Action Plan of Shanghai Municipality for Promoting the Transfer and Transformation of Scientific and Technological Achievements (2024-2027)

With a view to further improving the efficiency of the transformation of scientific and technological achievements, accelerating the cultivation and development of new quality productive forces, and promoting the construction of Shanghai International Science and Technology Innovation Center, this Action Plan is formulated in accordance with the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements and the Regulations of Shanghai Municipality on Promoting the Transformation of Scientific and Technological Achievements.

I. Work Objectives

By 2027, the main impetus for the transformation of scientific and technological achievements in Shanghai Municipality will continue to strengthen, and landmark transformation results will be achieved in key industrial fields and critical links, forming a technology transfer ecology that is systematically implemented and scenario-driven with integrated development of elements. Shanghai's technology contract turnover will exceed 800 billion yuan; the total value of technology transformation contracts of public scientific research institutions will reach 100 billion yuan, and more than 2,000 enterprises will be incubated through technology transformation; over 100 proof-of-concept centers, open innovation centers and technology transfer institutions will be established, equipped with professional service levels, outstanding operation models and significant demonstration effects; more than 3,000 professional and compound technology managers will be trained and recruited.

II. Key Tasks

1. Implementing Actions for Advancing Technology Transformation Reforms

(1) Promoting the sustainable generation of high-quality achievements in key areas. Focusing on the Municipality's "(2 + 2) + (3 + 6) + (4 + 5)" modern industrial system, a number of high-level research institutions will be established, a batch of high-level innovation achievements will be produced by undertaking major national science and technology projects and implementing major municipal projects, and a series of international patent applications through Patent Cooperation Treaty (PCT) and high-value patents will be fostered. Shanghai will launch the implementation of disruptive technology innovation programs, advancing key technology breakthroughs, cultivating frontier technologies and exploring future technologies. Additionally, the reform of the science and technology system and mechanisms will be deepened to improve the evaluation system for scientific and technological achievements, emphasizing an evaluation orientation focused on innovation quality, performance, and contribution. A project manager system will also be introduced to systematically identify, select and allocate scientific research projects. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Education, the Municipal Commission of Development and Reform, the Municipal Commission of Economy and Informatization, the Municipal Bureau of Finance, and the Municipal Intellectual Property Administration)

(2) Facilitating the pathways for the transfer and transformation of scientific and technological achievements. Comprehensively promote the pilot reforms for innovation of technology transfer and transformation, encouraging the adoption of the "ownership grant + transfer + agreed return" model to grant full ownership rights of job-related scientific and technological achievements, and allow for compliance rectification of scientific researchers' past entrepreneurial activities. Encourage public scientific research institutions such as universities, scientific research institutes, and medical and healthcare institutions to establish technology trusteeship platforms and develop an operational model for the separate management of ownership, operational rights and income rights of scientific and technological achievements. Leverage the leadership of national medical centers, national clinical medical research centers, and national Traditional Chinese Medicine inheritance and innovation centers to enhance Shanghai's clinical research and industry-medicine integration capabilities and strengthen the construction of a large health data platform and information sharing mechanism. Strengthen the transformation and application of patents by encouraging units to revitalize the existing patents and optimize the growth of new patents, and encourage collaboration with small and medium-sized technology enterprises through open patent licensing. Ensure that technology transformation meeting due diligence exemption conditions is excluded from the performance evaluation and value-preservation and appreciation assessment of state-owned assets. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Education, the Municipal Commission of Health, the Municipal Bureau of Finance, and the Municipal Intellectual Property Administration)

(3) Improving the system for the transformation of scientific and technological achievements. Public scientific research institutions should strengthen their primary responsibility for the transformation of scientific and technological achievements, enhance reforms and innovations of their internal mechanism, and strengthen the coordination between departments such as scientific research, finance, assets, and human resources. The role of the discipline inspection and supervision departments should be emphasized to ensure accountability. Establish and improve separate management of job-related scientific and technological achievements, equity and cash rewards for technology transformation, and entrepreneurship of scientific research personnel. Optimize the allocation system of technical contract rewards in performance-based salary management of public institutions. Implement the policy of "three distinctions" to improve the due diligence exemption mechanism, optimize tax policies, and enhance collaboration between departments including science and technology, education, health, finance, tax, and auditing. Strengthen coordination and cooperation with discipline inspection and supervision departments to form a work mechanism that encourages innovation, tolerates failure, and ensures prudent supervision. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Education, the Municipal Commission of Health, the Municipal Bureau of Finance, and the Municipal Tax Service)

