法律文本

中華人民共和國促進科技成果轉化法（2015修正）

Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements (Revision 2015)

（1996年5月15日第八屆全國人民代表大會常務委員會第十九次會議通過根據2015年8月29日第十二屆全國人民代表大會常務委員會第十六次會議《關於修改〈中華人民共和國促進科技成果轉化法〉的決定》修正）

(Adopted at the 19th Session of the Standing Committee of the 8th National People's Congress on May 15, 1996; and revised according to the Decision of the Standing Committee of the National People's Congress on Revising the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements at the 16th Session of the Standing Committee of the 12th National People's Congress on August 29, 2015)

第一章 總 則

Chapter 1 General Provisions

第一條???為了促進科技成果轉化為現實生產力，規範科技成果轉化活動，加速科學技術進步，推動經濟建設和社會發展，制定本法。

Article 1 This Law is enacted for the purpose of promoting the transformation of scientific and technological achievements into real productive forces, standardizing such transformation, hastening scientific and technological progress and promoting economic and social development.

第二條???本法所稱科技成果，是指通過科學研究與技術開發所產生的具有實用價值的成果。職務科技成果，是指執行研究開發機構、高等院校和企業等單位的工作任務，或者主要是利用上述單位的物質技術條件所完成的科技成果。

Article 2 The phrase "scientific and technological achievements" as used in this Law means achievements made as a result of scientific research and technological development which have practical value. Service technological achievements shall mean technological achievements obtained from performance of work assignments from research and development institutes, tertiary institutions and enterprises, or from utilising mainly the material and technical conditions of the aforesaid organisations.

本法所稱科技成果轉化，是指為提高生產力水平而對科技成果所進行的後續試驗、開發、應用、推廣直至形成新技術、新工藝、新材料、新產品，發展新產業等活動。

The term "transformation of scientific and technological achievements" as used in this Law means the entire process of the follow-up tests, development, application, and widespread use of the applicable scientific and technological achievements, through to the final creation of new technologies, new techniques, new materials, new products, and new industries - all for the purpose of enhancing the productive forces.

第三條???科技成果轉化活動應當有利於加快實施創新驅動發展戰略，促進科技與經濟的結合，有利於提高經濟效益、社會效益和保護環境、合理利用資源，有利於促進經濟建設、社會發展和維護國家安全。

Article 3 Transformation of scientific and technological achievements shall be instrumental to accelerating the implementation of the innovation-driven development strategy, to promoting the combination of science, technology and economy, to increasing economic and social results, to protecting the environment and reasonably using natural resources, as well as to promoting economic and social development and safeguarding national security.

科技成果轉化活動應當尊重市場規律，發揮企業的主體作用，遵循自願、互利、公平、誠實信用的原則，依照法律法規規定和合同約定，享有權益，承擔風險。科技成果轉化活動中的知識產權受法律保護。

In transforming scientific and technological achievements, the persons concerned shall respect the law of the market, let the enterprises play the main role, abide by the principle of voluntariness, mutual benefit, fairness and good faith, and shall, in accordance with law or contractual agreement, enjoy interests and bear risks. Intellectual property involved in the transformation of scientific and technological achievements shall be protected by the law.

科技成果轉化活動應當遵守法律法規，維護國家利益，不得損害社會公共利益和他人合法權益。

In the transformation of scientific and technological achievements, laws shall be observed and State interests safeguarded, and no public interests or legitimate rights and interests of others shall be damaged.

第四條???國家對科技成果轉化合理安排財政資金投入，引導社會資金投入，推動科技成果轉化資金投入的多元化。

Article 4 The State shall reasonably allocate financial funds to the transformation of scientific and technological achievements, guide the investment of social funds in the transformation of scientific and technological achievements, and promote the investment of funds in the transformation of scientific and technological achievements from diversified sources.

第五條???國務院和地方各級人民政府應當加強科技、財政、投資、稅收、人才、產業、金融、政府采購、軍民融合等政策協同，為科技成果轉化創造良好環境。

Article 5 The State Council and local people's governments at various levels shall strengthen the coordination of their policies of science and technology, public finance, investment, taxation, talents, industries, finance, government procurement, military and civilian integration, and other policies so as to create a sound environment for transformation of scientific and technological achievements.

地方各級人民政府根據本法規定的原則，結合本地實際，可以采取更加有利於促進科技成果轉化的措施。

The local people's governments at various levels may, in accordance with the principles specified herein and in light of local conditions, take measures which can better facilitate the transformation of scientific and technological achievements.

第六條???國家鼓勵科技成果首先在中國境內實施。中國單位或者個人向境外的組織、個人轉讓或者許可其實施科技成果的，應當遵守相關法律、行政法規以及國家有關規定。

Article 6 The State encourages the scientific and technological achievements to be implemented in China first. Relevant laws and administrative regulations as well as relevant provisions of the State shall be followed when Chinese entities or individuals transfer their scientific and technological achievements to overseas organizations or individuals, or license them to implement such scientific and technological achievements.

