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InterimMeasuresforEstablishmentofSino-ForeignEquity/CooperativeJointVentureResearchandDevelopmentInstitutions

关于设立中外合资研究开发机构、中外合作研究开发机构的暂行办法

PromulgatingInstitution:

StateScienceandTechnologyCommission

PromulgatingDate:

09/10/1997

EffectiveDate:

09/10/1997

ValidityStatus:

Valid

颁布机关:

国家科学技术委员会

文     号:

国科发政字[1997]430号

颁布时间:

09/10/1997

实施时间:

09/10/1997

效力状态:

有效

Text

正文

Chapter1:

 GeneralProvisions

第一章  总则

Article1   TheseMeasuresareformulatedinaccordancewiththeprovisionsofArticle36oftheLawofthePeople'sRepublicofChinaonProgressofScienceandTechnologyinordertosafeguardthelawfulrightsandinterestsofSino-foreign（overseas）equityjointventureresearchanddevelopmentinstitutionsandSino-foreign（overseas）cooperativejointventureresearchanddevelopmentinstitutions（"Sino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitution"）,strengthenbasicresearch,appliedresearch,andexperimentaldevelopment,andimproveinternationalscientificandtechnologicalcooperationandexchange.

    第一条  为了保障中外（境外）合资研究开发机构、中外（境外）合作研究开发机构（以下称“中外合资、中外合作研究开发机构”）的合法权益,加强基础研究、应用研究和试验发展,发展国际科技合作与交流,根据《中华人民共和国科学技术进步法》第三十六条规定,制定本办法。

Article2   TheseMeasuresshallbeapplicabletotheSino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitutionsestablishedwithintheterritoryofthePeople'sRepublicofChinabyforeignandoverseasorganizationsorindividuals（"ForeignParty"）withChinesescientificresearchinstitutesandresearchanddevelopmentinstitutionsofhighereducationinstitutions（"ChineseParty"）.

    第二条  本办法适用于国外、境外的组织或个人（以下称“外方”）与中国的科研院所、高等院校的研究开发机构（以下称“中方”）,在中华人民共和国境内创办的中外合资、中外合作研究开发机构。

Article3   ASino-foreignequityjointventureresearchanddevelopmentinstitutionshallmeanaresearchanddevelopmentinstitutionwhichisjointlyestablishedbyaChinesePartyandaForeignPartybasedonajointventureagreementwherebothpartiesinvestcapital,equipment,andscientificandtechnologicalresources.TheamountofinvestmentoftheForeignPartyinaSino-foreignequityjointventureresearchanddevelopmentinstitutionshallbenolessthan25%ofthetotalamountofinvestment.ASino-foreignequityjointventureresearchanddevelopmentinstitutionisqualifiedasaninstitutionlegalperson.

    第三条  中外合资研究开发机构是指中外双方依据合资协议,共同投入资金、设备和科技资源创办的研究开发机构。

中外合资研究开发机构,外方的出资额不得低于出资总额的25%。

中外合资研究开发机构具备事业单位法人资格。

Article4   ASino-foreigncooperativejointventureresearchanddevelopmentinstitutionshallmeanaresearchanddevelopmentinstitutionwhichiscooperativelyestablishedbyaChinesePartyandaForeignPartybasedonacontract.ASino-foreigncooperativejointventureresearchanddevelopmentinstitutionisnotqualifiedasalegalperson.

    第四条  中外合作研究开发机构是指中外双方依照合同,合作建立的研究开发机构。

中外合作研究开发机构不具备法人资格。

Article5   TheestablishmentofSino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitutionsshallconformtothelaws,regulationsandpoliciesofthePeople'sRepublicofChinaandaccordwiththeprinciplesofequityandmutualbenefit,honesty,andgoodfaith,sharingofachievements,jointassumptionofrisks,protectionofintellectualpropertyrights,andrespectforinternationalpractices.

    第五条  设立中外合资、中外合作研究开发机构,应当遵守中华人民共和国的法律、法规和政策,贯彻平等互利、诚实信用、成果共享、风险共担、保护知识产权、尊重国际惯例的原则。

Article6   Sino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitutionsshall,inthefieldsofnaturalsciencesandtherelatedscienceandtechnology,engageinbasicresearch,appliedresearch,highscientificandtechnologicalresearch,scientificresearchrelatedtosocialpublicwelfare,andintechnologicaldevelopmentsandexperimentaldevelopmentswithintheabovementionedfields.

WhereaSino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitutionistoengageinproductionorbusinessoperations,itmustobtainapprovalfromitscompetentauthorityinadvanceandcarryouttheseparateprocedureswiththelocaladministrativedepartmentforindustryandcommerceforenterpriselegalpersonregistrationandbusinesslicenseapplication.

    第六条  中外合资、中外合作研究开发机构应当在自然科学及其相关科技领域内从事基础研究、应用研究、高科技研究、社会公益性科学研究以及上述领域的技术开发和试验发展。

    中外合资、中外合作研究开发机构若从事生产经营业务,必须事先经主管部门同意,依法向当地工商行政管理机关另办理企业法人登记并申请有关营业执照。

Article7   ToestablishaSino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitution,theForeignPartyshallsupplyadvancedscientificandtechnologicalachievements,informationmaterials,andtestingequipmentordispatchhighlyskilledscientificandtechnologicalpersonneltoparticipateinthejointresearchanddevelopmentwork.

    第七条  创办中外合资、中外合作研究开发机构,外方合资者、合作者应当提供先进的科技成果、信息资料、试验装备或派遣高水平科技人员参与共同研究、开发工作。

Article8   TheStateScienceandTechnologyCommissionshallberesponsibleformacro-administration,coordinationandguidanceinrespectofSino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitutionsthroughoutthecountry.

