Notice of the General Office of Shanghai Municipal People’s Government on Issuing the Action Plan of Shanghai Municipality for Promoting the Transfer and Transformation of Scientific and Technological Achievements (2021-2023)
(May 28, 2021)
Attention: all District People’s Governments, and all Commissions, Offices and Bureaus (Administrations) of the Municipal People’s Government:
Upon the consent of the Municipal People’s Government, we hereby issue the Action Plan of Shanghai Municipality for Promoting the Transfer and Transformation of Scientific and Technological Achievements (2021-2023) to you, and request you to implement them conscientiously.
Action Plan of Shanghai Municipality for Promoting the Transfer and Transformation of Scientific and Technological Achievements(2021-2023)
With a view to continuously promoting the transformation of scientific and technological achievements in this Municipality and developing a higher-quality, better functional and bigger technology market, this Action Plan is formulated according to the Law of the People’s Republic of China on Promoting the Transformation of Scientific and Technological Achievements, the Opinions of the CPC Central Committee and the State Council on Improving the System and Mechanism for Market-based Allocation of Factors of Production, the Action Plan issued by the General Office of the CPC Central Committee and the General Office of the State Council for Building a High-standard Market System, as well as the Regulations of Shanghai Municipality on Promoting the Transformation of Scientific and Technological Achievements, and the Regulations of Shanghai Municipality on Promoting the Development of Shanghai as a Scientific and Technological Innovation Center.
I．Overall Requirements
1. Guiding Ideology
Guided by Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, we shall carry out the guiding principles of the Party’s 19th National Congress and the second, third, fourth and fifth plenary sessions of the 19th Central Committee. We shall have an accurate understanding of this new stage of development, fully apply the new development philosophy and create a new development pattern. We shall remove institutional obstacles to the free flow of factors , establish a high-standard technology market system and accelerate the development of Shanghai as an influential center of scientific and technological innovation in the world.
Market-based allocation with government guidance. We shall give full play to the decisive role of the market in allocating resources, establish channels for the smooth flow of factors of production and enhance the capacity of the technology market to allocate factors of production, so as to maximize the effectiveness and optimize the efficiency. The government shall ensure strategies, plans, policies and services to foster a good environment for a booming technology market.
Global vision but with Shanghai characteristics. Learning from the international development experience of technology transfer ecosystems, we shall follow the pattern of technology transfer, tap Shanghai’s resources in scientific and technological innovation and draw on itsstrength in market factor resources as well as deepen domestic and international cooperation in technology marketresources, especially with countries (regions) along the Belt and Road and the Yangtze River Delta region, so as to promote integrated development.
Emphases on problem solving and improvement on quality and efficiency. We shall focus on weak links on the entire chain of scientific and technological achievement transformation, and implement pertinent and practical policies and measures. We shall develop and improve a technology transfer value chain oriented to enterprises’ demands. We shall consolidate strength and shore up weaknesses. We shall adopt targeted policies and provide professional services and gradually raise the quality of factors and increase the efficiency in the transformation of scientific and technological achievements.
3. Goals
By 2023, the transformation of scientific and technological achievements will be more active and the capacity to transfer technologies will be increased obviously in this Municipality. Also, a technology market system will have been basically set up, which is unified, open, all-round, complete, equal, and efficient. The total transaction volume of contracts in the technology market will exceed 300 billion yuan and the total transaction volume of technology contracts made by scientific research institutions will exceed 30 billion yuan. Over 100 multi-model and specialized technology transfer demonstration institutions will be developed. Moreover, 3 to 5 demonstration zones for scientific and technological achievement transformation as well as innovation and entrepreneurship communities will be developed gathering more than 3,000 professional technology transfer talents.