第七條???國家為了國家安全、國家利益和重大社會公共利益的需要，可以依法組織實施或者許可他人實施相關科技成果。

Article 7 For the needs of national security, national interests, and major public interests, the State may legally organize the implementation of or license others to implement relevant scientific and technological achievements.

第八條???國務院科學技術行政部門、經濟綜合管理部門和其他有關行政部門依照國務院規定的職責，管理、指導和協調科技成果轉化工作。

Article 8 The administrative department for science and technology, the administrative department for comprehensive economic and trade affairs, and other relevant administrative departments under the State Council shall, within their functions and responsibilities as prescribed by the State Council, administer, guide, and coordinate efforts for the transformation of scientific and technological achievements.

地方各級人民政府負責管理、指導和協調本行政區域內的科技成果轉化工作。

The local people's governments at various levels shall be responsible for administering, guiding, and coordinating efforts for the transformation of scientific and technological achievements within their respective administrative regions.

第二章 組織實施

Chapter 2 Organization and Implementation

第九條???國務院和地方各級人民政府應當將科技成果的轉化納入國民經濟和社會發展計劃，並組織協調實施有關科技成果的轉化。

Article 9 The State Council and the local people's governments at various levels shall incorporate the transformation of scientific and technological achievements in their notional economic and social development plans and make arrangements and coordinate efforts for the transformation of relevant scientific and technological achievements.

第十條???利用財政資金設立應用類科技項目和其他相關科技項目，有關行政部門、管理機構應當改進和完善科研組織管理方式，在制定相關科技規劃、計劃和編制項目指南時應當聽取相關行業、企業的意見；在組織實施應用類科技項目時，應當明確項目承擔者的科技成果轉化義務，加強知識產權管理，並將科技成果轉化和知識產權創造、運用作為立項和驗收的重要內容和依據。

Article 10 Fiscal funds shall be used to set up the application type of scientific and technological projects and other relevant scientific and technological projects. Relevant administrative departments and management agencies shall improve and perfect their organization and management mode of scientific research, and shall hear the opinions of relevant industries and enterprises when formulating relevant scientific and technological plans and preparing project guides; in organizing the implementation of the application type of scientific and technological projects, the project undertaker's obligation of transformation of scientific and technological achievements shall be made clear, the management of intellectual property shall be strengthened, and the transformation of scientific and technological achievements as well as the creation and use of intellectual property shall be made as an important basis and content of project approval and acceptance.

第十一條???國家建立、完善科技報告制度和科技成果信息系統，向社會公布科技項目實施情況以及科技成果和相關知識產權信息，提供科技成果信息查詢、篩選等公益服務。公布有關信息不得泄露國家秘密和商業秘密。對不予公布的信息，有關部門應當及時告知相關科技項目承擔者。

Article 11 The State shall establish and improve upon a technological reporting system and technological achievements information system, announce information on implementation of technological projects, technological achievements and the relevant intellectual property to the public, and provide community services such as enquiry and screening of technological achievements. Information released shall not divulge any State secret or trade secret. For information not to be disclosed, relevant departments shall inform undertakers of relevant scientific and technological projects in a timely manner.

利用財政資金設立的科技項目的承擔者應當按照規定及時提交相關科技報告，並將科技成果和相關知識產權信息匯交到科技成果信息系統。

The undertakers of scientific and technological projects which are set up using fiscal funds shall timely submit relevant scientific and technological reports according to regulations and summarize and deliver information regarding scientific and technological achievements and intellectual property to the system of scientific and technological achievements.

國家鼓勵利用非財政資金設立的科技項目的承擔者提交相關科技報告，將科技成果和相關知識產權信息匯交到科技成果信息系統，縣級以上人民政府負責相關工作的部門應當為其提供方便。

The State encourages undertakers of scientific and technological projects which are set up using non-fiscal funds to submit relevant scientific and technological reports and summarize and deliver information regarding scientific and technological achievements and intellectual property to the system of scientific and technological achievements, for which the responsible departments of the people's governments of county level or above shall provide conveniences.

第十二條???對下列科技成果轉化項目，國家通過政府采購、研究開發資助、發布產業技術指導目錄、示範推廣等方式予以支持：

Article 12 The State shall support the following projects for the transformation of scientific and technological achievements by such means as government procurement, research and development subsidies, publishing of guide catalogs of industries and technologies, and demonstration and promotion:

（一）能夠顯著提高產業技術水平、經濟效益或者能夠形成促進社會經濟健康發展的新產業的；

1. projects that will be able to noticeably help raise the industrial and technical level and increase economic results, or will form new industries which promote the healthy development of society and the economy;

（二）能夠顯著提高國家安全能力和公共安全水平的；

2. projects that will be able to noticeably increase national security capabilities and the level of public security;

（三）能夠合理開發和利用資源、節約能源、降低消耗以及防治環境汙染、保護生態、提高應對氣候變化和防災減災能力的；

(III) projects that can help rationally develop and utilize natural resources, conserve energy, reduce material consumption, prevent and control environmental pollution, protect the ecology, enhance the capabilities in response to climate change, and prevent disasters and reduce damage;

（四）能夠改善民生和提高公共健康水平的；

4. projects that can improve people's livelihood and enhance the level of public health;

（五）能夠促進現代農業或者農村經濟發展的；

(V) projects that can promote modern agriculture or the economic development in the rural areas; and

（六）能夠加快民族地區、邊遠地區、貧困地區社會經濟發展的。

(VI) projects that can help accelerate the social and economic development in areas inhabited by ethnic minorities and outlying and poverty-stricken areas.

