Opinions on Encouraging Technology Importing and Innovation and
Promoting Changes in Pattern of Trade Growth
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The competent departments of commerce, development and reform (planning, economy and trade), science and technology, and finance at various levels in all provinces, autonomous regions, municipalities directly under the Central Government, cities specifically designated in the state plan and Xinjiang Production and Construction Corps, Guangdong Sub-Administration of China Customs, Special Commissioners' Offices in Tianjin and Shanghai, the customs offices directly affiliated to the General Administration of Customs, bureaus of state taxation, intellectual property offices and bureaus of foreign exchange at various levels: For the purpose of acting in the spirit of the National Science and Technology Conference, further implementing the strategy of Revitalizing Trade through Science and Technology, carrying out the Eleventh Five-Year Programme on Revitalizing Trade through Science and Technology, encouraging domestic enterprises to import advanced technologies and to enhance their own abilities in imported technology absorbing and re-innovating in order to boost their core competitiveness and accelerate the changes in the pattern of trade growth, the following opinions are hereby proposed:
I. Deepen the Understanding of the Current Situation of Technology Importing
1. Since the reform and opening up to the outside world, China has made tremendous progress in technology importing. Nearly 80000 contracts of foreign technology importing have been signed since 1979, with a total contractual value of more than US$200 billion. During the Tenth Five-Year Programme, China signed 35000 contracts of foreign technology importing worth nearly US$73 billion, which accounted for 36% of the total number since the inception of reform and opening up policy. The imported technologies have played a key role in upgrading the industrial technologies, strengthening the innovating ability of domestic enterprises and accelerating the economic and social development.
2. Currently, the international economic pattern is undergoing profound changes: economic globalization has been gaining momentum, economic restructuring accelerating, technological innovation making more and more contributions to the economic growth and science and technology have become the focal points of the competition of overall national strength. New trends have appeared in international technology transfer: multinational corporations, as the main body in international technology transfer, are exerting a more and more profound influence on it while the small-and-medium-sized enterprises have also been more active; transfer of advanced technology has increased; and intellectual property has become an effective measure of promoting technology trade and competition. All these have placed increased demands on the capabilities in technology absorbing and innovating of domestic enterprises.
II. The Guidelines, General Objectives and Fundamental Principles of Technology Importing and Innovation
3. Guidelines: to fully carry out the scientific outlook on development, further promote the implementation of the strategy of Revitalizing Trade through Science and Technology, and, in accordance with the
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requirements of the Fifth Plenary Session of the Sixteenth Central Committee of the Party, to support and encourage the import of advanced technologies, enhance the capabilities in imported technology absorbing and re-innovating, promote the progress of China's industrial technology, improve the capacity for independent innovation and core competitiveness of domestic enterprises and accelerate the changes in the pattern of trade growth, for the final purpose of achieving a early historic leap from "a country with large trade volume" to "a trading power".
4. General Objectives: to optimize the technology importing structure and improve its quality and efficiency, for the purpose of raising the proportion of the contracts of proprietary and patented technologies to about 50% of the total by 2010, increasing the counterpart funds for the imported technologies absorption, establishing a technology importing and innovation promoting system which has enterprises as the main body and is oriented towards the market, steered and promoted by the government and supported by the scientific forces of all parties concerned, and achieving a benign cycle in this regard, i.e. "importing the technologies - absorbing them - re-innovating and developing of new technologies - improving the international competitiveness.
5. Fundamental Principles: firstly, to combine the import of advanced technologies and the optimization of importing structure and raise the proportion of proprietary and patented technologies in product designing and manufacturing process; secondly, to combine the technology importing and developing and innovating, enhance the effective connection of technology importing and absorbing, and emphasizing the absorption and re-innovation of imported technologies in order that domestic enterprises will have more independent intellectual property rights in core products and technologies; thirdly, to combine the development of new and high-tech industries and reformation of traditional industries, select some key areas and industries and enlarge the scale of their import and have the traditional industries restructured and upgraded; fourthly, to combine the general promoting and emphasis laying and cultivate a batch of key enterprises of technology importing, absorbing and re-innovating; fifthly, to combine raising the quality of imported foreign funds and propelling the development of domestic industries, encourage foreign investment in new and high-tech industries and their accessory industries, extend the industrial chain and help and support the development of export-oriented enterprises.
III. Accelerate the Establishment of Technology Importing and Innovation Promoting System of Domestic Enterprises
6. In line with the orientation and requirements of China's industrial development, provide special assistance for enterprises in importing technologies with market potential and possible advantages in future competitions or with great significance to national well-being and the people's livelihood, such as those in biology, civil aerospace industry, machine building, petrochemical industry, clean power generation, new materials, energy saving and environmental protection.