II. Key Tasks
1. Improving the Innovation Capacity of Enterprises
(1) We shall strengthen the principal position of enterprises in innovation and guide the flow of various innovation factors towards enterprises. We shall encourage enterprises to adopt open innovation and support them to establish innovation platforms such as R&D centers, professional makerspaces and manufacturing innovation centers; we shall support enterprises to work with colleges and universities to conduct industry-college/university-research cooperation and to jointly establish various cooperation bases. We shall encourage enterprises to develop new technologies and products. Medium-sized and small technology enterprises and technology startups are allowed to purchase professional technology services with scientific and technological innovation bonds. After an innovation achievement is recognized as a high and new technology transformation project, the relevant enterprises can enjoy government subsidy policies, permanent residency policies for talents and other policies in accordance with the regulations; we shall strengthen policy supports such as the technological innovation fund for medium-sized and small technology enterprises, the incubation of high and new technology enterprises and the science and technology small giant project. We shall host national activities such as innovation challenges and scientific and technological achievement express, and perfect the open bidding mechanism for important research projects, which is based on enterprises’ demands. (Units responsible: the Municipal Science and Technology Commission, the Municipal Finance Bureau, the Municipal Commission of Economy and Informatization, the Municipal Tax Service, the Municipal Human Resources and Social Security Bureau, the Municipal Commission of Commerce, and the Municipal Education Commission)
(2) We shall advance the system and mechanism reform in the State-owned enterprises to stimulate innovation. State-owned enterprises shall be encouraged to increase investment in scientific research and to make good use of the support funds from the revenue of State-owned assets, and the policy of counting innovation investment as profits in the operating performance assessment and other policies. We shall improve the revenue distribution system for achievement transformation. We shall actively but prudently advance the pilot programs allowing employees of mixed-ownership enterprises to hold shares and various equity incentives. We shall make progress in reforming the ownership of scientific and technological achievements in State-owned enterprises and perfect the implementation rules for market-oriented operation of State-owned venture capital firms. We shall explore the categorized management system of State-owned equity formed after colleges and universities taking their shares with scientific and technological achievements as trade-in, and perfect the appraisal and withdrawal mechanisms for relevant State-owned assets. Those who have performed diligence obligations without seeking illegal interests in the process of reform and innovation shall not be negatively evaluated or shall be given reduction or exemption of liabilities for acts which due to circumstances and conditions are considered to be excusable and are included in the list of tolerable mistakes. (Units responsible: the Municipal State-owned Assets Supervision and Administration Commission, the Municipal Development & Reform Commission, the Municipal Finance Bureau, and the Municipal Education Commission)
2. Increasing the Capacity To Transform and Use Scientific and Technological Achievements
(3) We shall develop a full-cycle management system of scientific and technological achievements and improve mechanism guarantee. Colleges, universities, scientific research institutions, medical and health institutions and other public institutions for scientific research shall perfect the management system of scientific and technological achievements, and develop coordination mechanisms integrating scientific and technological innovation, intellectual property management, and transformation of scientific and technological achievements. They shall gradually establish disclosure systems for scientific and technological achievements and enhance implementation rules on scientific researchers starting up a business while on the job or leaving the job. We shall support relevant pilot programs and advance the pilot programs granting scientific researchers the ownership or long-term right of use of job-related scientific and technological achievements in relevant units. On the premise that relevant systems have been created, that the procedure was due compliant and the personnelresponsible performed diligence obligations without seeking illegal interests, the personnel shall not bear decision-making responsibility for exploratory transformations. As for procedural issues arising from policy changes, it is allowed to make partial remedies. We shall support Shanghai Jiao Tong University to carry out the plan of the pilot program of special national reform of scientific and technological achievements transformation. We shall advance the exploration of relevant mechanisms. Before there is a clear intention in transforming a scientific or technological achievement, the achievement can be managed as scientific resource. We shall encourage fundraising campaigns to establish proof of concept foundations. We shall lead medical and health institutions to improve path mechanisms and service modes for achievement transformation in medical fields. (Units responsible: the Municipal Science and Technology Commission, the Municipal Education Commission, the Municipal Health Commission, the Municipal Intellectual Property Administration, the Municipal Tax Service, the Municipal Finance Bureau, the Municipal Human Resources and Social Security Bureau, the Municipal Development & Reform Commission, the Municipal Commission of Economy and Informatization)
