海南：科技型中小企业认定管理暂行办法

第一章 总则

Chapter I General Provisions

第一条为强化企业技术创新主体地位，支持和鼓励科技型中小企业创新发展，参照《科技部财政部 国家税务总局关于印发<科技型中小企业评价办法>的通知》（国科发政〔2017〕115号）及科技部火炬中心《关于印发<科技型中小企业评价工作指引（试行）>的通知》（国科火字〔2017〕144号）等文件的要求，结合《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）》精神，制定本办法。

Article 1 The Measures are formulated to the position of enterprises as the innovative subjects and support and encourage the innovation and development of science and technology SMEs according to the Notices of the Ministry of Science and Technology, the Ministry of Finance and the State Administration of Taxation on the Issuance of Measures for the Assessment of Science and Technology SMEs (Guo Ke Fa Zheng [2017] No. 115), the Notices of the Torch High Technology Industry Development Center, Ministry of Science and Technology on the Issuance of Guidelines for the Assessment of Science and Technology SMEs (for Trial Implementation) (Guo Ke Huo Zi [2017] No. 144) and the spirit of the Three-Year Action Plan for Winning the Science and Technology Innovation Battle by Extraordinary Means in Hainan Province (2021-2023).

第二条 本办法所称的海南省科技型中小企业（以下简称科技型中小企业）是指在我省设立，拥有一定科技人员，掌握自主知识产权、专有技术或先进知识，通过科技投入开展创新活动，符合相关条件，经我省科技管理部门备案的中小企业。

Article 2 The term “science and technology SMEs in Hainan Province” (hereinafter referred to as “science and technology SMEs”) refers to SMEs set up in Hainan, which have a certain number of scientific and technical personnel, master independent IP rights (IPRs), know-hows or advanced knowledge, carry out innovative activities through investment in science and technology, meet relevant conditions, and are filed with the science and technology authorities of Hainan Province.

第三条 海南省科技型中小企业为高新技术企业重点培育对象，经认定为海南省科技型中小企业的，纳入海南省科技型中小企业库进行管理。

Article 3 Intensive efforts shall be made to incubate science and technology SMEs into high-tech enterprises. Enterprises identified as science and technology SMEs shall be included in the Library of Science and Technology SMEs of Hainan Province for administration purpose.

第四条 省级科技管理部门负责全省科技型中小企业备案和监督指导。各市县科技管理部门负责本地区科技型中小企业的受理、审核、认定、跟踪服务等工作。

Article 4 Provincial science and technology authorities shall be responsible for the filing, supervision and guidance of science and technology SMEs throughout Hainan Province. Science and technology authorities at municipal and county levels shall be responsible for the acceptance, audit, accreditation, follow-up service and other work related to local science and technology SMEs.

第五条 海南省科技型中小企业认定遵循企业自愿、产业导向、择优认定的工作原则。

Article 5 The accreditation of science and technology SMEs in Hainan Province shall be conducted in the principles of being voluntary, industry-oriented and merit-based.

第二章 认定条件与程序

Chapter II Conditions and Procedures for Accreditation

第六条 认定为海南省科技型中小企业须同时满足以下条件：（一）在海南省行政区域内注册的居民企业。企业提供的产品和服务不属于国家规定的禁止、限制和淘汰类。（二）企业在填报上一年及当年内未发生重大安全、重大质量事故和严重环境违法、科研严重失信行为，且企业未列入经营异常名录和严重违法失信企业名单。（三）职工总数不超过500人、年销售收入不超过2亿元、资产总额不超过2亿元。（四）未被认定为高新技术企业。（五）企业根据海南省科技型中小企评价指标进行综合评价所得分值不低于60分，且科技人员指标得分不得为0分。具体评价指标详见附件。

Article 6 An enterprise may be accredited as a science and technology SME if: (1) it is a resident enterprise registered in the administrative area of Hainan Province and its products and services are not listed in the prohibited, limited or eliminated category; (2) no major safety or quality accidents, serious environmental violations or serious violations by scientific researchers have occurred, and the enterprise has never been included in any list of enterprises with abnormal operations and serious illegal and dishonest acts in the year of making accreditation application and in the previous year thereof; (3) the total number of employees does not exceed 500, annual sales revenue does not exceed RMB 200 million, and total assets do not exceed RMB 200 million; (4) the enterprise has been accredited as a high-tech enterprise; (5) the enterprise shall obtain no less than 60 scores for comprehensive evaluation and no less than 0 score for scientific and technical personnel when it is comprehensively evaluated based on relevant indicators for the evaluation of science and technology SMEs in Hainan Province. See appendixes for evaluation indicators.