7. Be committed to multilateral technological cooperation. Break the technological monopoly of developed countries and promote the import of new and high technologies through strengthening exchanges and cooperation between governments, NGOs and enterprises; adopt various forms of cooperation such as joint research, collaborated tasks and matched communication and enlarge the scope of cooperation; to have more countries as the source of imported technologies and import technologies at various level to suit the technological needs of domestic enterprises; make the multilateral cooperation mechanism an intermediary of research and development and technological
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cooperation between enterprises and scientific institutions on both sides.
8. Establish and improve the public information system for international trade in technologies. Assist domestic enterprises in obtaining information on international technology market through information collecting, policy consulting, technological resources and demands releasing.
9. Advance the administration and protection of intellectual property rights of domestic enterprises: support and encourage them to apply for domestic and overseas patents for re-innovated technologies; provide them with information on patent and legal service on intellectual property, assist them in utilizing professional measures such as patent searching, analyzing and applying, protect the intellectual property rights and improve the ability and level of applying rules concerning intellectual property.
10. Support qualified enterprises in going global. Make full use of foreign scientific and technological resources by establishing overseas research and development institutions, keep track of world advanced technologies and constantly improve the technology developing and innovating capabilities of Chinese enterprises.
11. Continue to encourage transnational corporations to set up research and development institutions in China and raise China's overall level in research and development. Encourage cooperation between transnational corporations and China's research and development institutions, colleges and universities and enterprises, the industrialization of technological fruits of foreign research and development institutions in China and the technological transfer of foreign-invested enterprises to state-owned private enterprises.
12. Encourage and guide domestic enterprises to establish strategic relationship of alliance with transnational corporations or tech-advanced enterprises in developed countries and to take part in technology R&D activities led by transnational corporations; encourage domestic enterprises to join in their foreign counterparts in technology research and development and speed up the internationalization of new and high-tech research and development.
13. Give full scope to the key role of enterprises in technology importing, absorbing and innovating. Encourage domestic enterprises to import advanced and applicable technologies independently and conduct joint research and development in technology absorption and innovation with scientific and technological institutions, colleges and universities, or establish jointly technology developing institutions; to support large enterprises or enterprise groups to take advantage of current resources for importing, absorbing and re-innovating the key and common technologies and introducing the technologies to small-and-medium-sized enterprises; on the basis of the intellectual, information, capital and policy resources of the state-level economic and technological development zones and state-level new and high-tech industry development zones, guide the enterprises within the zones in importing new and high technologies and realizing technological innovation.
14. Cultivate and support a batch of high-quality intermediary institutions which can provide domestic enterprises with such services as technology information, market research, technology appraisal, patent searching and legal consultation, offset the disadvantages of domestic enterprises in information and professional personnel, guard against the market risks and promote the communication and coordination between enterprises.
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IV. Utilize Economic Means Comprehensively to Encourage Technological Importing and Innovating
15. The state, with the Foreign Trade Development Foundation, supports the expansion of exports through technology importing and innovating. In accordance with the Administrative Measures of Subsidy Fund for Loans of Technology Renovating and Reforming Projects and Administrative Measures of Fund for Research and Development of Exporting Products, the state supports enterprises to import advanced technologies, absorb and re-innovate the imported technologies and conduct technology reformation, research and development for cooperation with foreign counterparts.
16. Provide domestic enterprises with necessary financial support for importing advanced technologies and their re-innovating. Policy banks and commercial banks may grant loans for technology importing, absorbing and re-innovating on the basis of the laws, rules and policies of the country.
17. Provide domestic enterprises with necessary financial and foreign exchange support to establish overseas research and development centre, and give special assistance to the projects of overseas research and development centre which can utilize international advanced technologies, managerial expertise and professionals.
18. The competent departments of finance and taxation shall modulate the scope of reduction and exemption of taxes on royalties obtained by foreign enterprises from transferring technologies to Chinese enterprises and scientific institutions The competent departments of finance shall improve the taxation policy of imported technologies together with other relevant departments, and those of customs, determine the dutiable value of separately imported technology in importing, formulate the measures of taxation and encourage domestic enterprises to import patented and proprietary technologies and managerial expertise, with a view to further optimizing the quality and structure of technology importing.
19. Establish and improve the venture capital mechanism and support enterprises and scientific institutions to import the fruits of frontier sciences by utilizing social capital and having them industrialized, for the purpose that the enterprises may better grasp the latest foreign technological fruits and core technologies and enhance their capability of independent innovation.