(4) We shall enhance the development of technology transfer organizations and boost the efficiency in transformation. Public institutions for scientific research shall support the cultivation of high-value patents and the transformation of quality achievements, and shall plan to establish and improve technology transfer organizations or departments. They shall be allowed to draw special funds from the net income of achievement transformation in accordance with regulations, which should be audited independently and used for the capacity development of the organizations or departments and for personnel incentives. The personnel incentives shall not be limited by the confirmed total performance salary. We shall encourage public institutions to purchase services from third party professional organizations and encourage public institutions with mature conditions to attempt market-oriented operational mechanisms. We shall strengthen the post guarantee for technology transfer talents and support public institutions for scientific research to independently set up technology transfer professional posts. It is allowed to give appropriate preferential treatment to technicians with good performance when giving promotions of technical posts. For the introduced high-level technology transfer service talents, if it is difficult to meet the needs by adjusting the post setting, a certain number of special posts shall be set up with the approval of the municipal human resources administrative department, which are not limited by the total number of posts, the highest level and the structural proportion. (Units responsible: the Municipal Science and Technology Commission, the Municipal Education Commission, the Municipal Health Commission, the Municipal Intellectual Property Administration, and the Municipal Human Resources and Social Security Bureau)
3. Improving the Service Capacity of Technology Transfer
(5) We shall enhance the support for transformation carriers and serve the entire innovation chain. We shall support the construction of functional platforms for research and development and transformation, and give play to the role of each district. The operation fund provided by the district where a platform is located shall in principle be no less than the municipal financial spending. The assessment and evaluation mechanism shall be optimized and the platforms shall play their roles in technology spillover, resource sharing and achievement transformation. We shall support the development of various carriers for scientific and technological achievement transformation. We shall continuously promote the development of Shanghai Minhang National Demonstration Zone for Scientific and Technological Achievement Transfer and Transformation. We shall speed up the development of Great NeoBay Innovation and Entrepreneurship Community, and encourage districts with mature conditions to build communities of scientific and technological achievement transformation or innovation and entrepreneurship, with unique characteristics. We shall establish an exhibition and transformation center for achievements of academicians and experts and other facilities. Science parks in colleges and universities shall become the “first stop” for the transformation of universities’ achievements and regional “pivotal incubation parks” for the innovation and startups. We shall try to promote the “Designed in Zhangjiang + Made in Shanghai” mode of achievement transformation in Zhangjiang High Technology Park. (Units responsible: the Municipal Science and Technology Commission, the Municipal Education Commission, the Municipal Development & Reform Commission, the Municipal Commission of Economy and Informatization, the Municipal Finance Bureau, Shanghai Office for Promoting the Development of a Scientific and Technological Innovation Center, and relevant district people’s governments)
(6) We shall make a major push to develop professional technology transfer institutions and expand the service market. We shall advance the development of the service system for technology transfer, and establish technology transfer institution databases. These institutions shall be supported to provide professional services such as technology search, science and technology evaluation, proof of concept and technology investment and financing as well as technology transfer service and cross-border technology transfer service in industrial technology fields. Makerspaces, investment institutions and intellectual property service agencies shall be encouraged to offer technology transfer services. We shall establish municipal technology transfer demonstration institutions and improve the performance-based evaluation mechanism which selects the best ones for ex post subsidies. Where the result of performance evaluation meets relevant provisions, the institution is registered as a municipal technology transfer demonstration institution and is prioritized to be recommended to be a national technology transfer demonstration institution. In addition, the institution can enjoy supports such as relevant talent policies. (Units responsible: the Municipal Science and Technology Commission, the Municipal Human Resources and Social Security Bureau, the Organization Department of the CPC Municipal Committee, and the Municipal Education Commission)
