The Hainan Province Pilot Implementation Plan for Granting Researchers Ownership or Long-term Use Rights of Their Scientific and Technological Achievements was issued by the Provincial Department of Science and Technology and nine other departments.

In order to implement the instructions of General Secretary Xi Jinping on accelerating the reform of the science and technology system and mechanism, increasing the efforts of scientific and technological innovation and achievement transformation during his inspection of Hainan, and the task of our province to explore the reform of the property rights system of scientific and technological achievements, this implementation plan is formulated in accordance with the spirit of the "Notice on the Issuance of the Pilot Implementation Plan for Granting Ownership or Long-term Use Rights of Scientific and Technological Achievements of Research Personnel by the Ministry of Science and Technology and 9 Other Departments" and the "Several Provisions on the Openness and Innovation of Science and Technology in Hainan Free Trade Port", and in combination with the pilot work experience of granting ownership or long-term use rights of scientific and technological achievements of research personnel in our province.

I. General Requirements

(I) Guiding Ideology

Adhere to the guidance of Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, thoroughly implement the spirit of General Secretary Xi Jinping's important speech during his inspection of Hainan, implement the work arrangements of the Central Committee, the Ministry of Science and Technology, the Provincial Party Committee and the Provincial Government, and thoroughly implement the innovation-driven development strategy, stimulate the innovation and creativity of scientific and technological personnel, deepen the reform of the right to use, dispose and benefit of scientific and technological achievements, further stimulate the enthusiasm of scientific researchers for innovation, establish and improve a demand-oriented scientific and technological achievement transformation mechanism, and promote the transformation of scientific and technological achievements through the dual-wheel drive of "empowerment" and "enablement", and promote the high-quality development of Hainan Free Trade Port.

(II) Basic Principles

1. Adhere to the overall layout. From the perspective of the whole province, the Provincial Department of Science and Technology will take the lead in coordinating relevant functional departments and pilot units to standardize the process of granting scientific research personnel ownership or long-term use rights of their official scientific and technological achievements, fully grant units the autonomy to manage scientific and technological achievements, establish a due diligence exemption mechanism, and do a good job in the top-level design of the system such as the management, service and execution of the transformation mechanism of "empowerment" and "enablement" of scientific and technological achievements. Establish a coordinated promotion mechanism with multi-departmental coordination and vertical integration, strengthen the closed-loop management of pilot work, and promote the formation of a situation in which the whole society jointly grasps reform and innovation, implements reform measures, and removes reform bottlenecks.

2. Adhere to key breakthroughs. Promote the integration and mutual promotion of characteristic innovation and scientific and technological innovation, break the policy and institutional bottlenecks of the effective transformation of official scientific and technological achievements, highlight Hainan's characteristics, and make key breakthroughs in expanding the types of empowered subjects, establishing a separate management system for official scientific and technological achievements, improving the "tiered empowerment" and "rights and interests transfer" methods, carrying out scientific and technological achievement evaluation, and improving transformation and income mechanisms.

3. Adhere to incentives and guidance. With the purpose of promoting the development of characteristic industries in our province, we will increase government funding to support technology transformation platforms, projects and talents, improve and perfect organizational management methods, concentrate resources and strength, establish and improve the entire chain of technology transformation, and enhance the sense of gain of all participants in empowerment work.

(III) Main objectives

On the basis of the empowerment pilot implemented by the Ministry of Science and Technology and other 9 departments in our province, we will gradually promote it to relevant units in our province, improve and implement relevant policies and regulations, promote the pilot work of granting scientific research personnel ownership or long-term use rights of their official scientific and technological achievements, establish and improve the mechanism and model of empowerment work, further stimulate the enthusiasm of scientific research personnel for innovation, release the vitality of scientific and technological innovation, and promote the transfer and transformation of scientific and technological achievements.