V. Improve Various Systems of Technology Importing and Re-innovating
20. Improve the legal and regulation system on technology importing. The relevant departments of the government shall conduct an investigation and research on the application of current laws, and, on the basis of current situation, revise Regulations of the People's Republic of China on Administration of Technology Import and Export and formulate rules for implementation of the aforementioned regulations so as to guide domestic enterprises to protect their own lawful rights and interests. The relevant departments of the government shall periodically regulate Catalogue of the People's Republic of China for Technologies Prohibited or Restricted from Import, restrict the import of technologies which have been mature enough or have become out of date in China, prohibit or restrict that of technologies which require large energy consumption and produce much pollution or which have already been eliminated, and restrict the repeated and blind import.
21. Establish the exchange and training system of technology importing work. Enhance the information exchange on technology importing of enterprises, provide more guidance and training for technological
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trade personnel and cultivate a contingent of professionals in this regard with both technical specialization and the knowledge on international trade.
22. Improve the comprehensive statistic system of technology importing. The competent departments of commerce, foreign exchange, customs and statistics shall strengthen cooperation and establish a full-caliber system of statistic analysis and online administration of technology importing.
《鼓励技术引进和创新 促进转变外贸增长方式的若干意见》
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各省、自治区、直辖市、计划单列市及新疆生产建设兵团商务主管部门、发展改革委(计委、经贸委、经委)、科技厅(委、局)、财政厅(局)，海关广东分署，天津、上海特派办，各直属海关、国家税务局、知识产权局、外汇管理局： 为深入贯彻全国科学技术大会精神，进一步实施科技兴贸战略，落实《科技兴贸“十一五”规划》，鼓励境内企业引进先进技术，增强消化吸收和再创新能力，提高企业核心竞争力，加快转变外贸增长方式，现提出如下意见： 一、提高对技术引进新形势的认识 (一) 改革开放后，我国技术引进发展迅速。1979年以来，我国共对外签订技术引进合同近8万项，合同总金额2000多亿美元。其中，“十五”期间，签订技术引 进合同3.5万项，合同金额近730亿美元，占改革开放以来引进技术总额的36％。技术引进为提高产业技术水平，增强企业创新能力，促进经济社会发展发挥 了重要作用。 (二)当前，国际经济格局发生了深刻变化，经济全球化的趋势明显增强，经济结构调整不断加快，技术创新对经济增长的 贡献日益突出，科技竞争成为国际综合国力竞争的焦点。国际技术转移呈现出新的发展趋势。跨国公司作为世界技术转移的主体的影响更为突出，中小企业积极参与 世界技术转移活动；以高新技术为对象的技术转移日益增长；知识产权成为强化技术贸易和竞争的有效手段。这些都对我国技术引进和消化吸收再创新提出了更高的 要求。 二、技术引进和创新的指导思想、总体目标和基本原则 (三)指导思想。