第十三條???國家通過制定政策措施，提倡和鼓勵采用先進技術、工藝和裝備，不斷改進、限制使用或者淘汰落後技術、工藝和裝備。

Article 13 The State, by developing appropriate policies and measures, promotes and encourages the adoption of advanced technologies, techniques, and equipment and the continuous improvement, restricted use, or elimination of backward technologies, techniques, and equipment.

第十四條???國家加強標準制定工作，對新技術、新工藝、新材料、新產品依法及時制定國家標準、行業標準，積極參與國際標準的制定，推動先進適用技術推廣和應用。

Article 14 The State shall strengthen its efforts in standard setting, set national or industrial standards for new technologies, new techniques, new materials, and new products according to law and in a timely manner, and actively participate in the setting of international standards so as to promote the spread and application of advanced and applicable technologies.

國家建立有效的軍民科技成果相互轉化體系，完善國防科技協同創新體制機制。軍品科研生產應當依法優先采用先進適用的民用標準，推動軍用、民用技術相互轉移、轉化。

The State shall establish an effective system for the mutual transformation between military and civilian scientific and technological achievements and shall improve the systems and mechanisms for the collaboration and innovation of defense-related science and technology. Advanced and applicable civilian standards shall be given priority of use according to law during the scientific research and production of military products so as to promote the mutual transfer or transformation of military and civilian technologies.

第十五條???各級人民政府組織實施的重點科技成果轉化項目，可以由有關部門組織采用公開招標的方式實施轉化。有關部門應當對中標單位提供招標時確定的資助或者其他條件。

Article 15 When making arrangements for transformation of major scientific and technological achievements, the people's governments at various levels may have relevant departments arrange for the transformation through open tendering. The relevant departments shall provide the bid winner with the subsidies or other conditions as determined at the time of bidding.

第十六條???科技成果持有者可以采用下列方式進行科技成果轉化：

Article 16 Holders of scientific and technological achievements may have their achievements transformed in the following ways:

（一）自行投資實施轉化；

1. investing in the transformation themselves;

（二）向他人轉讓該科技成果；

2. transferring their achievements to another;

（三）許可他人使用該科技成果；

(III) allowing another to use their achievements;

（四）以該科技成果作為合作條件，與他人共同實施轉化；

4. working together with another for the transformation with their achievements as the conditions for cooperation; and

（五）以該科技成果作價投資，折算股份或者出資比例；

(V) investing with their achievements as converted shares or as proportions of capital contributions;

（六）其他協商確定的方式。

(VI) other methods determined through negotiations.

第十七條???國家鼓勵研究開發機構、高等院校采取轉讓、許可或者作價投資等方式，向企業或者其他組織轉移科技成果。

Article 17 The State encourages research and development institutions or institutions of higher learning to transfer their scientific and technological achievements to enterprises or other organizations by means of assignment, licensing, contribution as an investment, or other means.

國家設立的研究開發機構、高等院校應當加強對科技成果轉化的管理、組織和協調，促進科技成果轉化隊伍建設，優化科技成果轉化流程，通過本單位負責技術轉移工作的機構或者委托獨立的科技成果轉化服務機構開展技術轉移。

Research and development institutions or institutions of higher learning established by the State shall strengthen the management, organization, and coordination of the transformation of their scientific and technological achievements, promote the building of teams for the transformation of scientific and technological achievements, optimize the transformation process of scientific and technological achievements, and carry out the transfer of technologies through their own entities which are in charge of technology transfer or by entrusting an independent service agency for the transformation of scientific and technological achievements.

第十八條???國家設立的研究開發機構、高等院校對其持有的科技成果，可以自主決定轉讓、許可或者作價投資，但應當通過協議定價、在技術交易市場掛牌交易、拍賣等方式確定價格。通過協議定價的，應當在本單位公示科技成果名稱和擬交易價格。

Article 18 Research and development institutions or institutions of higher learning established by the State may, at their own discretion, decide to transfer, license, or contribute as an investment scientific and technological achievements held by them provided, however, that a price shall be determined by agreement, listing for sale at an exchange market for technologies, auction, or by other means. If the price is determined through agreement, the name of the scientific and technological achievements and the proposed transaction price shall be publicly announced within the entity concerned.

第十九條???國家設立的研究開發機構、高等院校所取得的職務科技成果，完成人和參加人在不變更職務科技成果權屬的前提下，可以根據與本單位的協議進行該項科技成果的轉化，並享有協議規定的權益。該單位對上述科技成果轉化活動應當予以支持。

Article 19 With regard to scientific and technological achievements that are made by persons while holding positions in the research and development institutions or institutions of higher learning established by the State, the persons who made the achievements and the participants may, on condition that ownership of the achievements remains unchanged and in accordance with the agreement they reached with the units they belong to, transform the achievements, and they shall enjoy the rights and interests as stipulated in the agreement. The units concerned should assist in the transformation of the scientific and technological achievements mentioned above.