II. Main tasks of the pilot

(I) Granting scientific research personnel ownership of official scientific and technological achievements

The pilot unit can, based on the actual situation of the unit, grant the ownership of official scientific and technological achievements that belong to the unit, which is formed by the unit using fiscal funds or accepted by enterprises and other social organizations, to the person (team) who completed the achievement by adopting a hierarchical empowerment method, and the pilot unit and the person (team) who completed the achievement will become co-owners. The empowered achievements should have clear ownership, bright application prospects, clear recipients, and strong willingness of scientific research personnel to transform. The types of achievements include patents, computer software copyrights, integrated circuit layout design rights, new plant variety rights, trademark rights, as well as new biomedical varieties and technical secrets. Pilot units should establish a list of scientific and technological achievements to be empowered. Achievements that may affect national security, national defense security, public security, economic security, social stability and other national interests and major social public interests are not included in the empowerment scope for the time being. Pilot units should establish a negative list system for empowered achievements.

Pilot units should establish and improve the management system, work process and decision-making mechanism for the empowerment of job-related scientific and technological achievements. According to the wishes of scientific researchers, different incentive methods such as granting ownership of job-related scientific and technological achievements before transformation (empowerment first and then transformation) or rewarding cash and equity after transformation (transformation first and then reward) should be adopted. The same scientific and technological achievement transformation will not be repeatedly incentivized. For empowerment first and then transformation, the person (team) who completes the scientific and technological achievements shall reach a consensus within the team, agree in writing on matters such as the internal profit distribution ratio, and designate a representative to submit an empowerment application to the unit. The pilot unit shall review and approve it and publicize it within the unit. The publicity period shall not be less than 15 days. The pilot unit shall sign a written agreement with the person (team) who completed the scientific and technological achievements, reasonably agree on the distribution ratio of the benefits of the transformation of scientific and technological achievements, the transformation decision-making mechanism, the sharing of transformation costs, and the intellectual property maintenance costs, clarify the rights and obligations of all parties involved in the transformation of scientific and technological achievements, and promptly handle the corresponding ownership change procedures. The person (team) who completed the achievements is encouraged to negotiate with the unit on the transfer of ownership rights and interests of the achievements.

(II) Granting long-term use rights to scientific research personnel for their official scientific and technological achievements

The pilot unit may grant scientific research personnel long-term use rights for no less than 10 years. The person (team) who completed the scientific and technological achievements shall apply to the unit and submit an implementation plan for the transformation of the achievements, which shall be implemented by the person alone or with other units. The pilot unit shall review and approve it and publicize it within the unit for no less than 15 days. The pilot unit shall sign a written agreement with the person (team) who completed the scientific and technological achievements, reasonably agree on the distribution of the benefits of the achievements, and the pilot unit may further extend the long-term use rights of scientific research personnel if the scientific research personnel fulfill the agreement, the transformation of scientific and technological achievements has made positive progress, and the benefits are good. After the pilot is over, the long-term use rights agreement signed and effective during the pilot period shall continue to be performed in accordance with the agreement.

(III) Implement incentive policies oriented towards increasing the value of knowledge

Pilot units shall establish and improve the income distribution mechanism for the transformation of scientific and technological achievements, so that the income of scientific researchers matches their actual contribution to the transformation of achievements. Pilot units shall implement the transformation of scientific and technological achievements, including technology development, technical consultation, technical services and other activities. The cash rewards given to individuals in accordance with regulations shall be promptly and fully distributed to personnel who have made important contributions to the transformation of scientific and technological achievements, and shall be included in the total performance salary of the unit in the current year, without being subject to the total unit limit, and shall not be used as the base for the total performance salary of the next year. For those who have implemented the confirmation and division of ownership, the person who completed the achievement shall enjoy the corresponding rights and interests according to the proportion of ownership rights. For scientific and technological achievements that have not implemented the confirmation and division of ownership, the person who completed the achievement shall be rewarded in accordance with relevant laws, regulations and provisions. In the list of scientific and technological achievements to be empowered, it is encouraged that the scientific and technological achievements that have not been transformed within 3 years shall be transformed by the unit in a coordinated manner, and the transformation of scientific and technological achievements can be promoted by using them first and then transferring them, and directly entering the technology market for transactions.

