海南省企业研发机构认定和备案管理办法

Measures for the Administration of the Accreditation and Recordation of Enterprise R&D Institutions in Hainan Province

第一章 总则

Chapter I General Provisions

第一条为贯彻落实《海南省以超常规手段打赢科技创新翻身仗三年行动方案（2021-2023年）》，强化企业创新主体地位，支持企业开展技术创新、科技成果转化、技术服务，制定本建设指引。

Article 1 These Guidelines are formulated to implement the Three-Year Action Plan for Winning the Science and Technology Innovation Battle by Extraordinary Means in Hainan Province (2021-2023), strengthen the position of enterprises as the major innovation entities, and support enterprises to perform technological innovation, transform scientific and technological achievements, and provide technical services.

第二条本指引所称企业研发机构，是指企业内部设立的从事科学研究、新材料、新技术、新产品、新工艺研究开发以及设计、测试、检验等有关技术服务的机构，是企业开展技术创新、实现科技进步的基础条件。

Article 2 The “Enterprise R&D Institutions” in these Guidelines refers to the institutions set up within the enterprises to engage in scientific researches and technical services such as the R&D, design, test and inspection of all new materials, technologies, products and processes of the enterprises. These Enterprise R&D Institutions provide basic conditions for the enterprises to carry out technological innovation and make scientific and technological progress.

第三条企业研发机构按照企业自主建设、自愿申报、分级分层方式进行认定和备案。

Article 3 Enterprise R&D Institutions shall be accredited and filed in a mode of independent construction, voluntary application and graded management.

第四条企业研发机构的认定、备案、评估和管理工作遵循“公开、公平、公正”原则。

Article 4 The accreditation, filing, evaluation and management of Enterprise R&D Institutions shall follow the principle of “openness, fairness and impartiality”.

第二章 职责分工及主要任务

Chapter II Responsibilities and Primary Tasks

第五条 职责分工

Article 5 Responsibilities

（一）企业职责。企业是研发机构建设和管理主体，支持高新技术企业、规模以上工业企业立足实际自建研发机构，对暂不具备自建条件的，可共建研发机构。

(I) Corporate responsibilities. As enterprises assume the primary responsibility in the construction and management of Enterprise R&D Institutions, high-tech enterprises and industrial enterprises above the designated size shall be supported to build Enterprise R&D Institutions by themselves. For those enterprises which cannot build Enterprise R&D Institutions independently, co-built R&D institutions may be an option.

自建研发机构指企业在省内自办或由企业出资与外单位合办、原则上在管理上同生产系统相对独立（或单独核算）的内设研发机构。

Self-built R&D Institutions refer to internal R&D institutions built by enterprises (or funded by enterprises but built with external organizations) in Hainan, which are in principle independent (or deemed as an independent accounting unit) from the management of the production system.

共建研发机构指企业暂不具备独立建设研发机构条件，利用高校、科研院所、产业（工业）研究院等科研单位或大中型企业研发场所、研发人员、研发设备，通过合作或委托等方式，为本企业进行产品、技术、工艺、材料等研究开发的研发机构。

Co-built R&D Institutions refer to R&D institutions built by enterprises which cannot build Enterprise R&D Institutions independently, in a cooperation or entrustment mode by virtue of the R&D facilities, personnel and equipment of colleges, universities, research institutes, industrial research institutes and other scientific research units or large and medium-sized enterprises, to carry out the research and development of products, technologies, processes, materials and others of enterprises.

（二）市县科技管理部门职责。市县科技管理部门会同相关部门负责本地区企业研发机构培育、认定和备案工作及跟踪管理和服务等工作。

(II) Responsibilities of science and technology authorities at municipal and county levels. The science and technology authorities at municipal and county levels, together with competent departments, shall be responsible for the incubation, accreditation and filing of Enterprise R&D Institutions in their jurisdictions, as well as relevant tracking management and other services.

（三）省直部门职责。省科技管理部门会同工信等省直部门统筹推动全省企业研发机构发展，研究制定支持政策，负责省级企业研发机构认定、备案等工作。

(III) Responsibilities of provincial science and technology authorities. The provincial science and technology authorities, together with other provincial departments of industry and information technology, shall coordinate and promote the development of Enterprise R&D Institutions across Hainan Province, develop and formulate supporting policies, and be responsible for the accreditation and filing of Provincial Enterprise R&D Institutions.