第七条 符合第六条第(一)～(四)项条件的企业，若同时符合下列条件中的一项，则可直接确认符合海南省科技型中小企业条件：（一）企业近三年内获得过省级科技奖励;（二）企业拥有经备案或认定的内设研发机构;（三）企业近三年内牵头承担省级财政科技计划项目。

Article 7 An enterprise that meets conditions as stated in Paragraphs (I) - (IV) under Article 6 can be directly confirmed to meet requirements on science and technology SMEs in Hainan Province if it meets one of the following conditions synchronously: (I) the enterprise has received a provincial award for science and technology in the past three years; (II) the enterprise has a filed or recognized internal R&D institute; (III) the enterprise has taken the lead in undertaking provincial financial science and technology plan projects in the past three years.

第八条 海南省科技型中小企业认定具体程序

Article 8 Specific procedures for the accreditation of science and technology SMEs in Hainan Province

海南省科技型中小企业认定与国家科技型中小企业评价工作相结合，符合本办法第六条全部认定条件，申请认定海南省科技型中小企业的，须当年申报国家科技型中小企业评价。

The accreditation of science and technology SMEs in Hainan Province shall be combined with the evaluation of national science and technology SMEs. Enterprises that meet all accreditation conditions hereunder and apply to be accredited as a science and technology SME in Hainan Province shall also apply to be accredited as a national science and technology SME in the same year.

（一）通知。省科技管理部门每年发布通知，明确申报材料、时间要求等。

(I) Notice. Provincial science and technology authorities shall issue a notice every year to clarify the requirements on application materials, deadline, etc.

（二）申请。企业对照本办法自主评价是否符合海南省科技型中小企业条件，认为符合认定条件的，在科技部政务服务平台（网址：fuwu.most.gov.cn）注册登记企业基本信息、选择办理国家科技型中小企业自主评价、在线填报《科技型中小企业信息表》及上传相关证明文件，提交各市、县科技管理部门，并提交下列电子版材料（光盘）：包括企业职工人员清单（备注是否科技人员）、职工社会保险缴费证明、科技人员的大专以上学历证明或研发能力证明材料，企业上一年度末《资产负债表》《损益表》及《中华人民共和国企业所得税年度纳税申报表（A类A107012）》等证明材料。企业对申报材料的真实性负责。

(II) Application. Enterprises can independently evaluate whether they meet the requirements on science and technology SMEs in Hainan Province. If they believe that they meet the accreditation conditions, they shall register their basic information on the government affairs service platform of the Ministry of Science and Technology (website: fuwu.most.gov.cn), choose to apply for the independent evaluation of national science and technology SMEs, fill in the Information Form for Science and Technology SMEs online and upload relevant supporting documents, and submit the following electronic materials (CD-ROM) to the science and technology authorities at municipal or county level: the list of enterprise employees (note whether they are scientific and technical personnel), proof of social insurance contributions, proof of education level (college degree or above) or R&D capability of scientific and technical personnel, the Balance Sheet, Profit and Loss Statement, and the Annual Enterprise Income Tax Return of the People’s Republic of China (Type A A107012) at the end of the previous year, and other supporting documents. Enterprises shall be responsible for the authenticity of the application materials.

（三）认定。市、县科技管理部门对申报企业填报的信息和提交的材料进行综合审查，必要时可组织专家进行评审，经市、县科技管理部门审定后，确定认定科技型中小企业名单，连同企业提交的证明材料，报省科技厅备案。同步在科技部政务服务平台通过企业信息审核，系统提交至省科技厅。

(III) Accreditation. Science and technology authorities at municipal and county levels shall conduct a comprehensive review of the information and materials submitted by applicants, and if necessary, organize experts to evaluate. After review and approval, the science and technology authorities at municipal and county levels shall determine the lists of science and technology SMEs and submit them, together with the supporting materials, to the Department of Science and Technology for filing purpose. The review results of enterprise information shall be synchronized on the government affairs service platform of the Ministry of Science and Technology and submitted by the system to the Department of Science and Technology.