全面贯彻落实科学发展观，进 一步推动科技兴贸战略的实施，按照十六届五中全会要求，支持和鼓励引进先进技术，加强引进消化吸收和再创新，促进我国产业技术进步，提高企业的自主创新能 力和核心竞争力，加快转变外贸增长方式，早日实现从“贸易大国”向“贸易强国”的历史性跨越。 (四)总体目标。优化技术引进结 构，提高技术引进质量和效益，到2010年，专有技术和专利技术许可合同额占技术引进合同总额的比重提高到50％左右，引进技术的消化吸收配套资金比例有 所提高，逐步建立以企业为主体，以市场为导向，政府积极引导推动，各方科技力量支持的技术引进和创新促进体系，实现“引进技术一消化吸收一创新开发一提高 国际竞争力”的良性循环。 (五)基本原则。一是把大力引进先进技术和优化引进结构结合起来，提高产品设计、制造工艺等方面的专利 或专有技术在技术引进中的比例；二是把引进技术和开发创新结合起来，强化技术引进与消化吸收的有效衔接，注重引进技术的消化吸收和再创新，使企业在核心产 品和核心技术上拥有更多的自主知识产权；三是把发展高新技术产业和改造传统产业结合起来，选择重点领域和产业，扩大引进规模，实现传统产业结构优化和技术 升级；四是把整体推进和重点扶持结合起来，培育技术引进和消化创新的主体；五是把提高引进外资质量和国内产业发展结合起来，鼓励外商投资高新技术企业发展 配套产业，延伸产业链，培育和支持出口型企业的发展。
三、加快建设企业技术引进和创新促进体系 (六)根据国家产业发展方向和要求，重点支持企业引进电子通信、生物技术、民用航空航天、机械制造、石油化工、清洁发电、新材料、节约能源、环境保护等具有市场潜力且在未来竞争中将取得优势的或对国计民生具有重大意义的技术。 (七) 积极开展多双边技术合作。通过加强政府间及非政府组织、企业间交流与合作，突破发达国家的技术垄断，促进高新技术的引进；采取联合研究，合作攻关和对口交 往等多种形式，扩大合作范围；拓展技术引进来源国，适应企业的技术需求引进不同层次的技术；利用多双边合作机制，为双方企业和科研机构间进行研发和技术合 作牵线搭桥。 (八)建立和完善国际技术贸易公众信息服务系统。通过信息收集、政策咨询、发布技术资源和技术需求，帮助企业获取国际技术市场信息。 (九)积极推进企业知识产权管理和保护工作。支持和鼓励企业为吸收和创新的技术申请国内外专利；积极为企业提供专利信息和知识产权法律服务，引导企业运用专利检索分析和专利申请等手段，自觉保护知识产权，提升运用知识产权制度的能力和水平。 (十)引导有条件的企业“走出去”。通过建立境外研究与开发机构，充分利用国外科技资源，跟踪学习世界先进技术，不断提高中国企业技术开发和创新能力。 (十一)进一步鼓励跨国公司在华设立研发机构，提高我国整体研究开发水平。鼓励跨国公司和国内科研机构、学校、企业等展开技术研发合作，鼓励外资研发中心的技术成果在国内进行产业化，鼓励外商投资企业对国有企业和民营企业转让技术。 (十二)鼓励和引导企业与跨国公司或发达国家技术先进企业建立战略联盟关系，参与跨国公司主导的技术研发活动。鼓励国内企业与外商投资企业开展技术配套，加速高新技术研发领域的国际化进程。 (十 三)充分发挥企业技术引进和消化创新的主体作用。鼓励企业自主引进先进适用技术，并与科研机构、高等院校开展吸收与创新的联合研究开发，或联合建立技术开 发机构；支持大型企业或企业集团，利用现有资源，开展关键和共性技术的引进消化、吸收和再创新，并实现技术向中小企业的扩散。依托国家级经济技术开发区和 国家级高新技术产业开发区的智力、信息、资金和政策资源，引导区内企业引进高新技术，实现技术创新。 (十四)培育、扶持一批高素质中介服务组织，为企业提供技术信息、市场调研、技术评估、专利检索、法律咨询等服务，弥补企业信息和专业人才的不足，防范风险，促进企业间的沟通与协调。 四、综合运用经济手段鼓励技术引进和创新 (十五)国家利用外贸发展基金支持企业通过引进技术和创新扩大出口。依据《技术更新改造项目贷款贴息资金管理办法》和《出口产品研究开发资金管理办法》等有关政策，支持企业引进先进技术、对引进技术进行消化吸收再创新和对外技术合作而进行的技术改造和研究开发。 (十六)对引进先进技术和再创新提供必要的金融支持。政策性银行和商业银行可根据国家有关法规和政策要求，积极开展技术引进和消化吸收再创新的贷款业务。 (十七)为企业在境外设立研发中心提供必要的金融和外汇政策支持，重点支持能利用国际先进技术、管理经验和专业人才的境外研发中心项目。 (十八)国家财政、税务主管部门根据国家产业和技术发展需要，研究调整外国企业向境内转让技术获取的特许权使用费减征、免征所得税的范围。 国家财政主管部门会同有关部门研究完善引进技术的税收政策，海关会同有关部门研究制定单独引进技术在进口环节完税价格的确定和征税办法，鼓励企业引进符合国家产业技术政策的专利技术、专有技术和先进管理技术，进一步优化技术引进的质量和结构。 (十九)研究建立完善创业风险投资机制，利用社会资金支持企业和科研机构引进前沿技术成果，并进行产业化，以利于企业掌握国外最新技术成果和核心技术，提高企业自主创新能力。 五、完善技术引进与创新的各项制度 (二 十)健全技术引进法律法规制度。政府主管部门应对现行法律执行情况进行调查研究，根据形势发展需要完善《中华人民共和国技术进出口管理条例》，研究制定 《中华人民共和国技术进出口管理条例实施细则》，指导企业保护自身合法利益。定期调整《中国禁止进口限制进口技术目录》，限制进口我国已成熟和落后的技 术；禁止或限制进口高能耗、高污染和已被淘汰的技术，限制盲目重复引进。 (二十一)建立技术引进工作交流与培训制度。加强企业技术引进工作的信息交流，加强对技术贸易专业人员的指导和培训，培养一支既有专业技术知识又懂国际贸易的技术贸易骨干队伍。 (二十二)健全技术引进综合统计制度。商务、外汇、海关、统计等有关部门加强协作，建立全口径技术进口统计分析和联网管理系统。