China: 产学研合作与IPO的邂逅(一)——高校教职工兼职问题

Last Updated: 25 June 2019
Article by Wang Zicheng
Most Read Contributor in China, July 2019

前言

产学研合作中,发行人通过技术出资、技术转让、技术许可等方式接受高校或高校教职工的技术供给,通过委托开发、共同开发、技术咨询、高校教职工兼职等方式接受高校或高校教职工的技术服务供给,并通过股权、现金等方式回报高校及高校教职工。其中,高校教职工兼职可能涉及兼职本身的合法性问题以及发行人人员独立性问题,高校或高校教职工持股可能涉及股东资格及股权变动合法性问题,技术流转及研发合作可能涉及技术权属瑕疵、技术及研发独立性问题。

本文分三期分别讨论高校教职工兼职、高校及其教职工持股、技术与研发等有关问题,试图就IPO中的产学研问题提出分析框架及核查、整改方案,并提供对应的法条及案例索引,谨供各位律师同仁参考。但由于笔者学识所限,文中若有纰漏,恳请各位大家批评指正。本文讨论仅限于拟在境内申请上市的发行人接受境内公办高校及其教职工技术供给或技术服务供给的情形。

一、高校教职工在发行人兼职的合法性

(一)未担任领导职务的高校教职工兼职合法性

综合现有法律、法规及其他规范性文件的规定,未担任领导职务的高校教职工(以下简称"普通教职工")在高校批准且不影响教学科研本职工作的前提下,可以有偿在企业从事科技成果转化或者离岗创业,而无论该等企业是否有高校投资。其中,关于前述"有偿在企业从事科技成果转化"是否仅覆盖企业技术岗位,抑或是另包含董事、监事、高级管理人员岗位,现有法律、法规及其他规范性文件并未明确规定。但《中共中央办公厅、国务院办公厅<关于实行以增加知识价值为导向分配政策的若干意见>》第六条规定,科研人员在履行好岗位职责、完成本职工作的前提下,经所在单位同意,可以到企业和其他科研机构、高校、社会组织等兼职并取得合法报酬。已上市案例中,发行人及中介机构援引高校教师兼职从事科技成果转化的有关规定解释产学研合作中普通教职工兼任发行人董事、监事、高级管理人员的合法性一般得到证监会认可。普通教职工兼任发行人独立董事的,其独立董事任职资格通常亦未因其高校教职工身份而受到质疑。除前述情形外,普通教职工兼职违反《事业单位工作人员处分暂行规定》第十八条第一款第六项规定的,或者违反其与高校之间约定的,不具备合法性。已上市案例中,中威电子、科大智能、华中数控、吉大通信、津膜科技等在申报时或者报告期存在普通教职工兼任发行人技术岗位、董事、监事、高级管理人员的情况。

(二)担任领导职务的高校教职工兼职合法性

综合现有法律、法规及其他规范性文件的规定,担任领导职务的高校教职工(以下简称"领导干部")原则上不得在发行人兼职,除非按规定批准或者辞职;领导干部即便按规定被批准在发行人兼职,亦不得在发行人处获得任何报酬,且兼职不得超过1个;校级领导除在高校资产公司兼职外,一律不得在高校控、参股企业中兼职。中纪委法规室解释,事业单位中的"党员领导干部",包括事业单位(未列入参照公务员法管理范围)领导班子和其他六级以上管理岗位的中共党员。

综合现有法律、法规及其他规范性文件的规定,辞去公职或者退(离)休的领导干部在发行人兼职(任职)应当向原所在高校党委报告;但领导干部辞去公职或者退(离)休后三年内拟到与其原任职务管辖的地区或业务范围内的发行人兼职(任职)应当报原所在高校党委批准。

就已上市案例观察,康尼机电、博云新材、博世科等在申报时或申报前存在高校领导干部兼任发行人职务的情况;其中,康尼机电、博云新材为高校投资或控股的企业,博世科非高校投资的企业。博云新材通过高校领导干部辞去发行人职务解决其兼职合法性问题。博世科在申报过程中,取得广西大学书面文件并据以解释兼职的二级学院院长不属于高校领导干部,但并未得到证监会认可,最终通过当事人辞去高校领导职务解决其兼职合法性问题;证监会并未另就辞职后"冷却期"提出异议。康尼机电未见领导干部兼职的详细解释。