Establish and improve the career promotion channel for technology transfer talents. Encourage scientific researchers to engage in the transfer and transformation of scientific and technological achievements. In terms of professional title promotion, performance appraisal, job appointment and talent evaluation, the weight of scientific and technological achievement transformation and application performance shall be increased. Scientific and technological personnel with outstanding performance in the transformation of scientific and technological achievements may be appointed as senior professional titles.

(IV) Optimize the management of state-owned assets for the transformation of scientific and technological achievements

Fully grant pilot units the autonomy to manage scientific and technological achievements, and form a state-owned asset management model that conforms to the law of scientific and technological achievement transformation. Pilot units can independently decide to transfer, license or invest in scientific and technological achievements they hold, without the need to report to the competent department or the financial department for approval. If the pilot unit transfers, licenses or invests in scientific and technological achievements to wholly state-owned enterprises, it may not conduct asset appraisal. If the pilot unit transfers, licenses or invests in scientific and technological achievements it holds to wholly non-state-owned enterprises, the unit shall decide whether to conduct asset appraisal. Pilot units can determine the transaction price through negotiated pricing, listing on the technology trading market, auctioning, etc., and explore and improve the asset appraisal mechanism for the transfer and transformation of scientific and technological achievements. In the process of supporting the transformation of scientific and technological achievements, the market mechanism can be used to reasonably agree on the right to income according to the method and stage of transformation.

(V) Strengthen the management of science and technology security and science and technology ethics in the transformation of empowered scientific and technological achievements

Encourage empowered scientific and technological achievements to be transformed and implemented domestically first. For major interests and security needs, the promotion and application of empowered official scientific and technological achievements can be organized in accordance with the law. If scientific researchers transfer and transform empowered scientific and technological achievements abroad, they should comply with relevant laws and regulations such as national technology exports. For the empowerment and transformation of official scientific and technological achievements involving state secrets, pilot units and achievement implementers (teams) must strictly implement the science and technology confidentiality system and strengthen confidentiality management; pilot units and achievement implementers (teams) cooperate with enterprises and individuals to carry out the transfer and transformation of confidential achievements, and they must be approved in accordance with laws and regulations and sign confidentiality agreements. Strengthen the management of science and technology ethics in the transformation of empowered scientific and technological achievements, strictly abide by relevant provisions on science and technology ethics, and ensure that the transformation and application of scientific and technological achievements are safe and controllable.

(VI) Establish a due diligence exemption mechanism

Under the guidance of the competent departments, the pilot units shall establish a pilot empowerment coordination mechanism led by the main leaders, establish and improve relevant information disclosure mechanisms and risk prevention and control mechanisms, establish corresponding fault tolerance and error correction mechanisms, establish a due diligence exemption list, etc., formulate norms and rules for diligence and responsibility, and exempt them from the responsibility for relevant decision-making errors in the pricing of scientific and technological achievements, independent asset evaluation and empowerment of achievements on the premise that they do not seek illegal interests. Stimulate the transformation enthusiasm of the pilot units and the initiative and creativity of scientific researchers in doing things and starting businesses.

Improve the supervision and inspection mechanism of the discipline inspection and supervision, audit, finance and other departments, and use whether it conforms to the spirit and reform direction of the central government and the provincial party committee and government and whether it is conducive to the transformation of scientific and technological achievements as the qualitative judgment standard for the transformation of scientific and technological achievements, and implement prudent and inclusive supervision.

(VII) Give full play to the role of professional technology transfer institutions

Pilot units should innovate technology transfer management and operation mechanisms. Pilot units with conditions should build professional technology transfer institutions and carry out full-process services such as scientific and technological achievement screening, technology evaluation, transfer and transformation in accordance with market orientation. Pilot units without conditions to build professional technology transfer institutions can carry out information release, achievement evaluation, achievement docking, brokerage services, intellectual property management and application, etc. in social technology transfer institutions.

