国务院关于“九五”期间深化科学技术体制改革的决定 DECISION OF THE STATE COUNCIL CONCERNING THE DEEPENING OF THE REFORM OF THE SCIENCE AND TECHNOLOGY MANAGEMENT SYSTEM DURING THE "NINTH FIVE-YEAR PLAN" PERIOD
国发（1996）39号（September 15， 1996）
颁布日期：19960915 实施日期：19960915 颁布单位：国务院
Since the issuance of the “Decision on the Reform of the Science and Technology Management System” by the Central Committee of the Communist Party of China in 1985， the scientific and technological circles have， after over ten years of exploration and successful practice， pioneered and created a new situation of vigorous development of science and technology as primary productive forces， breaking the erstwhile single and closed planned management system， effecting a change in the dislocated status of science and technology and economy， and gradually enhancing the role of the socialist market economy system in the operations of science and technology. Majority of the scientific research institutions of the technological development type have embarked on the road of independent development with their operations based on market mechanisms and oriented toward economic construction. Most scientific and technological forces have entered into the main battlefield of economic construction in diverse forms. The spirit of patriotism of the broad masses of scientific and technological workers has been fully reflected in the reform of the science and technology management system in their conscious and active participation in the reform with a view to achieving the goals of the national development strategy. However， owing to various reasons， a fuller play has not been given yet to the key role of science and technology as primary productive forces in economic construction and social development. The general layout of the science and technology management system has yet to be perfected. Total scientific and technological input is inadequate. Disposition of scientific and technological resources is not sufficiently rational. Repetition in the establishment of scientific research institutions， dispersion of scientific and technological forces and irrational structures in specialties and qualified personnel have not been resolved satisfactorily. The overall superiority of science and technology and scientific and technological reserve have to be enhanced. The “Ninth Five-Year Plan” period is a key period in our country for the all-round completion of the second step of the strategic disposition in modernization. To realize the two basic transformations in the economic system and in the mode of economic growth， and to implement the strategy of reinvigorating our country through science and education and the sustainable development strategy， the work of science and technology should serve economic construction and social development in a better way， and make contributions to the resolution of hot and difficult problems in economic construction and social development and to the improvement in quality in economic growth. In pursuance of the spirit of “deepening there form of the science and technology management system” as prescribed in the “Decision of the Central Committee of the Communist Party of China and the State Council Concerning the Acceleration of Advancement of Science and Technology”， the following decision is hereby made concerning the question of deepening the reform of the science and technology management system during the “Ninth Five-Year Plan” period.
1. Main Goals
The main goals of the deepening of the reform of the science and ethnology management system during the “Ninth Five-Year Plan” period are as follows： all-round implementation of the thought of science and technology as primary productive forces， further implementation of the policy of reliance on science and technology in economic construction， orientation toward economic construction in the work of science and technology and exertion in mounting the peak of science and technology. Persevere in the strategic disposition of the reform of the science and technology management system in the three tiers of orienting toward the main battlefield of economic construction and social development， developing high technology and establishing new and high technology industries， and strengthening basic research， step up basic research， applied research， high-technology research and joint tackling of key scientific and technological projects， increase the reserve of science and technology， solve major， integrated， key and urgent technical questions in national economic construction and social development in line with the principle of “stabilizing one end and decontrolling the majority” so as to close the gap with the advanced international level as soon as possible. Majority of the research and development institutions shall go directly into the market， accelerate the commercialization of the scientific and technological results， drastically upgrade social productivity and improve economic efficiency， and raise the scientific and technological standards of industry， agriculture and the tertiary industry.