(三)小结

律师核查发行人高校教师兼职合法性可以关注以下方面:1、兼职的高校教职工在高校的职务及履历,是否现任或曾经担任领导职务;2、发行人是否属于高校科技产业,是否受高校控制;3、在发行人兼职的岗位是否为技术岗位、董事、监事、高级管理人员,是否与科技技术成果转化有关;4、在发行人兼职是否有偿;5、包含发行人兼职在内的兼职数量;6、在发行人兼职是否得到高校批准或事后确认;7、在发行人兼职是否影响兼职人在高校的教学科研工作;8、法律、法规及其他规范性文件,或者兼职的高校教职工与高校之间的约定是否存在限制或禁止兼职的情形。

结合现行法律、法规及其他规范性文件及已上市案例,普通教职工在得到高校批准及不影响高校教学科研工作的前提下,在发行人有偿兼任董事、监事、高级管理人员、技术岗位从事科技成果转化,不违反法律、法规、其他规范性文件特殊规定或者其与高校约定的,无论发行人是否属高校科技产业,均具备合法性。高校教职工为领导干部的,或者兼职并非从事科技成果转化的,或者兼职未得到学校批准或事后确认的,或者兼职影响了在高校的教学科研工作的,兼职合法性均可能存在障碍。此外,辞职或退(离)休的领导干部在发行人任职应当遵守"冷却期"、利益回避、审批或报告规定。

存在合法性障碍的兼职应当通过辞去高校职务或者发行人职务、补全审批或报告手续等方式予以整改,并论证不构成发行人重大违法行为,消除申报上市的实质性障碍。合法的兼职亦须综合考虑人员独立性、技术团队稳定性等因素,决定是否须加以整改。

二、高校教职工兼职与发行人人员独立性

(一)人员独立性问题的核查要点

就已上市案例观察,即便发行人未受高校控制,发行人员工特别是技术岗位员工曾经或当时在高校兼职的,或者发行人员工在高校停薪留职但保留在高校事业编制及组织关系的,证监会常就高校教职工在申报前或申报时的兼职问题在人员独立性方面提出反馈意见。据此,律师核查高校教职工兼职有关的发行人人员独立性问题,可关注以下要点:1.须核查的发行人包含高校或高校控制的企业所投资的企业,亦包含高校或高校控制的企业未投资的企业;2.须核查的兼职人员包含在申报时仍存在兼职的人员,亦包含申报前已经消除兼职的人员;3.须核查的发行人岗位包含高级管理人员、财务人员,亦包含技术人员特别是核心技术人员;4.发行人未受高校控制的,重点核查技术人员的独立性;5.发行人受高校控制的,须核查高级管理人员、财务人员及技术人员的独立性。

(二)人员独立性问题的整改要点

现行法律、法规及其他规范性文件关于发行人人员独立性的规定显然与高校教职工可有偿在企业兼职从事科技成果转化的规定存在一定冲突。发行人申报时,董事、监事、高级管理人员、核心技术人员在高校兼职具备合法性但影响发行人的人员独立性的,仍须整改。就此问题,实践中一般有维持兼职、停薪留职、辞职三种处理方案。

1.维持兼职

此种方案具体指维持高校兼职教职工在高校及发行人的职务不变,且可能在双方领取薪酬,如科大智能、中威电子。此外,博世科申报前期维持兼职,但因兼职合法性受到质疑而改为辞职方案。

发行人受高校控制的,维持兼职违反现行法律、法规及其他规范性文件关于发行人人员独立性的要求,法律上应不可行。发行人未受高校控制的,维持兼职并未被现行法律、法规及其他规范性文件明确禁止,且实质上难以影响发行人的人员独立性。但鉴于已上市案例中维持兼职的情况较罕见,发行人基于规避风险的考虑往往并不倾向于采用此方案。

2.停薪留职

此种方案具体指高校兼职教职工从高校停薪留职但保留在高校的事业编制及组织关系,如华中数控、康尼机电、科创信息、石大胜华、苏大维格、天喻信息、运达科技。前述案例中,既有高校控制企业亦有非高校控制企业,既有早期案例亦有近期案例。大部分案例的停薪留职安排发生在申报前较短时间,少量案例的停薪留职安排发生在申报过程中。此外,吉大通信作为高校控制的企业,前期遵循先例安排兼职人员在高校停薪留职但未被接受,在后期反馈中整改为辞职。

根据《实施<促进科技成果转化法>若干规定》第二条第七款、《教育部关于积极发展、规范管理高校科技产业的指导意见》第二十七条的规定,高校教职工兼职到企业等从事科技成果转化活动,或者离岗创业,可保留高校事业编制;在高校投资企业任职从事科技成果转化的,事业编制保留期限无限制;离岗创业或者在非高校投资企业任职从事科技成果转化的,事业编制原则上保留不超过3年。因此,兼职人员从高校停薪留职并保留高校事业编制符合规定。