Strengthen the construction of technical managers and improve professional service capabilities. Pilot units must set up special positions for the transfer and transformation of scientific and technological achievements, and staff engaged in achievement transformation must obtain a senior technical manager certificate within one year.

III. Pilot scope and application process

(I) Pilot scope

Provincial or central colleges and universities, scientific research institutes, public medical and health institutions, state-owned enterprises, and other institutions with scientific research capabilities can apply for pilot projects. Priority will be given to units with sufficient reform motivation, strong innovation capabilities and good transformation foundations to carry out pilot projects.

(II) Pilot period

3 years.

(III) Application process

1. Units with pilot intentions shall refer to the "Outline for the Preparation of the Implementation Plan for the Pilot Units to Grant the Ownership or Long-term Use Rights of Scientific and Technological Achievements of Scientific Research Personnel" to prepare the pilot work implementation plan of their units. After the approval of the competent department, apply to the Department of Science and Technology (direct application by provincial institutions).

2. The Provincial Department of Science and Technology will jointly review the pilot work implementation plan submitted by the applicant unit with the Provincial Development and Reform Commission, the Provincial Department of Education, the Provincial Department of Industry and Information Technology, the Provincial Department of Finance, the Provincial Department of Human Resources and Social Security, the Provincial Department of Commerce, the Provincial Health Commission and the Provincial Intellectual Property Office to determine the pilot list. The pilot unit should improve and perfect the relevant internal policies and measures within 6 months after the list is determined.

IV. Organization and Implementation

(I) Strengthen organizational leadership

Led by the Provincial Department of Science and Technology, relevant departments will strengthen coordination and linkage, establish a departmental coordination mechanism, assign special personnel to be responsible, form a working force, and promptly discover and solve problems. Relevant departments should adhere to the combination of deregulation and supervision to encourage and support pilot units to do a good job in the transformation of scientific and technological achievements, actively study policy measures to support reform in combination with departmental functions, refine relevant operating methods, fully implement relevant empowerment matters, and work with pilot units to strengthen the management and service of the whole process of scientific and technological achievement transformation, do a good job in the "policy box" for the transformation of job-related scientific and technological achievements, carry out empowerment approval management, and promptly follow up and grasp the transformation of empowerment achievements.

The pilot units shall prepare the pilot work plan in accordance with the principles and requirements of the implementation plan. Through the annual reporting system, technical contract recognition, scientific and technological achievement registration and other methods, timely grasp the transformation of empowered scientific and technological achievements, and report the empowerment pilot work summary to the Provincial Department of Science and Technology for summary every year.

(II) Strengthen evaluation and monitoring

Establish a reporting system. The pilot units shall summarize the transformation of scientific and technological achievements of their units every year (including the number of empowered achievement transformations, the economic and social benefits generated by the transformation, typical cases, etc.), and report to the competent departments and the Provincial Department of Science and Technology in written form. The Provincial Department of Science and Technology will work with relevant departments to strengthen follow-up guidance and conduct regular evaluations. For some major issues in the pilot, experts in science and technology, industry, law, finance, intellectual property rights, etc. can be organized to provide decision-making consulting services. Problems and deviations found in the pilot should be solved and corrected in a timely manner.

(III) Strengthen publicity and guidance

Science and technology, finance, human resources and social security, intellectual property rights and other relevant departments should strengthen policy publicity and interpretation, carry out training on management issues and financial system issues with strong policy nature, and establish consultation channels. It is necessary to summarize and refine reform experience in a timely manner, strengthen the publicity of typical cases, and further enhance the enthusiasm of reform units and scientific researchers.

(IV) Strengthen summary and application

After the pilot is completed, give full play to the demonstration role of the pilot and carry out experience exchange. Summarize and summarize some good experiences and practices to form new measures, and timely improve relevant policies and measures to expand the spillover effect of the pilot.