During the “Ninth Five-Year Plan” period， the science and technology management system compatible with the socialist market economy system and the laws of development of science and technology themselves should be primarily established. A closely integrated mechanism of scientific research， development， production and the market should be formed and a technology development system with the enterprises as the main body and combination of production， education and research， a scientific research system with scientific research institutions and the institutions of higher learning as its main body and a socialized scientific and technological services system should be established to raise the rate of contribution of science and technology in the national economy. The priority of the reform of the science and technology management system should be the independent scientific research institutions especially those under the department of the Central Government. Scientific research institutions under the institutions of higher learning which have their own characteristics are an organic component of the reform of the entire science and technology management system. Optimal disposition of scientific and technological resources should be promoted and rational layout of scientific research institutions should be completed through the deepening of the reform of the science and technology management system； the enthusiasm of the scientific and technological personnel to participate in the reform should be fully motivated and qualified personnel dispersed rationally to let each make full use of his strengths， taking the requirements of goals of national development strategy as the guidance. Reform of the science and technology management system should be carried out synchronously matching the reform of the economic system and reform in other areas， correctly handling the relations between reform， development and stability， providing guidance according to different types of scientific research institutions in the light of local conditions and pressing ahead in a positive and steady way with no rigid uniformity.
2. Main Tasks
（1） Pushing scientific research institutions to the main battlefield of economic construction.
a. Vast majority of the scientific research institutions should take economic construction as the main battlefield， adjust their structures in specialties and make contributions to the transformation of traditional industries， upgrading the quality of products， the development of national industries， enhancing capabilities in international competition and the strengthening of comprehensive national power.
Those scientific research institutions with necessary qualifications may directly join enterprises and become the technology development institutions of the enterprises. A number of scientific research institutions serving the sectors may become the technology development institutions of respective sectors by introducing such forms as the membership system and shareholding system.
Majority of the technology development and technological services institutions should create conditions to practice enterprise-style management， enter into the market in various forms and seek development in market competition.
Those scientific research institutions with an edge in research and development and self-development capabilities or industrial development strengths may establish enterprises or turn directly into enterprises. This category of enterprises may become integrated companies of research， development， engineering design， production and marketing， or may turn into enterprise groups through merger， contracting other enterprises or scientific research institutions， go in for independent operations and seek self development by way of compensatory transfer of technological achievements， acceptance of technology development projects and providing the society with specific technology services.
Those scientific research institutions with systematic and matching engineering development capabilities may integrate themselves closely with enterprises and turn themselves into engineering centers， or establish engineering centers on their own.
Scientific research institutions with strong integrated services capabilities may be turned into such technical services centers as productivity promotion centers and technological innovation extension centers， conduct enterprise-style operations and provide society-oriented technical services.
Scientific research institutions under the central departments should actively render services in local economic construction and social development. A number of those scientific research institutions may， with the support of the departments concerned and the localities， become regional science and technology research and development centers by adopting the mode of joining hands of the departments concerned and the localities， joint operation and joint establishment. Scientific and technological forces of scientific research institutions and institutions of higher learning engaging in long-term， integrated sectorial research should enhance cooperation， step up research and development of common key technologies of the sectors and continue to provide services for the development of the sectors.
b. To accelerate the process of modernization of agriculture， building of agricultural research and develop men system and technical extension services system must be stepped up. Structures of disciplines， specialties and personnel of agricultural scientific research institutions should be optimized and attention be paid to the joint tackling of key multidisciplinary and trans-departmental projects to promote commercialization of scientific and technological achievements. A number of state， sectorial and regional research and development centers shall be set up to form step by step a key agricultural scientific research system at the central and local levels. State agricultural scientific research institutions and key agricultural universities should concentrate their main forces on basic research and the researchand development of major national applications， exerting themselves in the resolution of major scientific andtechnological issues of national， basic， key and orientational nature which provincial and prefectural agriculturalscientific research institutions find unsuitable to undertake. Provincial and prefectural agricultural scientific researchinstitutions should， according to natural and economic zoning， grow， step by step， into regional agricultural scientificresearch centers with focuses on applied technical research and secondary development and commercialization ofscientific and technological achievements. While “stabilizing one end”， agricultural scientific research institutions of alllevels should organize in a big way scientific and technological personnel in participating in the work of science andtechnology demonstration areas， integrated development of agriculture， construction of bases for pillar industries， supporting poverty eradication programs with science and technology and all kinds of scientific and technical services.Close integration of agriculture， science and education should be promoted， standards of scientific and cultural knowledge of farmers and capabilities in applying agricultural scientific technologies should be raised， and great efforts should be made to train and stabilize agricultural technical extension personnel with diverse skills so as to improve overall agricultural labor productivity. The agro-technology extension system should be perfected and strengthened in real earnest， grassroots agro-technology extension institutions should be stabilized and perfected and their strength of self-development enhanced. Agro-technology extension institutions should cooperate with all types of rural service organizations to form an integrated scientific and technological service network embracing technology， agriculture and trade and production， supply and marketing. Agro-technology extension institutions engaging in operational activities close to their business in the mode of self-operations or joint operations with seed companies and departments of means of agricultural production may use the revenue from their business operations to mainly subsidize agro-technology extension work and the income of the technical personnel.
