Guidelines on Registration Services for Contracts for Freely Exported Technologies
Sichuan Provincial Department of Commerce2019-05-20
I. Legal Basis

(I) Article 39 of the Administrative Regulations of the People's Republic of China on Technology Import and Export (Order of the State Council No.331) specifies "Freely exportable technology shall be subject to the contract registration administration. A contract for freely exporting a technology takes effect from the time when the contract is established according to law without taking the registration thereof as a condition for the contract to be effective."

(II) Article 5 of the Administrative Measures for Registration of the Contracts for Import or export of Technologies (Order of the Ministry of Commerce [2009] No.3) specifies: "The competent commerce authorities of provinces, autonomous regions, municipalities directly under the administration of the Central Government, and cities specifically designated in the State plan are in charge of the administration on registration of the contracts for freely imported or exported technologies other than those stipulated in Article 4 hereof. The enterprises under administration of the Central Government shall register with the competent commerce authorities of the provinces, autonomous regions, municipalities directly under the administration of the Central Government, and cities specifically designated in the State plan where they located for the contracts for freely imported or exported technologies."

(III) Where modifying the registration contents of registered contracts for freely imported or exported technologies stipulated in Article 10 of the Administrative Measures for Registration of the Contracts for Import or export of Technologies (Order of the Ministry of Commerce [2009] No.3), the operators of technology import or export shall go through procedures for modification of contracts. When going through the procedures for modification of contracts, the operators of technology import or export shall log on the "Information Administration System of Contracts for Technology Import and Export" and fill in the modification record sheet of contract data, and shall go through the relevant procedures with competent commerce authorities by producing the modification agreement for contract and the modification record sheet of contract data. The competent commerce authorities shall, within 3 days upon the receipt of complete modification application documents, go through the procedures for modification of contracts.

II. Application Requirements

Domestic enterprises, foreign-invested enterprises, scientific research institutions and so on with qualifications for import and export.

III. Application Materials

(I) Application materials for registration of contracts for technology export

1. The written report on the application for the Certificate of Registration of Contract for Technology Export (it shall be formally submitted to relevant department of commerce in the name of the exporter of technology, specify the numbers of relevant companies, and mainly include profiles of both parties to the contract, the introduction to relevant project and contract contents such as amount and the period of validity; for a contract with the form of royalty, the calculation method of royalty fees shall be set out in detail and corresponding bases shall be provided; and, undertakings to the authenticity of application materials).

2. The application form of the contract for technology export and data sheet.

3. The contract for technology export (copy) and Chinese translation thereof.

4. The filing registration form of relevant foreign trade operator of technology export (or the certificate of qualification for import and export or the certificate of approval for foreign-invested enterprise) (copy).

5. The business license of Chinese enterprise as legal person (copy).

6. The copy of subject qualification certification of transferee of the technology (or business registration document, etc.), and if the subject qualification certification is in foreign language, Chinese translation thereof shall be submitted.

All the application materials shall be affixed with the seal of the applicant concerned, and electronic versions thereof shall be submitted too. For those documents and certificates, the originals shall be submitted if it is not clearly required that the copies of such documents and certificates need to be submitted; and if the copies are submitted, the applicant shall indicate on each copy that "This copy conforms to the original upon verification" and affix its seal to each copy.

(II) Application materials for the registration of modification of contracts for technology export

If any information in the Certificate of Registration of Contract for Technology Export is modified, the registration of modification shall be conducted and the following materials shall be submitted:

1. the written report on the application for the modification of the Certificate of Registration of Contract for Technology Export (it shall be formally submitted to relevant department of commerce in the name of the exporter of technology, specify the numbers of relevant companies, and mainly include the name of the contract to be modified, the number of registration certificate already obtained, the reason for modification, modification basis and modification content such as amount or the period of validity);

2. modification basis (e.g. the modification agreement arrived at by and between both parties) (copy);

3. original contract (copy); and

4. copies of the Certificate of Registration of Contract for Technology Export and Data Sheet to be modified.

All the application materials shall be affixed with the seal of the applicant concerned, and electronic versions thereof shall be submitted too. For those documents and certificates, the originals shall be submitted if it is not clearly required that the copies of such documents and certificates need to be submitted; and if the copies are submitted, the applicant shall indicate on each copy that "This copy conforms to the original upon verification" and affix its seal to each copy.

IV. Handling Procedures

(I) An applicant shall submit the application materials to the "Window for the Department of Commerce" of the government affairs service platform of the Sichuan Provincial Government Affairs Service and Public Resources Exchange Service Center.

(II) The Sichuan Provincial Department of Commerce will make a decision whether to register. If the registration is allowed, the Certificate of Registration of Contract for Technology Export will be issued; if the registration is not allowed, a reason will be given in writing.

(III) A receiver shall get handling result at the Window for the Department of Commerce by virtue of the ID card thereof and relevant notice of acceptance.

(IV) After collecting all exchanges, an enterprise needs to submit the Certificate of Registration of Contract for Technology Export (copy), Date Sheet (copy) and the notice of collection of exchanges (copy) to the Sichuan Provincial Department of Commerce (the Window for the Department of Commerce of the Sichuan Provincial Government Affairs Service and Public Resources Exchange Service Center) for filing within 15 working days.

V. Period for Handling

(I) Statutory period: 3 working days (Article 9 of the Administrative Measures for Registration of the Contracts for Import or export of Technologies).

(II) Commitment period: 3 working days (except for the situation of any system failure).

VI. Charging Basis and Standards

Free of charge.

VII. Certificates Required for Examination and Approval

Certificate of Registration of Contract for Technology Export

VIII. Quantitative Restriction

None.

IX. Contact Information

(I) Tel.: Window for the Department of Commerce (028) 86936855  86918020

(II) Online affairs-handling halls

Sichuan Government Affairs Service Hall: www.sczwfw.gov.cn

Sichuan Provincial Department of Commerce: swt.sc.gov.cn

Application Form of the Contract for Technology Export

Data Sheet of the Contract for Technology Export

(III) Complaints hotlines

For Sichuan Provincial Office of Administrative Efficiency: 028-96960

For Sichuan Provincial Government Affairs Service and Public Resources Exchange Service Center: 028-86936179

For Sichuan Provincial Department of Commerce: (028) 83220487  83221124

X. Matters Needing Attention

(I) An operator of technology import or export shall go through the contract registration formalities within 60 days after validation of relevant contract, except the contract with loyalty as the form of payment.

(II) For a contract with loyalty as the form of payment, the operator of technology export shall, within 60 days after the formation of the first loyalty benchmark amount, fulfill contract registration formalities, and after the subsequent formation of each loyalty benchmark amount, go through the procedures for modification of the contract.