2. Implementing Actions to Accelerate Enterprise Innovations

(4) Supporting enterprises in deeply engaging in the transformation of scientific and technological achievements. Implement the Proof-of-Concept Center Construction Plan (POC Plan) to guide local science and technology enterprises and social capital to collaborate with research institutions in building POC centers, thereby reducing the risks and uncertainties in the transformation of scientific and technological achievements. Implement the Group Open Innovation Center Plan (GOI Plan) to build an open innovation platform that is scenario-driven, effectively modeled, and attracts innovators. Encourage state-owned enterprises to conduct pilot reforms for pre-agreed empowerment of job-related scientific and technological achievements. Accelerate the application and promotion of innovative products, dynamically update Shanghai's recommendation catalogue of innovative products, and enhance support for the "three firsts", including the first sets of equipment, the first versions of software, and the first batches of new materials. Improve policies for the recognition of high-tech achievements transformation, guide enterprises to continue developing independent innovation achievements, and accelerate the transformation and industrialization of these achievements. (Responsible units: the Municipal Commission of Science and Technology, the Municipal State-owned Assets Supervision and Administration Commission, the Municipal Commission of Economy and Informatization, and the Municipal Bureau of Finance)

(5) Strengthen the enterprise-led deep integration of industry, universities and research institutions. Support leading science and technology enterprises in forming innovation consortia and establishing a coordination mechanism for major tasks. Deepen the implementation of the "Explorer Program" to guide enterprises in their collaboration with universities and research institutes to conduct applied basic research. Support universities in collaborating with enterprises to build national innovation bases for industry-education integration, manufacturing innovation centers, and collaborative innovation centers to improve universities' capabilities to conduct organized research and achieve technological breakthroughs. Strengthen the global technology supply-demand docking platform and optimize the mechanisms for innovation challenges and other activities to promote more tasks proposed by enterprises and enhance their use of scientific and technological achievements. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Development and Reform, the Municipal Commission of Education, the Municipal Commission of Health, the Municipal Commission of Economy and Informatization, the Municipal Commission of Commerce, and the Municipal Bureau of Finance)

(6) Accelerating the transformation of capital-empowered scientific and technological achievements. Leverage the functions of the Shanghai Future Industry Fund. Jointly set up funds such as a proof-of-concept fund and an achievement transformation fund to support technology transfer institutions in establishing early-stage incubation service mechanisms, conducting in-depth incubation and equity-based incubation. Expand targeted science and technology financial services for the transformation of scientific and technological achievements, and encourage banks and other financial institutions to strengthen their scientific and technological financial services and develop financial products such as technology transformation loans and insurance, thereby facilitating the access of technology transfer institutions to technology-related credit support. Guide state-owned enterprises to improve the investment decision-making and performance evaluation mechanisms of state-owned venture capital institutions, using the overall performance of enterprises over a certain period as the basis for assessment. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Development and Reform, the Municipal State-owned Assets Supervision and Administration Commission, Office of the Financial Committee of the CPC Shanghai Municipal Committee, the Municipal Financial Regulatory Bureau, the Municipal Commission of Economy and Informatization, and the Municipal Bureau of Finance)

(7) Developing high-quality platforms for the transformation of scientific and technological achievements. Promote the reform and innovation-driven development of Zhangjiang High-tech Zone, enhancing support for enterprise-led independent innovation and technology transformation. Accelerate the cultivation of high-quality incubators through Municipality-district collaboration to support the early transformation of disruptive technological achievements and the rapid incubation of hard-tech enterprises. Collaboratively build demonstration zones that serve the development of key industries and the transformation of scientific and technological achievements with distinctive features and remarkable results. Deepen the reform and development of university science parks, explore the construction of regional technology transfer and transformation centers, and promote further integration of campuses, parks and urban areas. Encourage science and technology innovation parks to carry out in-depth cooperation with universities and research institutions, exploring the operational models and revenue-sharing mechanisms that integrate achievement discovery, proof of concept, park services, investment, and incubation. Set up the "Grand neoBay" special development fund to further promote the construction of Shanghai Minhang National Science and Technology Achievements Transfer and Transformation Demonstration Zone. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Education, the Municipal Bureau of Finance, the Municipal Commission of Economy and Informatization, the Municipal State-owned Assets Supervision and Administration Commission, the Municipal Bureau of Planning and Natural Resources, and all District People’s Governments)