省级企业研发机构包括但不限于经我省相关行业主管部门认定的企业省级重点实验室、工程技术研究中心、技术创新中心、制造业创新中心、工程实验室、院士工作站、院士团队创新中心、科技成果转化中心等创新平台。

Provincial Enterprise R&D Institutions include (but are not limited to) provincial key laboratories, engineering technology research centers, technology innovation centers, manufacturing innovation centers, engineering laboratories, academician workstations, academician innovation centers, scientific and technological achievement transformation centers and other innovation platforms identified by the relevant industry authorities in Hainan.

第六条企业研发机构的主要任务∶

Article 6 Main Tasks of Enterprise R&D Institutions:

（一）为企业研发适销对路的新材料、新产品（品种）、新技术; 应用高新技术对企业的传统工艺技术进行改造提升;对企业引进的科技成果进行消化、吸收、再创新。

(I) To develop new and marketable materials, products (varieties) and technologies for enterprises; apply high and new technologies for the transformation and upgrading of traditional process technologies of enterprises; digest, absorb and innovate technological achievements introduced by enterprises.

（二）开展人才交流和合作，为企业培训急需的高素质工程技术人员和工程管理人员。

(II) To carry out talent exchange and cooperation, and to train highly-qualified engineering technicians and managers urgently needed by enterprises.

（三）开展产学研合作，提供研发、设计、试验、测试、检验等服务。

(III) To perform university-industry cooperation and to provide services such as research and development, design, experiment, test and inspection.

第三章 具备条件与备案、认定程序

Chapter III Eligibility Requirements and Filing and Accreditation Procedures

第七条企业研发机构一般应具备以下基本条件∶

Article 7 Enterprise R&D Institutions shall generally meet the following basic requirements:

（一）企业在海南省注册一年以上，具有独立法人资格，企业主要研发、生产活动在海南省内;

(I) The enterprises shall be registered in Hainan Province for more than one year, with independent legal personality, and the main R&D and production activities of the enterprises are performed in Hainan Province;

（二）企业拥有与主营业务相关的知识产权（专利、软件著作权、集成电路布图设计专有权、国家新药、植物新品种等）;

(II) The enterprises shall have intellectual property rights related to their main businesses (patents, software copyrights, exclusive rights to integrated circuit layout designs, national new drugs, new plant varieties, etc.);

（三）企业上一年度研发费用总额一般不低于20万元;

(III) The total R&D expenditure of the enterprises in the previous year shall not be less than 200,000 yuan;

（四）研发人员不少于5人，具备开展研发、成果转化的固定场所、科研仪器设备;

(IV) The enterprises shall have at least 5 R&D personnel, and fixed facilities, instruments and equipment for research and development, as well as the transformation of scientific and technological results;

（五）在新材料、新产品、新技术、新工艺、新材料等方面的在研究项目（含企业自主立项项目）不少于2个;

(V) The enterprises shall have at least 2 ongoing research projects in new materials, products, technologies, processes and other aspects;

（六）建立完整规范的技术创新管理体制，各项规章制度明确。

(VI) The enterprises shall have established a complete and standardized management system for technological innovations, and developed clear rules and regulations.

第八条省级企业研发机构认定和备案。企业申报省级重点实验室、工程技术研究中心、技术创新中心、制造业创新中心、工程实验室、院士工作站、院士团队创新中心、科技成果转化中心等认定，按相应管理办法由相关省直单位认定和管理。

Article 8 Accreditation and Filing of Provincial Enterprise R&D Institutions. Enterprises applying for the accreditation of Provincial Enterprise R&D Institutions including (but not limited to) provincial key laboratories, engineering technology research centers, technology innovation centers, manufacturing innovation centers, engineering laboratories, academician workstations, academician innovation centers, scientific and technological achievement transformation centers and other innovation platforms, shall follow the accreditation and administration procedures of provincial science and technology authorities.