科技成果完成人或者課題負責人，不得阻礙職務科技成果的轉化，不得將職務科技成果及其技術資料和數據占為己有，侵犯單位的合法權益。

Persons who made the scientific and technological achievements or leading members of a research project may neither obstruct the transformation of the scientific and technological achievements they made while holding positions in the entities nor take possession of such achievements, thus encroaching upon the lawful rights and interests of the entities they belong to.

第二十條???研究開發機構、高等院校的主管部門以及財政、科學技術等相關行政部門應當建立有利於促進科技成果轉化的績效考核評價體系，將科技成果轉化情況作為對相關單位及人員評價、科研資金支持的重要內容和依據之一，並對科技成果轉化績效突出的相關單位及人員加大科研資金支持。

Article 20 The departments under which these research and development institutions or institutions of higher learning are administered and relevant administrative departments, including departments of finance and science and technology, shall establish a performance assessment and evaluation system in favor of promoting the transformation of scientific and technological achievements, make the transformation of scientific and technological achievements one of the important contents and basis for evaluating and granting scientific research funds to relevant entities and individuals, and increase the support of scientific research funds for relevant entities and individuals with outstanding performance in the transformation of scientific and technological achievements.

國家設立的研究開發機構、高等院校應當建立符合科技成果轉化工作特點的職稱評定、崗位管理和考核評價制度，完善收入分配激勵約束機制。

Research and development institutions or institutions of higher learning established by the State shall establish a system of professional title appraisal, position management, and assessment and evaluation commensurate with the characteristics of transformation of scientific and technological achievements, and improve the mechanism of income distribution, incentive, and restriction.

第二十一條???國家設立的研究開發機構、高等院校應當向其主管部門提交科技成果轉化情況年度報告，說明本單位依法取得的科技成果數量、實施轉化情況以及相關收入分配情況，該主管部門應當按照規定將科技成果轉化情況年度報告報送財政、科學技術等相關行政部門。

Article 21 Research and development institutes and tertiary institutions established by the State shall submit an annual report on commercialisation of technological achievements to their administrative authorities, stating the quantity of technological achievements they have obtained pursuant to the law, status of implementation of commercialisation, and the relevant income distribution; the administrative authorities shall submit the annual report on commercialisation of technological achievements to the relevant administrative authorities such as finance authorities and science and technology authorities pursuant to the provisions.

第二十二條???企業為采用新技術、新工藝、新材料和生產新產品，可以自行發布信息或者委托科技中介服務機構征集其所需的科技成果，或者征尋科技成果轉化的合作者。

Article 22 An enterprise may, for the purpose of adopting new technology, new techniques and new materials and manufacturing new products, publish information on its own or entrust an intermediate institution engaged in trade of technology to solicit the scientific and technological achievements that it needs or to find collaborators for the transformation of scientific and technological achievements.

縣級以上地方各級人民政府科學技術行政部門和其他有關部門應當根據職責分工，為企業獲取所需的科技成果提供幫助和支持。

The administrative departments for science and technology and other relevant departments of the local people's governments at or above the county level shall, according to the division of their duties and responsibilities, provide help and support for the enterprises to obtain the scientific and technological achievements needed.

第二十三條???企業依法有權獨立或者與境內外企業、事業單位和其他合作者聯合實施科技成果轉化。

Article 23 An enterprise, in accordance with the law, has the right to transform scientific and technological achievements independently or jointly with domestic or foreign enterprises, public institutions, and other collaborators.

企業可以通過公平競爭，獨立或者與其他單位聯合承擔政府組織實施的科技研究開發和科技成果轉化項目。

An enterprise may, through fair competition, undertake the projects, arranged by the government, for the scientific and technological research and development or for the transformation of scientific and technological achievements independently or jointly with another.

第二十四條???對利用財政資金設立的具有市場應用前景、產業目標明確的科技項目，政府有關部門、管理機構應當發揮企業在研究開發方向選擇、項目實施和成果應用中的主導作用，鼓勵企業、研究開發機構、高等院校及其他組織共同實施。

Article 24 As for scientific and technological projects set up with fiscal funds which have market application prospects and clear industrial targets, relevant departments and administrative organs of the government shall let the enterprises play the leading role in selecting the direction of research and development, implementing the project and applying the achievements, and encourage the enterprises, research and development institutions, institutions of higher learning, and other organizations to jointly implement such projects.

第二十五條???國家鼓勵研究開發機構、高等院校與企業相結合，聯合實施科技成果轉化。

Article 25 The State encourages research and development institutions and institutions of higher learning to join efforts with enterprises for the transformation of scientific and technological achievements.

研究開發機構、高等院?？梢詤⑴c政府有關部門或者企業實施科技成果轉化的招標投標活動。

Research and development institutions and institutions of higher learning may participate in the tendering or bidding conducted by relevant departments of the government or enterprises for transformation of scientific and technological achievements.