3. Implementing the Technology Transfer Partner Empowerment Action

(8) Vigorously developing specialized technology transfer institutions and platforms. Implement the Technology Transfer Office Plan (TTO Plan) to support scientific research institutions in establishing dedicated technology transfer offices, and create a system for the operation of technological achievements that is flexible in personnel management, professionally efficient, and effective in incentives. Support market-oriented technology transfer institutions in providing technology transfer services such as proof of concept, value and potential assessment, supply and demand linkage, and technology investment and financing. Encourage local innovation and entrepreneurship platforms, intellectual property institutions, investment and financing agencies, law firms and so on to leverage their professional strengths and expand their technology transfer services. Promote complementary advantages and resource exchanges between institutions to collaborate in serving the technology transformation needs of researchers. Innovate the operational models and enhance the service functions of technology transfer platforms such as the Academy for Clinical Innovation and Translation of Shanghai, the Chinese Academy of Engineering Academician and Expert Achievement Display and Transformation Center, the Green Technology Bank, National Eastern Technology Transfer Center and so on. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Education, the Municipal Commission of Health, the Municipal Bureau of Finance, the Municipal Intellectual Property Administration, the Municipal Commission of Economy and Informatization, and Shanghai Hospital Development Center)

(9) Accelerating the establishment of an entrepreneurship incubation service system. Implement the Technology Transfer Acceleration Plan (TTA Plan) to support the transformation and incubation of scientific and technological achievements from research institutions through methods of licensing, transfer, evaluation-based investment, and industry-university-research collaboration. Guide technology transfer institutions in innovations such as "integration of research and investment", "synergy between service and investment", and "debt-for-equity conversion" to enhance the efficiency of technology transfer. Strengthen systematic training for innovation and entrepreneurship among faculty and students, and build a "dialogue" platform among scientists, entrepreneurs, and investors. Support the organization of innovation and entrepreneurship competitions and other activities that demonstrate strong professional service capabilities, significant market influence, and positive outcomes, and increase support for market-oriented competitions. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Education, the Municipal Bureau of Finance, the Municipal Talent Bureau, and the Municipal Bureau of Human Resources and Social Security)

4. Implementing Actions for Launching a Specialized Training Program for Technology Managers

(10) Deepening the implementation of the technology manager recruitment and cultivation program. Continuously guide qualified universities to offer distinctive, market-oriented degree programs in technology transfer. Leverage the role of the National Training Base for Technology Transfer Talents and improve the non-degree training system that emphasizes practical training, creating an incubation platform for technology transfer institutions. Strengthen the team of technology transfer mentors to support the growth of young technology managers. Support qualified technology managers in applying for this Municipality's high-level talent programs. Optimize the work permit process for high-level foreign technology managers working in China, and improve supporting services such as family visas and children's school enrollment. (Responsible units: the Municipal Commission of Science and Technology, Organization Department of the CPC Shanghai Municipal Committee, the Municipal Commission of Education, the Municipal Talent Bureau, and the Municipal Bureau of Public Security)

(11) Strengthening policy incentives for outstanding technology managers. Support technology transfer institutions in the development and employment of outstanding technology managers. Incorporate the cultivation of specialized technology managers into the Shanghai science and technology innovation voucher system and the key areas of the knowledge updating project for professional technical talents. Explore the integration of technology transfer demonstration institutions into the list of key talent introduction institutions. For qualified technology managers, allow them to apply for residence permit points, conversion from residence permit to household registration, and talent introduction household registration in accordance with the provisions, and incorporate them into the scope of talent housing support schemes, such as municipal- and district-level talent apartments and rental subsidies. (Responsible units: Organization Department of the CPC Shanghai Municipal Committee, the Municipal Talent Bureau, the Municipal Bureau of Human Resources and Social Security, and the Municipal Commission of Science and Technology)

(12) Establishing a professional development pathway for technology managers. Public scientific research institutions should establish specialized technical positions for technology managers and a competitive recruitment system for technology transfer positions. A certain percentage of the revenue from technology transformation should be allocated for the operation of technology transfer institutions and rewards for service staff, and such reward expenditures shall not be subject to the overall performance-based salary cap. Explore methods for evaluating the competence of junior, mid-level, and senior technology managers, and improve the evaluation mechanism for professional titles related to technology managers. Formulate professional codes of conduct and ethical standards for technology managers to regulate industry behavior, enable the application of professional scenarios, and promote the healthy development of the industry. (Responsible units: the Municipal Bureau of Human Resources and Social Security, the Municipal Commission of Science and Technology, the Municipal Commission of Education, and the Municipal Commission of Health)

