Chapter 1: General Provisions
Article 1: These Measures are formulated to implement the "National Innovation-Driven Development Strategy Outline," promote mass entrepreneurship and innovation, accelerate the development of science and technology-based small and medium-sized enterprises (SMEs) in Yunnan Province, and standardize the filing and management of such enterprises in Yunnan Province, in accordance with the "Measures for the Evaluation of Science and Technology-Based SMEs" issued by the Ministry of Science and Technology and the "Implementation Plan for the 'Six Ones' Action to Deepen the Reform of 'Delegating Powers, Streamlining Administration, and Improving Services' in Yunnan Province" issued by the General Office of the Yunnan Provincial People’s Government.
Article 2: For the purposes of these Measures, “technology-based small and medium-sized enterprises” refers to small and medium-sized enterprises that rely on a certain number of scientific and technical personnel to engage in scientific and technological research and development activities, acquire independent intellectual property rights, and transform them into high-tech products or services, thereby achieving sustainable development.
Article 3: The Yunnan Provincial Department of Science and Technology is responsible for the filing and management of science and technology-based SMEs in Yunnan Province; the science and technology administrative departments of prefectures (cities) are responsible for the organization, acceptance, review, service, and management of science and technology-based SMEs seeking filing within their respective jurisdictions, as well as the implementation of relevant support policies.
Chapter II: Filing Requirements
Article 4: Entities meeting the following conditions may apply for registration as a science and technology-based SME in Yunnan Province:
(1) Resident enterprises legally registered within Yunnan Province.
(2) Meet the classification standards for small and medium-sized enterprises, specifically: industrial enterprises with fewer than 1,000 employees or annual revenue of less than 400 million yuan; agricultural enterprises with annual revenue of less than 200 million yuan; and enterprises in the service sector and other industries with fewer than 300 employees or annual revenue of less than 100 million yuan.
(3) The enterprise is directly engaged in product manufacturing or the provision of technical services, and technical personnel with a college degree or higher account for no less than 10% of the total workforce.
(4) The enterprise must have a certain level of investment in scientific and technological R&D funding and the capacity to continuously carry out scientific and technological innovation activities.
(5) The enterprise must possess at least one independent intellectual property right, scientific and technological achievement, proprietary technology, or advanced knowledge, including: patents (pending or granted), new drug certificates, new plant varieties, crop varieties, nationally protected traditional Chinese medicine varieties, integrated circuit layout designs, computer software copyrights, registered scientific and technological achievements, or other proprietary technologies; or the enterprise must have won an award in the Yunnan Province Innovation and Entrepreneurship Competition.
(6) The enterprise has not experienced any major safety incidents, major quality incidents, serious environmental violations, or serious research misconduct in the previous year or the current year, and the enterprise is not listed on the Business Abnormal Operations List or the List of Seriously Law-Breaking and Dishonest Enterprises.
Chapter III: Filing Procedures
Article 5: The filing work for science and technology-based small and medium-sized enterprises in Yunnan Province shall be organized and implemented by the Yunnan Provincial Department of Science and Technology, adopting a batch-based filing and acceptance approach.
Article 6: Any enterprise meeting the filing criteria set forth in these Measures may log in to the Yunnan Provincial Science and Technology Management Information System to independently complete the “Yunnan Provincial Science and Technology-Based SME Filing Information Form” (Appendix 1) online and upload the required supporting documents.
Article 7: The science and technology management departments of each prefecture (city) shall review the submitted enterprise application information and uploaded supporting documents in the online system on a quarterly basis. Applications with objections or that do not meet the filing criteria shall be returned via the filing management system with a statement of reasons. Applications that meet the filing criteria after review shall be endorsed with an opinion and submitted to the Yunnan Provincial Department of Science and Technology for filing.
