Two sets of new measures have been issued in June 2008 (namely Measures for the Administration of Prohibited and Restricted Technology Import and Measures for the Administration of Import and Export Contracts Registration) which are likely to have a material, practical affect upon technology licenses and transfers to and from China. In November 2007, the Ministry of Commerce updated the Category of Prohibited and Restricted Technology Import.

The measures are a mix of devolution (i.e. the regulations delegate responsibility down to regional Bureaux of Commerce); increased regulation and supervision on the one hand but relaxation in other regards.

By Mark Schaub, Partner Shanghai Office of King & Wood，FDI   

 

Conditions to be Considered – the regulations introduce factors for the authorities considerations such as whether an import will unfavorably influence the PRC domestic industry’s development, adverse affect upon public morality or environment.

Validity Period – restricted technologies will first need approval. Parties will only be entitled to sign an import contract after the Proposal for Technology Import License has been issued. The amended Article 9 states that the validity period for the Proposal for Technology Import License will be set within the range of one to three years. As the previous law did not set limits it is not clear what this restriction will mean in practice.

Procedural Changes – technology licenses should complete on-line registration with a MOFCOM website before an applicant can collect a Technology Import License. Such on-line registration must be finished within 30 days after the execution of the technology import agreement. If the technology license foresees a payment then such 30 day on-line registration will not be used for the calculation. The contract will need to be filed again within 30 days after the first year total turnover basis has been calculated, i.e. one year later. From that point on, the registration shall be renewed as the actual turnover may vary year from year.

Requirements in respect of free technology transfers have been relaxed. Under current law the technology importer or exporter should re-register any amendment to a free technology import or export contract. The June 2008 amendments simplify this by requiring the technology importer or exporter to comply with an amendment recordal procedure rather than re-registering. However, the current practice of the vast majority of companies in China – i.e. doing nothing – is simpler still. However, a failure to follow up properly will make taking legal action against a breaching importer more difficult still.
 

 

两部新技术进出口法规引起关注

 

作者：肖马克，合伙人 金杜律师事务所上海分所，公司组外商投资部

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2008年6月颁布的两个新的法规（即《禁止进口限制进口技术管理办法》，《技术进出口合同登记管理办法》）很可能会对中国技术进出口许可和转让实践产生实质性影响。2007年11月，商务部更新了《中国禁止进口限制进口技术目录》。

 

    两法规规定了权力下放（即，将一些职责下放到地方的商业局），并在加强了规范和监管的同时，也在其他方面有所放松。

 

 

    应考虑的条件－法规指出了有关权利机关应当考虑的因素，比如说，一项技术进口是否会给中国国内工业的发展带来不利的影响，是否对公共道德和环境带来负面的影响。

 

    有效期限－限制进口的技术首先应当获得审批。双方只有在领取了技术进口许可意向书之后才有权签署进口合同。修改后的第九条规定技术进口许可意向书的有效期限为1到3年。由于旧法对此没有设限，所以此限制会在实践中产生什么影响还不清楚。

 

    程序的变化－申请人应在商务部网站上进行在线登记而后可以领取技术许可证。该在线登记必须在技术进口协议签署后30天之内完成。如果技术许可需要支付费用，则在线登记中可以不包含对费用计算的内容。合同应在第一年的总营业额形成后30天内登记，即1年以后。在此之后，由于实际的提成基数金额每年都不同，登记则应当每年更新。

 

    法规对于自由技术转让的要求有所放松。在现行法律的相关规定中，技术进出口商应当对自由技术进出口合同的任何修改进行再登记。2008年6月的修改简化了这一程序，不要求技术进出口商进行再登记，只需就修改进行备案。然而，目前中国大部分公司都未遵守这一备案要求，多数什么也不做。但是，这样做的结果往往导致很难对违约进口商采取法律行动。