c. Enterprises should become the main body of technological development. State-owned large- and medium-size enterprises should take the establishment of enterprise technological innovation mechanism and the upgrading of technological innovation capabilities as important contents in the establishment of modern enterprise system. Large-and medium-size enterprises and enterprise groups should be guided by the market and set up step by step various types of technological development institutions by joining hands with scientific research institutions and institutions of higher learning. Mass technological innovation activities should be encouraged. Input for technological development shall be increased， speed of commercialization and extension of scientific and technological achievements accelerated and efforts be made to develop new products. Support shall be given to the establishment of long-term and stable relations of coordination between medium- and small size enterprises， rural enterprises and scientific research institutions and institutions of higher learning. Continuous encouragement shall be given to the development of scientific and technological enterprises operated by local people.
（2） Developing high technology and promoting industrialization of new and high technology.
Research and development of high technology is the forerunner for the development of modern economy and the source of the development of high technology industries. A number of major projects which will have a major leading role in the development of the national economy， have considerable foundation and advantages and will enhance the comprehensive national strength of our country should be selected for the joint tackling of key issues by adopting the mode of competitive bidding of tender， organizing and promoting scientific research institutions， institutions of higher learning and enterprises to concentrate their forces. A cohort（An army） of high standard scientific research personnel should be stabilized for the development of high-tech results and industrialization and especially for the readjustment of industrial structures and technological transformation of large- and medium-size enterprises.
Further push shall be given to the development of national development zones for new and high technology industries. The reform should be deepened to create a better environment to attract scientific research institutions， institutions of higher learning and large- and medium-size enterprises to develop high-technology industries， and the pace of reform shall be expedited in accordance with the requirements for the establishment of modern enterprise system. Institutions of higher learning should be encouraged to found school-run high-technology enterprises in keeping with the orientation of the reform of higher education.
（3） Optimizing the structure and distribution of basic scientific research institutions.
Scientific research institutions under central departments and key institutions of higher learning shall be the main body in basic research and their integration shall be strengthened. A number of key basic research institutions should be stabilized and well managed in real earnest， and basic research bases and the infrastructure strengthened to enable an elite， excellent scientific and technological personnel to engage in basic research work and do a good job of fostering and training young personnel. The structure of these institutions should also be optimized， with their personnel rationally dispersed and efficiency raised.
Support shall be given to the two-way movement of scientific research personnel and taking up concurrent positions in each other's institutions between the basic scientific research institutions and institutions of high learning. Emphatic measures shall be taken to promote joint setting up and sharing of large instruments and equipment to achieve full sharing of materials and information. Organic integration among scientific research， teaching and personnel training shall be adhered to so as to complement each other and be mutually promotive.
（4） Qualified non-profit social research institutions may practice open management and provide socialized services.
Non-profit social scientific research institutions should overcome the demerits in the repetition of establishments and dispersion of manpower， retrench and optimize combination in planned steps， practice open management to realize socialization in functions and industrialization in services. The State shall give key support to the non-profit social research institutions engaging in projects involving overall national interest and long-term interest， and in the meantime encourage those non-profit scientific research institutions with qualifications to engage in enterprise-style operations and set up regional or sectorial scientific and technological service and consultancy institutions with self-development capabilities.