获批准认定后，企业将相关认定材料报省科技管理部门审核（由省科技管理部门认定的创新平台不再重复报送相关材料），符合条件的给予备案。

After the application is approved, the enterprises shall submit relevant accreditation materials to the provincial science and technology authorities for review (no repeated submission of relevant materials is required for the innovation platform accredited by the provincial science and technology authorities). Those enterprises meeting applicable conditions will be filed.

第九条市县级企业研发机构认定和备案。市县级企业研发机构认定由市县科技管理部门会同相关部门按照市县相关管理办法进行认定和管理。

Article 9 Accreditation and Filing of Municipal and County-Level Enterprise R&D Institutions. Municipal and County-Level Enterprise R&D Institutions shall be accredited and managed by the science and technology authorities at municipal and county levels in accordance with applicable administration measures.

获批准认定后，由市县科技管理部门将相关材料报省科技管理部门审核，符合条件的给予备案。

After the accreditation application is approved, the science and technology authorities at municipal and county levels shall submit relevant accreditation materials to the provincial science and technology authorities for review. Those enterprises meeting applicable conditions will be filed.

第十条其它企业研发机构备案。未达到省级、市县级企业研发机构条件的其它企业研发机构，采取常年受理，定期公布方式进行备案。符合企业研发机构基本条件的企业，可向市县科技管理部门提出申请，按要求报送相关材料;市县科技管理部门审核后报省科技厅核准，符合条件的给予备案。

Article 10 Filing of Other Enterprise R&D Institutions. Other Enterprise R&D Institutions that do not meet the accreditation requirements on provincial, municipal and county-level Enterprise R&D Institutions shall be filed in a mode of year-round acceptance and regular disclosure. Enterprises meeting the basic requirements on Enterprise R&D Institutions can apply to the municipal and county-level science and technology authorities and submit relevant materials as required; after review, the municipal and county-level science and technology authorities shall submit these materials to the Department of Science and Technology for approval. Those enterprises meeting applicable conditions will be filed.

第四章 支持措施

Chapter IV Supporting Measures

第十一条企业研发机构按《海南省促进经济高质量发展若干财政政策》等相关条款享受企业研发机构研发投入奖励，奖励资金与企业当年申请的高新技术企业、高新技术企业培育库研发费用增量奖励按就高不重复原则支持。

Article 11 Enterprise R&D Institutions shall be entitled to R&G rewards in accordance with applicable provisions of Several Fiscal Policies to Promote High-Quality Economic Development in Hainan Province. These rewards and the subsidies for incremental in R&D expenditure of high-tech enterprises and the Incubator applied by the enterprises shall be granted on a “whichever is higher” basis and in a “non-repetition” principle.

第十二条新认定为省级重点实验室、技术创新中心、制造业创新中心、工程实验室、院士工作站、院士团队创新中心、科技成果转化中心等省级企业研发机构，按原办法执行认定奖励。未享受一次性认定奖励的，经省科技管理部门备案后，按《海南省促进经济高质量发展若干财政政策X海南省以超常规手段打赢科技创新翻身仗三年行动方案（2021-2023年）》享受一次性奖励。

Article 12 The enterprises that are newly accredited as Provincial Enterprise R&D Institutions including (but not limited to) provincial key laboratories, engineering technology research centers, technology innovation centers, manufacturing innovation centers, engineering laboratories, academician workstations, academician innovation centers, scientific and technological achievement transformation centers and other innovation platforms, shall be granted with the accreditation rewards in accordance with original administration measures. Those enterprises which have received any one-time accreditation award, after being filed with the provincial science and technology authorities, shall be granted with the one-time award in accordance with Several Fiscal Policies to Promote High-Quality Economic Development in Hainan Province and the Three-Year Action Plan for Winning the Science and Technology Innovation Battle by Extraordinary Means in Hainan Province (2021-2023).

第十三条鼓励各市县出台相关政策对企业研发机构给予支持和奖励。

Article 13 Cities and counties shall develop relevant policies to support and reward Enterprise R&D Institutions.

第十四条省级企业研发机构认定奖励经费不得用于与科技创新无关的支出。不得用于支付各种罚款、捐款、赞助、投资、偿还债务以及国家规定禁止列入的其他支出。

Article 14 The accreditation rewards of Provincial Enterprise R&D Institutions shall not be used for expenditures unrelated to science and technology innovations. They shall also not be used to pay any fines, contributions, sponsorships, investments, debt repayments and other expenditures that are excluded by national regulations.