Article 8: Upon receiving the list of enterprises submitted for filing by the science and technology administrative departments of each prefecture (city), the Yunnan Provincial Department of Science and Technology shall publish the list in batches. The public notice period shall be 5 working days. Enterprises for which no objections are raised during the public notice period shall be assigned a registration number for technology-based small and medium-sized enterprises and issued an electronic filing certificate; such enterprises may download and print the filing certificate themselves via the service platform. For those with objections, the science and technology administrative departments of the respective prefectures (cities) shall organize relevant units to verify and address the issues.
Chapter IV: Management of Filed Enterprises
Article 9: Science and technology-based small and medium-sized enterprises in Yunnan Province are subject to dynamic management. Enterprises that have been filed shall promptly update their annual data each year and submit relevant materials as required.
Article 10: If a registered enterprise changes its name or experiences significant changes related to the conditions specified in Chapter II, it shall report such changes through the registration management system within three months.
Article 11: The registration certificate is valid for three years. Upon expiration, the registered enterprise may obtain a new certificate after updating its annual data.
Article 12: If a registered enterprise engages in any of the following acts, the Yunnan Provincial Department of Science and Technology shall revoke its status as a Yunnan Provincial Science and Technology SME and announce such revocation on the registration management system:
(1) The enterprise undergoes significant changes and no longer meets the conditions specified in Chapter II;
(2) Engaging in serious acts of fraud;
(3) Engaging in serious acts of scientific and technological misconduct;
(4) The enterprise has experienced major safety or quality incidents, or has committed serious environmental violations;
(5) The enterprise is included in the list of businesses with abnormal operations or the list of enterprises with serious violations and loss of integrity;
(6) An enterprise on record that has failed to update its annual data for two consecutive years;
(7) Enterprises that have committed other violations or illegal acts.
If prefectural (municipal) science and technology administrative departments discover that science and technology-based small and medium-sized enterprises within their jurisdiction have any of the above issues, they must promptly report them to the Yunnan Provincial Department of Science and Technology.
Chapter 5: Support Measures
Article 13: Project Support. Under equal conditions, Yunnan Province’s science and technology-based SMEs shall be recommended on a merit basis to apply for national science and technology-based SME status and national-level science and technology program projects. Additionally, Yunnan Province’s science and technology-based SMEs that meet certain criteria shall be included in the High-Tech Enterprise Certification Cultivation Pool on a merit basis.
Article 14: Financial Support. Cooperate with financial institutions to actively promote special subsidy programs for the integration of science and technology with finance, and provide subsidies on a merit-based basis for financing and technology insurance for science and technology-based SMEs.
Article 15: Platform Support. We encourage and guide key laboratories, engineering and technology research centers, analytical testing platforms, large-scale instrument collaboration networks, and other science and technology infrastructure platforms to open their facilities to Yunnan’s science and technology-based SMEs for free or at low cost. We encourage Yunnan’s science and technology-based SMEs to establish operations in science and technology business incubators and co-working spaces, and support various mass entrepreneurship and innovation incubation platforms in providing low-cost, comprehensive, all-element, high-quality services or resource sharing to science and technology-based SMEs.
Article 16: Talent Support. Provide talent and intellectual support to Yunnan’s technology-based SMEs through mechanisms such as science and technology special envoys, innovation and entrepreneurship talent, and academician expert workstations; encourage Yunnan’s technology-based SMEs to cultivate and recruit talent through various means.
Article 17: Information Services. An information service platform shall be established to provide registered science and technology-based SMEs in Yunnan Province with information and consulting services regarding policies, scientific and technological literature, patents and standards, technological innovation, technology transfer, and corporate competitive intelligence.
Chapter VI: Supplementary Provisions
Article 18. These Measures shall take effect on May 24, 2020, and remain valid until May 25, 2025. The Yunnan Provincial Department of Science and Technology shall have the authority to interpret these Measures. The "Measures for the Recognition of Science and Technology-Based Small and Medium-Sized Enterprises in Yunnan Province (Trial)" (Yun Ke Gui [2018] No. 11), issued on May 8, 2018, is hereby repealed.