TheStateCouncil'sdepartmentsandtheorganizationsdirectlyundertheStateCouncilshallberesponsiblefortheadministrationoftheirrespectiveSino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitutions.

Thescienceandtechnologycommissionsoftheprovinces,autonomousregions,municipalitiesdirectlyundertheCentralGovernment,andmunicipalitiesundertheStateplanshallberesponsiblefortheadministrationoftheSino-foreignEquity/CooperativeJoinVentureResearchandDevelopmentInstitutionswithintheirrespectiveadministrativeregions.

    第八条  国家科学技术委员会负责全国中外合资、中外合作研究开发机构的宏观管理和协调指导。

    国务院各部门、各直属机构归口管理本部门的中外合资、中外合作研究开发机构。

    省、自治区、直辖市、计划单列市科学技术委员会归口管理本行政区划的中外合资、中外合作研究开发机构。

Chapter2:

 Establishment,ChangeandTermination

第二章  设立、变更和终止

Article9   Inordertobeestablished,aSino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitutionmustmeetthefollowingrequirements:

（1）ItcomplieswiththeoverallarrangementsoftheState'sallocationofscientificandtechnologicalresources;

（2）ItsresearchanddevelopmentareinadirectionwhichcomplieswithtechnologyandindustrypoliciesoftheState;

（3）IthasarticlesofassociationthatcomplieswithChineselaws,regulationsandpolicies;

（4）Ithasnecessaryscientificresearchfunds,experimentalequipment,intelligenceinformationandotherscientificresearchrequirements;

（5）Itpossessesaspecificnumberofscientificresearchpersonnel;

（6）Ithasfixedpremisesandorganizationalstructure;and

（7）Itsatisfiesotherrequirementsstipulatedbythecompetentauthorities.

    第九条  设立中外合资、中外合作研究开发机构,必须具备下列条件:

（一）符合国家科技资源配置的总体布局;

（二）研究开发的方向符合国家技术政策和产业政策;

    （三）有符合中国法律、法规和政策的章程;

    （四）有必要的科研经费、实验设备、情报信息等科研条件;

    （五）有一定数量的科研人员;

    （六）有固定的场所和组织机构;

    （七）主管部门规定的其它条件。

Article10   TheestablishmentofaSino-foreignEquity/CooperativeJointVentureResearchandDevelopmentInstitutionshallbeexaminedandapprovedaccordingtothefollowingauthority:

（1）WhenaresearchanddevelopmentinstitutionofaStateCouncil'sdepartmentoranorganizationdirectlyundertheStateCouncilappliestoestablishaSino-foreignequityjointventureresearchanddevelopmentinstitution,theestablishmentshallbesubjecttotheconsentofthecompetentauthority,andthenbereportedtotheStateScienceandTechnologyCommissionforexaminationandverification,andapprovedbytheGeneralOfficeoftheStateCommissionforPublicSectorReform.

（2）Whenaresearchanddevelopmentinstitutionunderthejurisdictionofaprovince,autonomousregion,municipalitydirectlyundertheCentralGovernment,ormunicipalityundertheStateplanappliestoestablishaSino-foreignequityjointventureresearchanddevelopmentinstitution,theestablishmentshallbesubjecttotheconsentofthelocalcompetentauthority,andthenbereportedtothescienceandtechnologycommissionoftheprovince,autonomousregion,municipalitydirectlyundertheCentralGovernment,ormunicipalityundertheStateplanforexaminationandverification,andapprovedbythelocaldepartmentforpublicsectorreform.

（3）WhenaresearchanddevelopmentinstitutionappliestoestablishaSino-foreigncooperativejointventureresearchanddevelopmentinstitution,theestablishmentshallbeexaminedandapprovedbythecompetentauthoritybasedontherelationshipofadministrativesubordination,andthenreportedtothescienceandtechnologycommissionatthesamelevelfortherecord.

    第十条  设立中外合资、中外合作研究开发机构,按照下列权限进行审批:

（一）国务院部门、直属机构所属研究开发机构申请创办中外合资研究开发机构,应经主管部门同意,报国家科学技术委员会审核,由中央机构编制委员会办公室审批。

（二）省、自治区、直辖市、计划单列市所属研究开发机构申请创办中外合资研究开发机构,应经当地主管部门同意后,报省、自治区、直辖市、计划单列市科学技术委员会审核,由当地机构编制部门审批。

    （三）研究开发机构申请创办中外合作研究开发机构,应按隶属关系经主管部门审批,向同级科学技术委员会备案。

Article11   ToestablishaSino-foreignequityjointventureresearchanddevelopmentinstitution,thefollowingmattersshallbespecifiedintheequityjointventureagreement:

（1）Thenames,addresses,andcountriesorregionsofthetwopartiestothejointventure;

（2）Thenameanddomicileoftheresearchanddevelopmentinstitution;

（3）Thefields,specializationanddirectionofresearchanddevelopment;

（4）Thetotalcapitalamountoftheinstitution;

（5）Theformandamountofinvestmentof,andconditionsforinvestmenttransferby,theparties;

（6）Theorganizationalstructureoftheresearchanddevelopmentinstitution;

（7）Thetitletoandsharingofscientificandtechnologicalachievementsandintellectualproperties;

（8）Thetermofthejointventureandliquidationproceduresaftertheterminationofthejointventure;

（9）Liabilitiesforbreachofcontract;

（10）Measuresfordisputeresolution;and

（11）Thelanguage（s）tobeusedin