（四）公示公告。经认定报备的企业名单，由省科技厅公示10个工作日。无异议的，发布公告，予以备案；发现不符合要求的，退回各市、县科技管理部门。

(IV) Public disclosure. The lists of enterprises that apply to be accredited shall be disclosed by the Department of Science and Technology for 10 working days. If there is no objection, the lists will be announced and filed. If any enterprise is found non-compliant, the relevant lists shall be returned to the science and technology authorities at municipal or county level.

（五）科技型中小企业资格经备案之日起生效，有效期为三年，企业应在有效期满前3个月内，重新申请进行认定。

(V) The qualification of science and technology SMEs shall be effective from the date of filing and be valid for three years. Enterprises shall reapply for accreditation within three months before the expiration of the validity period.

第三章 支持措施

Chapter III Supporting Measures

第九条 按照《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）》，对纳入海南省科技型中小企业库的，由市县制定资助资金管理办法，鼓励市县财政根据科技研发投入情况给予每家入库企业最高不超过5万元奖励。

Article 9 According to the Three-Year Action Plan for Winning the Science and Technology Innovation Battle by Extraordinary Means in Hainan Province (2021-2023), each city and country in Hainan shall develop measures for the administration of the Supporting Funds to encourage local departments of finance to grant up to RMB 50,000 to each enterprise included in the library of science and technology SMEs in Hainan Province based on the investments in science and technology by such enterprises.

第十条 在省重大科技计划、省重点研发计划等省级科技计划项目组织实施中，支持省科技型中小企业广泛参与高新技术企业、高校、科研院所等牵头的项目，组建创新联合体“揭榜攻关”。

Article 10 In the organization and implementation of provincial major science and technology programs, provincial key R&D programs and other provincial science and technology programs, science and technology SMEs shall be supported to participate extensively in projects led by high-tech enterprises, higher education institutions, research institutes, to form an innovative consortium to “tackle key technological problems”.

第十一条 支持有条件的科技型中小企业建立内部研发平台等，引进培育骨干创新团队，申请认定高新技术企业。

Article 11 Qualified science and technology SMEs shall be encouraged to establish internal R&D platforms, introduce and incubate backbone innovation teams, and apply to be accredited as a high-tech enterprise.

第四章 监督管理

Chapter IV Supervision and Management

第十二条 对已认定的海南省科技型中小企业，有下列行为的，由市、县科技管理部门撤销其科技型中小企业资格，收回已拨付奖励经费，报省科技管理部门备案并进行公告。（一）在申请过程中存在严重弄虚作假行为的；（二）发生科研严重失信行为的；（三）发生重大安全、重大质量事故或有严重环境违法行为的；（四）被列入经营异常名录和严重违法失信企业名单的。

Article 12 Where any science and technology SME accredited as high-tech enterprises commits any one of the following acts, the science and technology authorities at municipal and county levels level shall disqualify such SME, recover rewards granted, and report to the provincial science and technology authorities for filing purpose and make a public disclosure: (1) the enterprise has serious falsification in the application process; (2) the enterprise commits serious violations in scientific researches; (3) the enterprise causes major safety or quality accident or commits serious environmental violations; (4) the enterprise is included in any list of enterprises with abnormal operations and serious illegal and dishonest acts.

第十三条 省级科技型中小企业按要求定期填报统计调查表。企业发生更名或与认定条件有关的重大变化（分立、合并、重组以及经营业务发生变化等），应在3个月内向所在市、县科技管理部门报告。市、县科技管理部门审核符合认定条件的，报省科技管理部门备案，其科技型中小企业资格不变；不符合认定条件的，报省科技管理部门备案并进行公告，自更名或条件变化年度起取消省级科技型中小企业资格。

Article 13 Provincial science and technology SMEs shall fill in statistical questionnaires on a regular basis as required. Name change or significant changes related to the accreditation conditions (such as split, merger, reorganization, and changes in businesses) shall be reported to the science and technology authorities at municipal and county levels where the enterprises operate within 3 months. If the enterprises are determined to meet accreditation conditions after review, the competent science and technology authorities at municipal and county levels shall report such changes to the provincial science and technology authorities for filing purpose, and the qualification of such enterprises as a science and technology SME remains unchanged. Or otherwise, the changes will be reported to the provincial science and technology authorities for filing and public disclosure, and the qualification of such enterprises as a provincial science and technology SME shall be canceled from the year of the name change or condition change.