3. Major Measures
（1） Practice scientific management. Strengthen macro-regulation， macro control and planning and layout management， and promote integration and corpora of scientific and technological manpower. Optimize investment structure， continue to develop the system of science foundations， carry out value evaluation and specialist evaluation of the same profession to enhance efficiency in capital utilization. Planned science and technology projects shall mainly adopt tender offering system with open tender notices in society， and ensure that listing of projects is done scientifically and openness and fairness in bidding. Under the preconditions that fulfillment of tasks issued by the State and departments in charge is ensured， scientific research institutions shall enjoy independence in internal administration and other areas and become an independent legal entity in society. Different types of scientific research institutions should explore the reform of president（director） responsibility system and the system of decision-making by board of directors and explore ways in experimenting the specialist responsibility system of projects. Follow-up evaluation should be conducted on the implementation of projects.
（2） Promote commercialization of scientific and technological achievements.
Step up construction of pilot plants， industrial experiment bases and engineering technology development centers. Further develop technology markets， establish fair， open and just order in the technology markets， and build up inter mediate institutions of technologies and the ranks of brokers.
（3） Upgrade technological innovation capabilities. Actively create conditions and promote in a big way integration and coordination among scientific research institutions， institutions of higher learning and enterprises so as to upgrade the systematic and matching capabilities of engineering technology development.
（4） Establish mechanism of personnel evaluation， training and employment under which each will give full play to his talent and excellent talents will be able to emerge. Complete and perfect the system of employment of technical positions of all specialties. Fully promote the role of scientific research institutions and institutions of high learning in personnel training， accelerate the training of young and middle-aged academic and technical leaders and assign more young and middle-aged scientific and technical personnel to positions of heavy responsibilities in the front line of research and development. Both old， middle-aged and young scientific and technical personnel shall give full play to their respective roles to make the work of scientific research more vigorous and creative in the process of opening up， mobility， competition and coordination. A number of key scientific research institutions and scientific research bases may set aside some flexible staffing quota and establish the mechanism of personnel mobility and open competition for important positions.
（5） Further reform the income distribution system of scientific and technical personnel. The income of scientific and technical personnel and science and technology management staff engaging in scientific research， technological development and commercialization of scientific and technological achievements should be linked with their scientific research standards and contributions. Reform science and technology reward system， found national award for the extension of scientific and technological achievements and establish evaluation system of science and technology work and management system of intellectual property rights to form new incentive mechanism for science and technology work. Strive to improve the living conditions and working conditions of scientific and technological personnel with the solution of the housing problem of young scientific and technological staff as the priority.
（6）Persevere in opening up to the outside world and actively participate in international exchange and cooperation. Continue to encourage the induction of sophisticated technologies and advanced management experience from abroad， step up digestion and absorption on that basis， and work hard for technological innovation to form a vast amount of technological achievements and products with China's own intellectual property rights. Expand international academic and personnel exchanges. Continue to encourage all categories of scientific and technological personnel and especially young and middle-aged scientific and technological personnel to participate in international scientific and technological cooperation and exchange in diverse forms. Seriously implement the policy of “supporting study overseas， encouraging return to the country and ensuring freedom of return to the country and departure from the country，” actively create conditions and encourage and guide overseas students and scientific and technological personnel residing overseas to return to the country for work on engagement basis or render service for the motherland's construction in various forms.
4. Fund Guarantee
During the “Ninth Five-Year Plan” period， the central finance shall gradually increase input into science and technology in accordance with the requirements as prescribed in the “Decision of the Central Committee of the Communist Party of China and the State Council Concerning the Acceleration of Scientific and Technological Advancement”。 With economic growth， local finance at all levels should strive to increase input into science and technology. Increase in funding for science and technology should be higher than the growth of regular financial revenue. All departments and localities should upgrade the equipment level and scientific research capabilities of key scientific research institutions and scientific research bases.
（1） Enterprises and enterprise groups should strive to increase technology development funding which may be listed in and as part of cost in accordance with relevant provisions. Departments in charge of the sectors may raise funds for the research and development of science and technology of the sectors through various channels. Actively explore the establishment of the input mechanism for the positive circle of agro-science and technology. A certain amount of funds should be arranged for relevant technological innovation in capital construction， technological transformation and technological induction.