第二十六條???國家鼓勵企業與研究開發機構、高等院校及其他組織采取聯合建立研究開發平臺、技術轉移機構或者技術創新聯盟等產學研合作方式，共同開展研究開發、成果應用與推廣、標準研究與制定等活動。

Article 26 The State shall encourage enterprises to cooperate with research and development institutions, institutions of higher learning, and other organizations by jointly establishing research and development platforms, technological transfer institutions, or technological innovation alliances or other means of industry-university-research cooperation, in jointly carrying out such activities as research and development, application and promotion of achievements, and research and setting of standards.

合作各方應當簽訂協議，依法約定合作的組織形式、任務分工、資金投入、知識產權歸屬、權益分配、風險分擔和違約責任等事項。

All parties to the cooperation shall sign an agreement specifying according to law such matters as organizational form of the cooperation, division of tasks, capital investment, ownership of intellectual property, distribution of rights and interests, sharing of risks, and liability for breach of agreement.

第二十七條???國家鼓勵研究開發機構、高等院校與企業及其他組織開展科技人員交流，根據專業特點、行業領域技術發展需要，聘請企業及其他組織的科技人員兼職從事教學和科研工作，支持本單位的科技人員到企業及其他組織從事科技成果轉化活動。

Article 27 The State shall encourage research and development institutions, institutions of higher learning, and other organizations to conduct exchange of scientific and technical personnel, to hire scientific and technical personnel of enterprises and other organizations to engage in teaching and scientific research work on a part-time basis according to the professional characteristics and the technological development needs of the industries, and to support their own scientific and technical personnel to engage in the transformation of scientific and technological achievements in enterprises and other organizations.

第二十八條???國家支持企業與研究開發機構、高等院校、職業院校及培訓機構聯合建立學生實習實踐培訓基地和研究生科研實踐工作機構，共同培養專業技術人才和高技能人才。

Article 28 The State supports enterprises to work together with research and development institutions, institutions of higher learning, vocational colleges, and training institutions to establish bases for practice and training of students and institutions for scientific research and practice of postgraduates, in order to jointly foster professional and technical talents and highly skilled ones.

第二十九條???國家鼓勵農業科研機構、農業試驗示範單位獨立或者與其他單位合作實施農業科技成果轉化。

Article 29 The State encourages agricultural scientific research institutions and agricultural experiment and demonstration units to transform scientific and technological achievements independently or in cooperation with another.

第三十條???國家培育和發展技術市場，鼓勵創辦科技中介服務機構，為技術交易提供交易場所、信息平臺以及信息檢索、加工與分析、評估、經紀等服務。

Article 30 The State fosters and develops technology markets and encourages the creation of intermediate service agencies for technologies that provide trading places, information platforms and information retrieval, processing and analysis, evaluation, brokerage, and other services for the transaction of technologies.

科技中介服務機構提供服務，應當遵循公正、客觀的原則，不得提供虛假的信息和證明，對其在服務過程中知悉的國家秘密和當事人的商業秘密負有保密義務。

In providing services, the intermediate service agencies for technologies shall comply with the principles of impartiality and objectiveness and may not provide false information or certification; also they shall be obligated to keep confidential state secrets and the trade secrets of the parties concerned which come to their knowledge in the course of providing services.

第三十一條???國家支持根據產業和區域發展需要建設公共研究開發平臺，為科技成果轉化提供技術集成、共性技術研究開發、中間試驗和工業性試驗、科技成果系統化和工程化開發、技術推廣與示範等服務。

Article 31 The State supports the building of public research and development platforms according to the development needs of industries and regions to provide technology integration, research and development of generic technology, intermediate and industrial experiments, development for the systematization and engineering of scientific and technological achievements, technology promotion and demonstration, and other services for the transformation of scientific and technological achievements.

第三十二條???國家支持科技企業孵化器、大學科技園等科技企業孵化機構發展，為初創期科技型中小企業提供孵化場地、創業輔導、研究開發與管理諮詢等服務。

Article 32 The State supports the development of technology business incubator institutions, such as technology business incubators and university science parks, and provides premises, business counselling, research and development, management consultancy, and other services to small- and medium-sized technology startups.

第三章 保障措施

Chapter 3 Guarantee Measures

第三十三條???科技成果轉化財政經費，主要用於科技成果轉化的引導資金、貸款貼息、補助資金和風險投資以及其他促進科技成果轉化的資金用途。

Article 33 Fiscal funds for the transformation of scientific and technological achievements shall be mainly used as initiation funds, discount loans, subsidy funds, risk investment, and other funds for promoting the transformation of scientific and technological achievements.

第三十四條???國家依照有關稅收法律、行政法規規定對科技成果轉化活動實行稅收優惠。

Article 34 The State adopts a preferential tax policy regarding the transformation of scientific and technological achievements according to the provisions of relevant tax laws and administrative regulations.