第十四条 参与科技型中小企业认定工作的各类机构和人员对所承担的有关工作负有诚信、合规、保密义务。在认定过程中，出现工作失误错误，根据《海南自贸港公职人员容错纠错办法（试行）》，经认定符合容错情形的，依规依纪依法不予或者免予、从轻或者减轻处理。违反相关要求和纪律的，给予相应处理。

Article 14 Organizations or individuals involved in the accreditation of science and technology SMEs shall perform the obligations of integrity, compliance and confidentiality for the work undertaken. If the organizations or individuals make any error or mistake during the accreditation and such error or mistake is determined to be tolerable according to the Measures on Fault Toleration and Error Correction among Public Servants in Hainan Free Trade Port (for Trial Implementation), such organizations or individuals shall be not punished or exempted from punishment or subject to light or mitigated punishment according to applicable laws, regulations, rules and disciplines. Organizations or individuals committing any violations shall be punished according to applicable regulations and disciplines.

第五章 附则

Chapter V Supplementary Provisions

第十五条 本办法由海南省科技管理部门负责解释。

Article 15 These Measures shall be interpreted by the science and technology authorities of Hainan Province.

第十六条 本办法自2021年10月22日起实施，有效期三年。

Article 16 These Measures shall remain in force for 3 years from October 22, 2021.

 

附件：海南省科技型中小企业评价指标

Appendix: Indicators for the Evaluation of Science and Technology SMEs in Hainan Province

海南省科技型中小企业评价指标具体包括科技人员、研发投入、科技成果三类，满分100分。

Indicators for the evaluation of science and technology SMEs in Hainan Province include scientific and technical personnel, R&D investment, and scientific and technological achievements, with the full score being 100.

1. 科技人员指标(满分20分)。按科技人员数占企业职工总数的比例分档评价。

1. Scientific and technical personnel (full score: 20): score by grade according to the ratio of the number of scientific and technical personnel to the total number of employees of enterprises.

A. 30%(含)以上(20分)

A. 30% (inclusive) or above (20 scores)

B. 25%(含)-30%(16分)

B. 25% (inclusive) - 30% (16 scores)

C. 20%(含)-25%(12分)

C. 20% (inclusive) - 25% (12 scores)

D. 15%(含)-20%(8分)

D. 15% (inclusive) - 20% (8 scores)

E. 10%(含)-15%(4分)

E. 10% (inclusive) - 15% (4 scores)

F. 10%以下(0分)

F. Less than 10% (0 score)

研发投入指标(满分50分)。企业从(1)、(2)两项指标中选择一个指标进行评分。

R&D investment (full score: 50): enterprises can choose one of the two indicators (1) and (2) for scoring.

(1)按企业研发费用总额占销售收入总额的比例分档评价。

(1) Score by grade according to the ratio of total R&D expenditures to the total sales revenue of enterprises.

A. 6%(含)以上(50分)

A. 6% (inclusive) or above (50 scores)

B. 5%(含)-6%(40分)

B. 5% (inclusive) - 6% (40 scores)

C. 4%(含)-5%(30分)

C. 4% (inclusive) - 5% (30 scores)

D. 3%(含)-4%(20分)

D. 3% (inclusive) - 4% (20 scores)

E. 2%(含)-3%(10分)

E. 2% (inclusive) - 3% (10 scores)

F. 2%以下(0分)

F. Less than 2% (0 score)

(2)按企业研发费用总额占成本费用支出总额的比例分档评价。

(2) Score by grade according to the ratio of total R&D expenditures to the total costs and expenses of enterprises.

A. 30%(含)以上(50分)

A. 30% (inclusive) or above (50 scores)

B. 25%(含)-30%(40分)

B. 25% (inclusive) - 30% (40 scores)

C. 20%(含)-25%(30分)

C. 20% (inclusive) - 25% (30 scores)

D. 15%(含)-20%(20分)

D. 15% (inclusive) - 20% (20 scores)

E. 10%(含)-15%(10分)

E. 10% (inclusive) - 15% (10 scores)

F. 10%以下(0分)

F. Less than 10% (0 score)

3. 科技成果指标(满分30分)。按企业拥有的在有效期内的与主要产品(或服务)相关的知识产权类别和数量(知识产权应没有争议或纠纷)分档评价。

3. Scientific and technological achievements (full score: 30): score by grade according to the type and number of valid IPRs owned by enterprises (which shall be free of disputes or controversies) related to main products (services).