5. Implementing Actions for the Integration of the Technology Factor Market

(13) Establishing specialized trading venues for technology and intellectual property. Support Shanghai Technology Exchange in building a national institution for the trading of intellectual property rights and scientific and technological achievements property rights. Strengthen the full-chain transaction services, including technology rights confirmation, pricing, bidding, settlement, and credit enhancement, providing transaction entities with professional services for efficient connection, compliant transactions and contract fulfillment and exploring the securitization of technology property rights. Promote the collaborative development of Shanghai Technology Exchange and the National Intellectual Property Operation (Shanghai) International Service Platform, improve the compliance regulatory system and support the construction of an interconnected national technology trading network. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Intellectual Property Administration, Office of the Financial Committee of the CPC Shanghai Municipal Committee, and the Municipal Commission of Development and Reform)

(14) Fostering an integrated technology factor market in the Yangtze River Delta. Deepen the collaboration mechanism for technological breakthroughs within the Yangtze River Delta technology innovation community, efficiently allocating resources such as technology, funds, platforms, and talents to deepen the cross-regional industry-university-research collaboration. Leverage the roles of the Yangtze River Delta National Technology Innovation Center and the Yangtze River Delta Research Institute Alliance to enhance mechanisms like "team equity participation" and "grant-investment combination", thereby accelerating the transformation of scientific and technological achievements. Support Shanghai Technology Exchange in building a Yangtze River Delta technology transaction service network and promote the establishment of resource- and benefit-sharing mechanisms between the National Eastern Technology Transfer Center and the technology markets in the Yangtze River Delta region. (Responsible units: the Municipal Commission of Science and Technology, and the Municipal Bureau of Finance)

(15) Establishing a global technology transaction service network. Support Shanghai Technology Exchange in Lin-gang Special Area to continuously enhance its capacity as an international trading center, and encourage it to establish overseas service stations in key countries and regions, thereby building an integrated cross-border technology transaction service system that aligns with international standards. Improve the international technology transfer collaboration network, strengthen cooperation with renowned international technology transfer institutions, and regularly conduct cross-border promotions and implementation services for scientific and technological achievements. Continue leveraging the spillover effects of events such as China (Shanghai) International Technology Fair and Pujiang Innovation Forum, to facilitate global information exchange and the transformation and application of scientific and technological achievements. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Commerce, and the Municipal Commission of Development and Reform)

6. Implementing Actions for Building a Collaborative Ecosystem for Technology Transfer and Transformation

(16) Creating Greater Synergy. Leverage the role of the Municipal Joint Conference on Promoting Technology Transfer and Transformation to improve the policy system and strengthen policy implementation. The member units of the joint conference should provide support and safeguards in line with their respective functions. Establish a dedicated program for the technology transfer system, optimize the policy system design, improve the performance tracking mechanisms, and foster a favorable ecosystem for technology transfer and transformation. (Responsible units: All Member Units of the Municipal Joint Conference on Promoting Technology Transfer and Transformation)

(17) Optimizing management and services. Improve the institutional system for this Municipality's technology factor market and establish mechanisms for market monitoring and risk prevention and control. Establish a classified management mechanism for technology transfer institutions and technology managers. Pilot an accelerated transformation mechanism for government-funded scientific and technological achievements that have not been transformed as agreed. Improve the mechanisms to promote the management and transformation of scientific and technological achievements generated by major projects or platforms funded by municipal fiscal science and technology investments. Leverage the role of the Municipal Technical Committee for Standardization of the Transfer and Transformation of Scientific and Technological Achievements to accelerate the development of a standardization system. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Administration for Market Supervision, and all District People's Governments)

(18) Fostering a supportive environment. Promote the dissemination of policies for the transformation of scientific and technological achievements by releasing a "service manual", hosting "training camps" and "transformation clinics" and organizing "mutual support groups" to provide public scientific research institutions, enterprises, service organizations with targeted guidance and support. Regularly publish the Shanghai White Paper on the Transformation of Scientific and Technological Achievements to showcase typical cases for demonstration and dissemination. (Responsible units: the Municipal Commission of Science and Technology, the Municipal Commission of Education, the Municipal Commission of Health, and the Publicity Department of the CPC Shanghai Municipal Committee)