第三十五條???國家鼓勵銀行業金融機構在組織形式、管理機制、金融產品和服務等方面進行創新，鼓勵開展知識產權質押貸款、股權質押貸款等貸款業務，為科技成果轉化提供金融支持。

Article 35 The State encourages banking financial institutions to innovate in terms of organizational form, management mechanism, financial products, and services, encourages loan businesses to offer loans such as intellectual property pledge loans and equity pledge loans so as to provide financial support for the transformation of scientific and technological achievements.

國家鼓勵政策性金融機構采取措施，加大對科技成果轉化的金融支持。

The State encourages policy financial institutions to take measures to increase their financial support for such transformation.

第三十六條???國家鼓勵保險機構開發符合科技成果轉化特點的保險品種，為科技成果轉化提供保險服務。

Article 36 The State shall encourage insurance institutions to develop insurance products commensurate with the characteristics of the transformation of scientific and technological achievements and provide insurance services for such transformation.

第三十七條???國家完善多層次資本市場，支持企業通過股權交易、依法發行股票和債券等直接融資方式為科技成果轉化項目進行融資。

Article 37 The State shall improve the multi-level capital market, and support enterprises to finance transformation projects of scientific and technological achievements through direct financing such as equity transaction, issuance of stocks and bonds in accordance with the law and other ways.

第三十八條???國家鼓勵創業投資機構投資科技成果轉化項目。

Article 38 The State encourages venture capital institutions to invest in the transformation projects of scientific and technological achievements.

國家設立的創業投資引導基金，應當引導和支持創業投資機構投資初創期科技型中小企業。

Venture capital guidance funds set up by the State shall guide and support venture capital institutions to invest in hi-tech small- and medium-sized startups.

第三十九條???國家鼓勵設立科技成果轉化基金或者風險基金，其資金來源由國家、地方、企業、事業單位以及其他組織或者個人提供，用於支持高投入、高風險、高產出的科技成果的轉化，加速重大科技成果的產業化。

Article 39 The State encourages the establishment of funds or risk funds for the transformation of scientific and technological achievements. Such funds shall be provided by the State, local authorities, enterprises, institutions, and other organizations or individuals and shall be used to aid the transformation of such scientific and technological achievements as need substantial investment, involve considerable risks, and promise high yields and to accelerate the application of major scientific and technological achievements in industrial production.

科技成果轉化基金和風險基金的設立及其資金使用，依照國家有關規定執行。

Funds and risk funds for the transformation of scientific and technological achievements shall be established and used in accordance with relevant provisions of the State.

第四章 技術權益

Chapter 4 Technical Interests

第四十條???科技成果完成單位與其他單位合作進行科技成果轉化的，應當依法由合同約定該科技成果有關權益的歸屬。合同未作約定的，按照下列原則辦理：

Article 40 Where an entity that made scientific and technological achievements and another entity make join efforts to transform the achievements, the ownership of rights and interests related to the achievements shall be stipulated in a contract in accordance with the law. If it is not stipulated in the contract, the following principles shall be followed:

（一）在合作轉化中無新的發明創造的，該科技成果的權益，歸該科技成果完成單位；

1. where no invention or creation ensues from the transformation of scientific and technological achievements, the rights and interests related to the scientific or technological achievements shall belong to the entity that made the achievements;

（二）在合作轉化中產生新的發明創造的，該新發明創造的權益歸合作各方共有；

2. where inventions or creations ensue from the collaborated transformation of scientific and technological achievements, the rights and interests related to the inventions or creations shall belong to both parties to collaboration; and

（三）對合作轉化中產生的科技成果，各方都有實施該項科技成果的權利，轉讓該科技成果應經合作各方同意。

(III) as to the scientific and technological achievements made through collaborated transformation, both parties have the right to put into practice the achievements thus made, provided that consent shall be obtained from both parties to collaboration for the transfer of the said achievements.

第四十一條???科技成果完成單位與其他單位合作進行科技成果轉化的，合作各方應當就保守技術秘密達成協議；當事人不得違反協議或者違反權利人有關保守技術秘密的要求，披露、允許他人使用該技術。

Article 41 Where an entity that made scientific and technological achievements and another entity collaborate to transform the achievements, both parties shall reach an agreement on the protection of the know-how; the parties may not, running counter to the agreement or the requirements of the right holder for keeping the know-how confidential, disclose or allow another to use the know-how.

第四十二條???企業、事業單位應當建立健全技術秘密保護制度，保護本單位的技術秘密。職工應當遵守本單位的技術秘密保護制度。

Article 42 Enterprises and institutions shall establish a system for the protection of the know-how and keep improving it, in order to protect the know-how of their own. Employees shall comply with the employer's rules on protection of the know-how.

企業、事業單位可以與參加科技成果轉化的有關人員簽訂在職期間或者離職、離休、退休後一定期限內保守本單位技術秘密的協議；有關人員不得違反協議約定，泄露本單位的技術秘密和從事與原單位相同的科技成果轉化活動。

Enterprises and public institutions may sign an agreement on the protection of their know-how with the employees who participate in the transformation of scientific and technological achievements during the period when they remain in employment or within a specified period of time after they leave office or retire; the said employees may not, in violation of the agreement, disclose the know-how of their own units or engage in transforming the scientific and technological achievements same as those of their own units.

