1、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BilingualInterim Measures for Establishment of Sino-Foreign Equity/Cooperative Joint Venture Research and Development Institutions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Promulgating Institution:State Science and Technology CommissionPromulgating Date:09/10/1997Effective Date:09/1
2、0/1997Validity Status:Valid颁布机关:国家科学技术委员会文号:国科发政字1997430号颁布时间:09/10/1997实施时间:09/10/1997效力状态:有效Text正文Chapter 1: General Provisions 第一章总则 Article 1 These Measures are formulated in accordance with the provisions of Article 36 of the Law of the Peoples Republic of China on Progress of Science and Techn
3、ology in order to safeguard the lawful rights and interests of Sino-foreign (overseas) equity joint venture research and development institutions and Sino-foreign (overseas) cooperative joint venture research and development institutions (Sino-foreign Equity/Cooperative Joint Venture Research and De
4、velopment Institution), strengthen basic research, applied research, and experimental development, and improve international scientific and technological cooperation and exchange. 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
5、办法。 Article 2 These Measures shall be applicable to the Sino-foreign Equity/Cooperative Joint Venture Research and Development Institutions established within the territory of the Peoples Republic of China by foreign and overseas organizations or individuals (Foreign Party) with Chinese scientific r
6、esearch institutes and research and development institutions of higher education institutions (Chinese Party). 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。 Article 3 A Sino-foreign equity joint venture research and development institution shall mean a rese
7、arch and development institution which is jointly established by a Chinese Party and a Foreign Party based on a joint venture agreement where both parties invest capital, equipment, and scientific and technological resources. The amount of investment of the Foreign Party in a Sino-foreign equity joi
8、nt venture research and development institution shall be no less than 25% of the total amount of investment. A Sino-foreign equity joint venture research and development institution is qualified as an institution legal person. 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
9、总额的25%。中外合资研究开发机构具备事业单位法人资格。 Article 4 A Sino-foreign cooperative joint venture research and development institution shall mean a research and development institution which is cooperatively established by a Chinese Party and a Foreign Party based on a contract. A Sino-foreign cooperative joint ventu
10、re research and development institution is not qualified as a legal person. 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。 Article 5 The establishment of Sino-foreign Equity/Cooperative Joint Venture Research and Development Institutions shall conform to the laws, regulations and policies of
11、 the Peoples Republic of China and accord with the principles of equity and mutual benefit, honesty, and good faith, sharing of achievements, joint assumption of risks, protection of intellectual property rights, and respect for international practices. 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
12、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。 Article 6 Sino-foreign Equity/Cooperative Joint Venture Research and Development Institutions shall, in the fields of natural sciences and the related science and technology, engage in basic research, applied research, high scientific and technological research, s
13、cientific research related to social public welfare, and in technological developments and experimental developments within the above mentioned fields.Where a Sino-foreign Equity/Cooperative Joint Venture Research and Development Institution is to engage in production or business operations, it must
14、 obtain approval from its competent authority in advance and carry out the separate procedures with the local administrative department for industry and commerce for enterprise legal person registration and business license application. 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
15、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。 Article 7 To establish a Sino-foreign Equity/Cooperative Joint Venture Research and Development Institution, the Foreign Party shall supply advanced scientific and technological achievements, information materials,
16、and testing equipment or dispatch highly skilled scientific and technological personnel to participate in the joint research and development work. 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。 Article 8 The State Science and Technology Commission shall be responsible for
17、macro-administration, coordination and guidance in respect of Sino-foreign Equity/Cooperative Joint Venture Research and Development Institutions throughout the country.The State Councils departments and the organizations directly under the State Council shall be responsible for the administration o
18、f their respective Sino-foreign Equity/Cooperative Joint Venture Research and Development Institutions.The science and technology commissions of the provinces, autonomous regions, municipalities directly under the Central Government, and municipalities under the State plan shall be responsible for t
19、he administration of the Sino-foreign Equity/Cooperative Join Venture Research and Development Institutions within their respective administrative regions. 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。 Chapter 2: Establ
20、ishment, Change and Termination 第二章设立、变更和终止 Article 9 In order to be established, a Sino-foreign Equity/Cooperative Joint Venture Research and Development Institution must meet the following requirements:(1) It complies with the overall arrangements of the States allocation of scientific and technol
21、ogical resources;(2) Its research and development are in a direction which complies with technology and industry policies of the State;(3) It has articles of association that complies with Chinese laws, regulations and policies;(4) It has necessary scientific research funds, experimental equipment,
22、intelligence information and other scientific research requirements;(5) It possesses a specific number of scientific research personnel;(6) It has fixed premises and organizational structure; and(7) It satisfies other requirements stipulated by the competent authorities. 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
23、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。 Article 10 The establishment of a Sino-foreign Equity/Cooperative Joint Venture Research and Development Institution shall be examined and approved according to th
24、e following authority:(1) When a research and development institution of a State Councils department or an organization directly under the State Council applies to establish a Sino-foreign equity joint venture research and development institution, the establishment shall be subject to the consent of
25、 the competent authority, and then be reported to the State Science and Technology Commission for examination and verification, and approved by the General Office of the State Commission for Public Sector Reform.(2) When a research and development institution under the jurisdiction of a province, au
26、tonomous region, municipality directly under the Central Government, or municipality under the State plan applies to establish a Sino-foreign equity joint venture research and development institution, the establishment shall be subject to the consent of the local competent authority, and then be rep
27、orted to the science and technology commission of the province, autonomous region, municipality directly under the Central Government, or municipality under the State plan for examination and verification, and approved by the local department for public sector reform.(3) When a research and developm
28、ent institution applies to establish a Sino-foreign cooperative joint venture research and development institution, the establishment shall be examined and approved by the competent authority based on the relationship of administrative subordination, and then reported to the science and technology c
29、ommission at the same level for the record. 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。 Article
30、 11 To establish a Sino-foreign equity joint venture research and development institution, the following matters shall be specified in the equity joint venture agreement:(1) The names, addresses, and countries or regions of the two parties to the joint venture;(2) The name and domicile of the resear
31、ch and development institution;(3) The fields, specialization and direction of research and development;(4) The total capital amount of the institution;(5) The form and amount of investment of, and conditions for investment transfer by, the parties;(6) The organizational structure of the research an
32、d development institution;(7) The title to and sharing of scientific and technological achievements and intellectual properties;(8) The term of the joint venture and liquidation procedures after the termination of the joint venture;(9) Liabilities for breach of contract;(10) Measures for dispute resolution; and(11) The language(s) to be used in