A. 1项及以上Ⅰ类知识产权(30分)

A. 1 or more Class I IPRs (30 scores)

B. 4项及以上Ⅱ类知识产权(24分)

B. 4 or more Class II IPRs (24 scores)

C. 3项Ⅱ类知识产权(18分)

C. 3 Class II IPRs (18 scores)

D. 2项Ⅱ类知识产权(12分)

D. 2 Class II IPRs (12 scores)

E. 1项Ⅱ类知识产权(6分)

E. 1 Class II IPR (6 scores)

F. 没有知识产权(0分)

F. No IPR (0 score)

科技型中小企业评价指标说明：

Notes on indicators for the evaluation of science and technology SMEs:

（一）企业科技人员是指企业直接从事研发和相关技术创新活动，以及专门从事上述活动管理和提供直接服务的人员，包括在职、兼职和临时聘用人员，兼职、临时聘用人员全年须在企业累计工作6个月以上。

(I) The scientific and technical personnel of an enterprise refer to personnel directly engaged in R&D and related technological innovation activities, as well as personnel specialized in the management of the above activities and the provision of direct services, including full-time, part-time and temporary employees. The part-time and temporary employees must work in the enterprise for more than 6 months throughout the year.

（二）企业职工总数包括企业在职、兼职和临时聘用人员。在职人员通过企业是否签订了劳动合同或缴纳社会保险费来鉴别，兼职、临时聘用人员全年须在企业累计工作6个月以上。

(II) The total number of employees of an enterprise includes the number of full-time, part-time and temporary employees of the enterprise. The full-time employees can be determined by whether the enterprise has signed a labor contract with them or paid social insurance premiums for them. The part-time and temporary employees must work in the enterprise for more than 6 months throughout the year.

（三）企业研发费用是指企业研发活动中发生的相关费用，具体按照财政部 国家税务总局 科技部《关于完善研究开发费用税前加计扣除政策的通知》(财税〔2015〕119号)有关规定进行归集。

(III) The R&D expenditures of an enterprise refer to relevant expenses incurred by the R&D activities of the enterprise. The expenditures shall be attributed according to the Notice of the Ministry of Finance, the State Administration of Taxation and the Ministry of Science and Technology on Improving the Policies for the Weighted Pre-tax Deduction of R&D Expenditures (Cai Shui [2015] No. 119).

（四）企业销售收入为主营业务与其他业务收入之和。

(IV) The sales revenue of an enterprise is the sum of the revenues from its main businesses and other businesses.

（五）知识产权采用分类评价，其中：发明专利、植物新品种、国家级农作物品种、国家新药、国家一级中药保护品种、集成电路布图设计专有权按Ⅰ类评价;实用新型专利、外观设计专利、软件著作权按Ⅱ类评价。

(V) IPRs shall be evaluated by categories, where patents for inventions, new varieties of plants, national crop varieties, national new drugs, national first-class protected varieties of traditional Chinese medicine, and exclusive rights to the layout design of integrated circuits shall be evaluated as Class I IPRs. Patents for utility models, design patents and software copyrights shall be evaluated as Class II IPRs.

（六）企业主导制定国际标准、国家标准或行业标准是指企业在国家标准化委员会、工业和信息化部、国际标准化组织等主管部门的相关文件中排名起草单位前五名。

(VI) Enterprises leading the development of international standards, national standards or industry standards refer to enterprises which are top five drafters as stated in relevant documents of the Standardization Administration of China, the Ministry of Industry and Information Technology, the International Organization for Standardization and other competent authorities.

（七）省部级以上研发机构包括国家(省、部)重点实验室、国家(省、部)工程技术研究中心、国家(省、部)工程实验室、国家(省、部)工程研究中心、国家(省、部)企业技术中心、国家(省、部)国际联合研究中心等。

(VII) Provincial and ministerial R&D institutions include national (provincial and ministerial) key laboratories, national (provincial and ministerial) engineering technology R&D centers, national (provincial and ministerial) engineering laboratories, national (provincial and ministerial) engineering research centers, national (provincial and ministerial) enterprise technology centers, national (provincial and ministerial) or international joint research centers.