職工不得將職務科技成果擅自轉讓或者變相轉讓。

No employees may transfer, without authorization, the scientific and technological achievements they made while holding positions in their entities or do so in disguised form.

第四十三條???國家設立的研究開發機構、高等院校轉化科技成果所獲得的收入全部留歸本單位，在對完成、轉化職務科技成果做出重要貢獻的人員給予獎勵和報酬後，主要用於科學技術研究開發與成果轉化等相關工作。

Article 43 Income derived by research and development institutions or institutions of higher learning established by the State from the transformation of scientific and technological achievements shall be retained by such institutions, and after giving rewards and remuneration to persons who have made important contributions to the completion or transformation of scientific and technological achievements while holding positions in such institutions or institutions, the income shall be mainly used for work related to the research and development of science and technology and the transformation of scientific and technological achievements.

第四十四條???職務科技成果轉化後，由科技成果完成單位對完成、轉化該項科技成果做出重要貢獻的人員給予獎勵和報酬。

Article 44 After the transformation of scientific and technological achievements, the units which complete such achievements shall give rewards and remuneration to persons who have made important contributions to the completion or transformation of such achievements.

科技成果完成單位可以規定或者與科技人員約定獎勵和報酬的方式、數額和時限。單位制定相關規定，應當充分聽取本單位科技人員的意見，並在本單位公開相關規定。

The organisation which fulfils a technological achievement may stipulate or agree with the technical personnel on the method, amount and timeframe for reward and remuneration. In formulating relevant regulations, these units shall fully take into account the opinions of the scientific and technological personnel and such regulations shall be made public within the units.

第四十五條???科技成果完成單位未規定、也未與科技人員約定獎勵和報酬的方式和數額的，按照下列標準對完成、轉化職務科技成果做出重要貢獻的人員給予獎勵和報酬：

Article 45 Where the units which complete the scientific and technological achievements fail to stipulate and fail to agree with the scientific and technological personnel on the form and amount of rewards and remuneration, rewards and remuneration shall be given to persons who have made significant contributions to the completion or transformation of such achievements while holding positions in such units according to the following standards:

（一）將該項職務科技成果轉讓、許可給他人實施的，從該項科技成果轉讓淨收入或者許可淨收入中提取不低於百分之五十的比例；

1. Not less than 50 percent of the net income from the transfer or licensing of the scientific and technological achievements shall be taken if such achievements are transferred or licensed to others for implementation;

（二）利用該項職務科技成果作價投資的，從該項科技成果形成的股份或者出資比例中提取不低於百分之五十的比例；

2. Not less than 50 percent of the shareholding or contribution resulting from the scientific and technological achievements shall be taken if such achievements are contributed as an investment;

（三）將該項職務科技成果自行實施或者與他人合作實施的，應當在實施轉化成功投產後連續三至五年，每年從實施該項科技成果的營業利潤中提取不低於百分之五的比例。

(III) For scientific and technological achievements being made by their owners or in cooperation with others, no less than 5 percent of business profit from such achievements shall be taken annually for a consecutive three to five years after such achievements are made and successfully put into production.

國家設立的研究開發機構、高等院校規定或者與科技人員約定獎勵和報酬的方式和數額應當符合前款第一項至第三項規定的標準。

The form and amount of rewards and remuneration stipulated by research and development institutions or institutions of higher learning established by the State or agreed upon with scientific and technical personnel shall meet the standards specified in the preceding paragraphs 1 to 3.

國有企業、事業單位依照本法規定對完成、轉化職務科技成果做出重要貢獻的人員給予獎勵和報酬的支出計入當年本單位工資總額，但不受當年本單位工資總額限制、不納入本單位工資總額基數。

Expenses of state-owned enterprises and institutions resulting from giving rewards and remuneration to persons who have made important contributions to the completion or transformation of scientific and technological achievements while holding positions in such units according to the provisions of this Law shall be included in the total amount of salary of these units, but shall not be limited by the total amount of salary of these units, nor shall they be included in the total amount of salary base of these units.

第五章 法律責任

Chapter 5 Legal Liabilities

第四十六條???利用財政資金設立的科技項目的承擔者未依照本法規定提交科技報告、匯交科技成果和相關知識產權信息的，由組織實施項目的政府有關部門、管理機構責令改正；情節嚴重的，予以通報批評，禁止其在一定期限內承擔利用財政資金設立的科技項目。

Article 46 Where the undertakers of scientific and technological projects which are set up using fiscal funds fail to submit scientific and technological reports, or to summarize and deliver information regarding scientific and technological achievements and intellectual property to the system of scientific and technological achievements according to the provisions of this Law, relevant departments or administrative organs of the government which organize and implement such projects shall order them to rectify the situation; if the case is serious, a notice of criticism shall be circulated and such undertakers shall be prohibited from undertaking scientific and technological projects which are set up using fiscal funds within a certain period of time.