(7) We shall vigorously cultivate talents for technology transfer service and upgrade the industry capacity. We shall publish the Catalogue of Sought-after Achievement Transformation Talents of Shanghai, establish the evaluation system for technology transfer talents and keep the channels for career development and promotion of professional titles unimpeded. We shall include technology transfer talents as candidates for this Municipality’s talent programs such as Outstanding Technology Leaders, support the introduction of overseas high-level technology transfer talents and include them in the Pujiang Talent Program. We shall establish a professional, multi-levelled and localized talent cultivation, training and practice system for technology transfer talents. We shall explore the construction of Shanghai Technology Transfer College as well as support universities with mature conditions to offer courses related to technology transfer and provide academic education with diploma and continuing education for technology transfer. (Units responsible: the Municipal Science and Technology Commission, the Municipal Human Resources and Social Security Bureau, the Organization Department of the CPC Municipal Committee, and the Municipal Education Commission)
4. Improving the Market-based Allocation of Technological Factors
(8) We shall consolidate functions of relevant exchanges and promote the integration and circulation of factor resources. We shall support Shanghai Technology Exchange to establish a national exchange for intellectual property and property of scientific and technological achievement to offer technology transfer, licensing and other operation services nationwide. We shall better the system and rules of technology transaction, promote the linkage between the municipal scientific and technological achievements registration system and the Shanghai Technology Exchange service, and explore the registration mechanism for equity of technology, and establish the necessary mandatory entry mechanism for the scientific and technological achievements supported by the municipal finance but failing to be transformed as agreed. We shall urge Shanghai Technology Exchange to establish a guarantee mechanism which regulates the trading of job-related scientific and technological achievements and exempts trading liabilities. We shall attract various factors of the technology market to engage in trading in the market, encourage technology transfer institutions to provide achievements traded in the market with evaluation, technology trading and other services, and encourage enterprises to accept scientific and technological achievements so as to accomplish transformation and incubation in this Municipality. We shall continuously advance the development of Shanghai Intellectual Property Exchange and State Intellectual Property International Operating Platform (Shanghai). (Units responsible: the Municipal Science and Technology Commission, the Municipal Intellectual Property Administration, the Municipal Finance Bureau, the Municipal Financial Regulatory Bureau, the Municipal Development & Reform Commission, and the Municipal Education Commission)
(9) We shall increase financial support and provide ample funding for achievement transformation. Financial institutions shall be guided to develop new products and services for achievement transformation and to provide more combined financing service modes of investment and loans. Financial institutions shall be encouraged to explore and establish more financing channels for achievement transformation. We shall carry out pilot programs of guidance fund for proof of concept of scientific and technological achievements, and encourage investment institutions, technology transfer institutions and other organizations to invest in technological achievements from the early R&D stage. We shall promote the value realization of intellectual properties and advance pilot programs of intellectual property securitization. Enterprises shall be encouraged to make use of capital markets such as SSE STAR market so as to accelerate the development of new technologies, new products and new markets. (Units responsible: the Municipal Financial Regulatory Bureau, Shanghai Office of China Banking and Insurance Regulatory Commission, the Municipal Finance Bureau, the Municipal Science and Technology Commission, the Municipal Intellectual Property Administration, the Municipal State-owned Assets Supervision and Administration Commission, and the Municipal Development & Reform Commission)
(10) We shall establish an international network for technology transfer and increase the efficiency of resource flow. We shall give play to the coordinated innovation function of international “big science” plans and “big science” projects to establish more channels for international technology transfer. National Eastern Tech-Transfer Center shall be given support to set up an international network for technology transfer, establish a coordination mechanism and provide technology companies and scientific research institutions with services such as international R&D and technology transfer. We shall do more to enhance the development of service channels and platforms for the Belt and Road technology transfer so as to support high-quality development. We shall facilitate the cross-regional flow of technological factor resources. We shall encourage Shanghai Technology Exchange, Shanghai Intellectual Property Exchange, South-South Global Assets and Technology Exchange (SS-GATE) and other organizations to develop coordinately and provide cross-border technology trading services. We shall support the coordination among the 4 technology markets in the Yangtze River Delta region, and create and perfect an integrated technology trading market network of the Yangtze River Delta region. We shall host or engage in more influential professional forums and exhibitions. (Units responsible: the Municipal Science and Technology Commission, the Municipal Commission of Commerce, the Municipal Development & Reform Commission, the Municipal Intellectual Property Administration, and the Municipal Education Commission)