第十五条获批准备案省级企业研发机构的企业，可享受《海南省科技信贷风险补偿管理暂行办法》相关信贷支持。

Article 15 The enterprises approved to be filed as Provincial Enterprise R&D Institutions may enjoy the relevant credit support under the Interim Measures for the Administration of Science and Technology Credit Risk Compensation in Hainan Province.

第五章 管理和监督

ChapterVAdministration and Supervision

第十六条市县科技管理部门负责本地区企业研发机构的监督、管理工作;省级企业研发机构认定部门负责省级企业研发机构的监督、管理工作。不符合规定被取消资格的，应及时报省科技管理部门备案。

Article 16 The science and technology authorities at municipal and county levels shall be responsible for the supervision and administration of Enterprise R&D Institutions in their jurisdictions. The Provincial Enterprise R&D Institution accreditation authorities shall be responsible for the supervision and administration of Provincial Enterprise R&D Institutions. Those enterprises that are disqualified for non-compliance shall be promptly reported to the provincial science and technology authorities for the filing purpose.

第十七条已获备案的企业研发机构，发生与认定条件有关的重大变化，应在两个月内向省科技管理部门报告。经复核不符合备案条件的，取消资格。

Article 17 The Enterprise R&D Institutions which has been filed shall report any significant change related to accreditation conditions to the provincial science and technology authorities within two months. Those enterprises which are reviewed as non-compliant with the filing requirements shall be disqualified.

第十八条已获备案为省级企业研发机构的，由认定部门按原管理办法进行复核;已获备案为市县级企业研发机构和其它企业研发机构的，由所在市县科技管理部门进行复核，复核一般采取书面审查方式，必要时可以结合现场考察。复核合格的保留资格，不合格的取消相应资格。

Article 18 The enterprises which have been filed as Provincial Enterprise R&D Institutions, shall be reviewed by the accreditation authorities in accordance with the original administration measures; The enterprises which have been filed as Municipal and County-Level Enterprise R&D Institutions and other Enterprise R&D Institutions, shall be reviewed by the science and technology authorities at municipal and county levels. The review procedures shall be completed in a written way and when necessary in combination with site inspections. Those enterprises which are reviewed as compliant with the filing requirements shall be qualified, and those reviewed as non-compliant with the filing requirements shall be disqualified.

第十九条在申请认定、备案、复核过程中存在严重弄虚作假行为的，撤销相应行政决定，追回奖励经费，并依法追究有关单位及相关人员的责任。

Article 19 For enterprises committing serious falsification in the process of applying for accreditation, filing and review, the corresponding administrative decision shall be revoked, the reward funds shall be recovered, and relevant organizations and individuals shall be held liable in accordance with applicable laws and regulations.

第二十条企业研发机构依托单位要自觉接受科技、财政、审计、监察部门的监督检查。

Article 20 The enterprises where Enterprise R&D Institutions are affiliated shall consciously accept the supervision and inspection of the science, technology, finance, audit and supervision authorities.

第二十一条相关单位或个人在企业研发机构认定、管理过程中出现偏差或失误，勤勉尽责、未谋取私利的，对其免除相关责任或从轻减轻处理，并及时纠错改正，有效消除和减少损失。

Article 21 Relevant organizations or individuals having any deviation or mistake in the process of the accreditation and management of Enterprise R&D Institutions and diligently performing their duties without seeking personal gains, shall be discharged from relevant responsibilities in part or in whole, and make duly correction and rectification to effectively eliminate and reduce losses.

第六章 附 则

Chapter VI Supplementary Provisions

第二十二条鼓励市县参照本办法制定市县级企业研发机构认定管理办法。

Article 22 Cities and counties shall be encouraged to develop the measures for the accreditation of municipal and county-level enterprise research and development institutions by reference to these Measures.

第二十三条本办法由海南省科技管理部门负责解释。

Article 23 These Measures shall be interpreted by the provincial science and technology authorities of Hainan Province.

第二十四条本办法自2021年10月22日起施行。

Article 24 These Measures shall come into force on October 22, 2021.