國家設立的研究開發機構、高等院校未依照本法規定提交科技成果轉化情況年度報告的，由其主管部門責令改正；情節嚴重的，予以通報批評。

Where research and development institutions or institutions of higher learning established by the State fail to submit an annual report on the transformation of scientific and technological achievements according to the provisions of this Law, their competent authorities shall order them to rectify the situation; if the case is serious, a notice of criticism shall be circulated.

第四十七條???違反本法規定，在科技成果轉化活動中弄虛作假，采取欺騙手段，騙取獎勵和榮譽稱號、詐騙錢財、非法牟利的，由政府有關部門依照管理職責責令改正，取消該獎勵和榮譽稱號，沒收違法所得，並處以罰款。給他人造成經濟損失的，依法承擔民事賠償責任。構成犯罪的，依法追究刑事責任。

Article 47 Where any person who, in violation of the provisions of the Law, resorts to deception in the transformation of scientific and technological achievements and thus gets an award and honorary title, fraudulent money, or illegal profits, the person shall be ordered by relevant departments of the government according to their administrative duties and responsibilities to rectify the situation, with the award and honorary title annulled, the illegal gains confiscated, and a fine concurrently imposed thereon. If economic losses are caused to another, civil liability for compensation shall be borne in accordance with law. If a crime is constituted, the criminal liability shall be investigated according to law.

第四十八條???科技服務機構及其從業人員違反本法規定，故意提供虛假的信息、實驗結果或者評估意見等欺騙當事人，或者與當事人一方串通欺騙另一方當事人的，由政府有關部門依照管理職責責令改正，沒收違法所得，並處以罰款；情節嚴重的，由工商行政管理部門依法吊銷營業執照。給他人造成經濟損失的，依法承擔民事賠償責任；構成犯罪的，依法追究刑事責任。

Article 48 Where scientific and technological service institutions and their employees, in violation of the provisions of this Law, deliberately provide false information, experimental results, or evaluation opinions to deceive a party or collude with one party to deceive another party, they shall be ordered to rectify the situation by the relevant departments of the government according to their administrative duties and responsibilities, their illegal gains shall be confiscated, and a fine shall be imposed. If the case is serious, their business license shall be revoked by the industrial and commercial authorities according to law. If economic losses are caused to another, civil liability for compensation shall be borne in accordance with law. If the case constitutes a crime, criminal responsibility shall be investigated in accordance with law.

科技中介服務機構及其從業人員違反本法規定泄露國家秘密或者當事人的商業秘密的，依照有關法律、行政法規的規定承擔相應的法律責任。

Where scientific and technological intermediate service institutions and their employees, in violation of the provisions of this Law, disclose state secrets or trade secrets of the parties concerned, they shall bear corresponding legal liabilities according to the provisions of the relevant laws and administrative regulations.

第四十九條???科學技術行政部門和其他有關部門及其工作人員在科技成果轉化中濫用職權、玩忽職守、徇私舞弊的，由任免機關或者監察機關對直接負責的主管人員和其他直接責任人員依法給予處分；構成犯罪的，依法追究刑事責任。

Article 49 Where administrative departments for science and technology or other relevant departments or their staff members, in transforming scientific and technological achievements, abuse their powers, neglect their duties, or engage in malpractices for personal gain, sanctions shall be imposed on the directly responsible persons in charge and other directly responsible persons by the authorities which have the power to appoint or remove them or by the supervisory authorities according to law; if the case constitutes a crime, criminal responsibility shall be investigated according to law.

第五十條???違反本法規定，以唆使竊取、利誘脅迫等手段侵占他人的科技成果，侵犯他人合法權益的，依法承擔民事賠償責任，可以處以罰款；構成犯罪的，依法追究刑事責任。

Article 50 Where any person, in violation of the provisions of the Law, usurps another's scientific or technological achievement by means of instigation, luring or coercion and thus encroaches upon the rights and interests of that person shall bear civil liability for compensation in accordance with law and may be imposed with a fine. If the case constitutes a crime, criminal responsibility shall be investigated in accordance with law.

第五十一條???違反本法規定，職工未經單位允許，泄露本單位的技術秘密，或者擅自轉讓、變相轉讓職務科技成果的，參加科技成果轉化的有關人員違反與本單位的協議，在離職、離休、退休後約定的期限內從事與原單位相同的科技成果轉化活動，給本單位造成經濟損失的，依法承擔民事賠償責任；構成犯罪的，依法追究刑事責任。

Article 51 If, in violation of the provisions of this Law, an employee who, without permission of his unit, discloses the technical know-how of the unit or, without authorization, transfers a scientific or technological achievement made while holding a position in the unit or does so in disguised form, or if a person who took part in the transformation of a scientific or technological achievement, running counter to the agreement reached with his unit, engages in transforming the scientific or technological achievement same as that of his unit during the agreed period of time after leaving office or retiring, and thus causes economic losses to the unit, he shall bear civil liability for compensation according to law; if the case constitutes a crime, criminal responsibility shall be investigated according to law.

第六章 附 則

Chapter 6 Supplementary Provisions

第五十二條???本法自1996年10月1日起施行。

Article 52 This Law shall go into effect as of October 1, 1996.