(11) We shall improve policies on technology contract registration and optimize technology market service. We shall ensure the implementation of policies on technology contracts. Relevant tax preferential policies are applicable to recognized and registered technology contracts. Where the commissioning party of a technology development contract is qualified, tax deduction for R&D expense shall be granted in accordance with the regulations. As prescribed by relevant documents, public institutions for scientific research are allowed to set aside some money from the net income of contracts of technology development, technology consulting and technology services as rewards and remunerations, which are not limited by the confirmed total performance salary. We shall optimize the technology contract registration system. We shall further the delegation of power to recognize, register, examine and approve technology contracts. We shall explore the commitment system for notification of technology contract registration. We shall tighten interim and ex post supervision and establish a closer connection between technology contract registration and policies on the recognition of high-tech enterprises and high-tech achievement transformation projects as well as other policies. We shall improve the service network for technology contract registration, increase incentives for non-governmental registration service institutions and encourage all districts to formulate policies on promoting the development of their respective technology markets. (Units responsible: the Municipal Science and Technology Commission, the Municipal Education Commission, the Municipal State-owned Assets Supervision and Administration Commission, the Municipal Health Commission, the Municipal Human Resources and Social Security Bureau, the Municipal Finance Bureau, the Municipal Tax Service, and all district people’s governments)
1. Strengthen organizational guarantee. We shall establish a coordination mechanism of the municipal joint meeting for promoting the transformation of scientific and technological achievements, at which government planning and specific arrangements for the transformation of scientific and technological achievements in this Municipality are deliberated, major issues are decided and great problems are addressed. As required, the Municipal Science and Technology Commission shall hold meetings of liaison officers from all departments for the accomplishment of specific tasks. (Units responsible: all member units of the joint meeting)
2. Ensure policy implementation. The municipal administrative departments of finance, science and technology, education, and health shall establish and
3. improve the assessment and evaluation mechanisms which promote the achievement transformation. We shall establish the transformation channel for achievements of significant national scientific and technological infrastructure projects, and strengthen the transformation and application of the achievements supported by government funds. Audit departments shall perform the supervision duty according to law and ensure policy implementation. (Units responsible: the Municipal Science and Technology Commission, the Municipal Finance Bureau, the Municipal Education Commission, the Municipal Health Commission, the Municipal Development & Reform Commission, and the Municipal Audit Bureau)
3. Improve the service network. We shall develop a public service platform for scientific and technological achievement transformation, and improve the one-stop consulting services related to factor resources, registration and tax payment. Various kinds of service platforms and trade associations of technology transfer shall be integrated in order to make all service links of the technology market in this Municipality work as one. (Units responsible: the Municipal Science and Technology Commission, the Municipal Tax Service, the Municipal Administration for Market Regulation, and the Municipal Finance Bureau)
4. Improve information services. We shall establish and better a supervision and evaluation mechanism for scientific and technological achievement transformation, enhance the annual report system of scientific and technological achievement transformation in colleges, universities, scientific research institutions, and technology transfer institutions. We shall also improve the mechanisms which collect, track and evaluate information through the entire chain of scientific and technological achievement transformation. We shall analyze and use data better and enhance the data interconnection with the technology markets in the Yangtze River Delta region. (Units responsible: the Municipal Science and Technology Commission, the Municipal Education Commission, and the Municipal Finance Bureau)
5. Make more publicity efforts. We shall give more publicity to good examples of innovative models, demonstration institutions and professional talents. We shall publish White Papers on Technology Transfers in Shanghai. We shall increase public awareness and supports for scientific and technological achievement transformation, increase the public recognition of the value of technology transfer talents, and work harder to lead society to respect science, appreciate innovation and tolerate failures. (Units responsible: the Publicity Department of the CPC Municipal Committee, the Municipal Science and Technology Commission, and the Municipal Education Commission)
This Action Plan shall be effective as of July 1, 2021.
