18号规定报批有关处置事项时,其收益如属于按照财教【2008】495号第三十三条有关规定扣除奖励资金后的收益,需同时报送有关奖励方案。

4. The competent authorities shall strengthen the administration on the scientific achievement income of public institutions under the Central Government, urging the institutions to hand over any part of the income that shall be handed over to the Central Finance in a timely manner and strengthen the administration, supervision and inspection of the part reserved by the institutions to ensure that the funds are used in a safe, regulated and effective manner.

       四、主管部门应加强对中央级事业单位科技成果收益的管理,应上缴中央财政的部分要督促单位及时上缴,留归单位的部分要加强管理和监督检查,确保资金安全、规范、有效使用。

5. The State retains the right to request the income of a public institution if there is any special matter subject to the disposal.

       五、对于特殊的处置事项,国家保留对其收益上收的权利。

6. These Opinions shall apply to relevant matters relating to the disposal by public institutions under the Central Government within the Zhongguancun National Innovation Demonstration Zone occurred during the period from promulgation of these Opinions until December 31, 2013.已经发布的相关文件与本意见不一致的,依照本意见执行.Where there is any discrepancy between any relevant document issued and these Opinions, the Opinions shall prevail.

Ministry of Finance

May 4, 2011

       六、本意见适用于中关村国家自主创新示范区内的中央级事业单位，自意见发布之日起至2013年12月31日发生的相关处置事项。已经发布的相关文件与本意见不一致的，依照本意见执行。

    财政部

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