（2） Increase the percentage of loans for science and technology in national credit plan and expand the scale of commercial loans for science and technology. State policy banks shall establish the item of special loans for the support of commercialization of major scientific and technological achievements to support the development of new and high technology industries.
（3） Actively explore venture capital mechanism for the development of science and technology to promote commercialization of scientific and technological achievements.
（4） During the “Ninth Five-Year Plan” period， to encourage and support scientific research institutions to go into the market， those scientific research institutions which have been turned into enterprise legal entities may continue to keep their original names upon verification in the light of different circumstances and enjoy the policies bestowed by the State to scientific research institutions.
（5） In addition to the preferential policy on taxation bestowed by the State to enterprises， those scientific research institutions which have been turned into enterprises may include various expenses arising from development of new products， new technologies and new techniques in management expenditure according to relevant provisions. For technical training， technical consultancy and technical services arising in the process of technology transfer， the localities should formulate preferential policies on taxation in the light of the actual conditions prevailing in each locality.
（6） To foster and support the development of new and high technology industries， encouragement shall be given to government departments at all levels and institutions supported by government finance to make priority purchases under same conditions of high technology products with Chinese intellectual property rights.
（7） For scientific research institutions whose reform are basically in place， the department in charge of science and technology administration should still render support in such areas as project funding， institutional expenditure and equipment renewal so as to enable those scientific research institutions and scientific research bases to reach step by step advanced international standards.
（8） In accordance with the relevant provisions of the State and unified plan， scientific research institutions shall establish social security system according to the principle of burden-sharing by the State， unit and individual and establish the system with the integration of unified social fund-raising and individual account in endowment and medical insurance. Part of the institutional expenditure of scientific research institutions can be turned over to the social security fund. Those scientific research institutions which practice enterprise-style management or which have turned into enterprises shall， step by step， implement the social security system. Policies related to social security should be further perfected and improve the conditions in endowment， medic are and housing of scientists and engineering technological personnel who have made outstanding contributions.
5. Deepening the Reform of Defense Science and Technology Management System
In pursuance of the basic orientation of the reform of national economic system and science and technology management system and the guidelines of the military strategy in the new period， the new science and technology management system compatible with the requirements of the socialist market economy and the laws of development of defense science and technology themselves with the integration of military and civilian applications and the integration of peacetime and wartime requirements. Resources should be concentrated to support a number of scientific research institutions and institutions of high learning with good foundation， high quality and strong technology innovation capability to form a defense scientific research system with “smaller establishments and higher standards” to enhance overall capability and systems integration capability and effect a change in the repetitive and dispersed status of scientific research institutions， taking the missions assigned by the State and investment put in as the guidance. Scientific and technological personnel should be diverted rationally and measures taken to stabilize the ranks of highly-qualified scientific and technological personnel and backbone personnel in defense scientific research in conjunction with the readjustments in defense scientific research capabilities and structures. Deepen the reform of the system of appropriations for defense scientific research， strengthen fund management， improve efficiency in fund utilization， further perfect defense scientific research contract system， actively introduce the competitive mechanism and give full play to market regulating functions. Promote the integration of defense scientific research and production and expedite the industrialization of defense scientific and technological achievements in diverse forms and through different channels. Develop military civilian dual-purpose technologies in a big way， accelerate the pace of defense conversion for civilian applications， develop products for civilian use by exploiting new and high technology achievements and new and high technology industries. In the meantime， actively learn and absorb advanced civilian technology and enhance the extent of military-civilian compatibility and conversion capability from peace time to war time.
The reform of the science and technology management system is a long-term task. All departments and localities must strengthen leadership in good earnest and work out practical and workable proposals for implementation in pursuance of the spirit of this “Decision” and organize the implementation work in a serious manner. Timely study of the new situation and new problems emerging from the process of reform should be made and experiences continuously summed up through experiment. The broad masses of scientific and technological personnel should actively dedicate themselves to the cause of the reform of the science and technology management system and work hard for the realization of the goal of establishing the new-type science and technology management system.