3.辞职

此种方案具体指从高校离职或者从发行人离职。如克来机电、博世科、吉大通信兼职人员选择辞去高校职务,博云新材部分兼职人员担任高校领导后选择辞去发行人职务。大部分案例的辞职安排发生在申报前较短时间,少量案例的辞职安排发生在申报过程中。

辞职方案显然可彻底解决人员独立性问题,但对于发行人、当事教职工影响甚大,发行人及当事教职工往往较为迟疑,整改阻力较大。且从商业角度考虑,发行人对于当事教职工的技术服务需求并不必然因为当事人辞职而消失;兼职教职工辞去发行人职务但保留其持有的发行人股权的,辞职真实性较易受到质疑。

 三、高校教职工兼职与发行人核心团队稳定性

兼职教职工为发行人核心技术人员或者董监高的,兼职本身显然对发行人技术团队、管理团队稳定性存在影响,并进一步影响发行人经营可持续性。就此问题,律师可核查兼职教职工与发行人之间是否存在有效、稳定的劳动关系。此外,发行人通过员工持股计划、股权激励计划、科技成果转化奖励等方式,实现兼职人员持股,可进一步保障核心团队的稳定。

四、总 结

发行人存在高校教职工兼职情形的,须核查兼职合法性问题及与兼职有关的人员独立性问题、团队稳定性问题。应综合考虑合法性、独立性及团队稳定性的要求,选用辞职、停薪留职、维持兼职等整改方案。为保障技术团队稳定性,发行人应当与留任的有关人员之间建立并保持有效、稳定的劳动关系。

附录一:发行人高校教职工兼职问题所涉及的案例索引

附录二:发行人高校教职工兼职问题所涉及的法条索引

一、关于高校普通教师兼职

《中华人民共和国促进科技成果转化法》

第二十七条国家鼓励研究开发机构、高等院校与企业及其他组织开展科技人员交流,根据专业特点、行业领域技术发展需要,聘请企业及其他组织的科技人员兼职从事教学和科研工作,支持本单位的科技人员到企业及其他组织从事科技成果转化活动。

《实施<中华人民共和国促进科技成果转化法>若干规定》

二、激励科技人员创新创业

(七)国家设立的研究开发机构、高等院校科技人员在履行岗位职责、完成本职工作的前提下,经征得单位同意,可以兼职到企业等从事科技成果转化活动,或者离岗创业,在原则上不超过3年时间内保留人事关系,从事科技成果转化活动。研究开发机构、高等院校应当建立制度规定或者与科技人员约定兼职、离岗从事科技成果转化活动期间和期满后的权利和义务。离岗创业期间,科技人员所承担的国家科技计划和基金项目原则上不得中止,确需中止的应当按照有关管理办法办理手续。

积极推动逐步取消国家设立的研究开发机构、高等院校及其内设院系所等业务管理岗位的行政级别,建立符合科技创新规律的人事管理制度,促进科技成果转移转化。

《教育部关于积极发展、规范管理高校科技产业的指导意见》

27.各高校要制定相关政策,鼓励科研人员和教职工积极参与科技成果转化和产业化工作,并将参与该项工作的绩效作为评聘、任用教职员工的依据。要在学校和产业之间建立开放的人员流动机制,实行双向流动。今后高校可根据实际需要向企业委派技术骨干和主要管理人员,这部分人员仍可保留学校事业编制。在企业工作的学校事业编制人员的工资晋升、提拔任用、职务职称评聘等,要结合企业工作特点进行。

《中共中央办公厅、国务院办公厅<关于实行以增加知识价值为导向分配政策的若干意见>》

六、允许科研人员和教师依法依规适度兼职兼薪

(一)允许科研人员从事兼职工作获得合法收入。科研人员在履行好岗位职责、完成本职工作的前提下,经所在单位同意,可以到企业和其他科研机构、高校、社会组织等兼职并取得合法报酬。鼓励科研人员公益性兼职,积极参与决策咨询、扶贫济困、科学普及、法律援助和学术组织等活动。科研机构、高校应当规定或与科研人员约定兼职的权利和义务,实行科研人员兼职公示制度,兼职行为不得泄露本单位技术秘密,损害或侵占本单位合法权益,违反承担的社会责任。兼职取得的报酬原则上归个人,建立兼职获得股权及红利等收入的报告制度。担任领导职务的科研人员兼职及取酬,按中央有关规定执行。经所在单位批准,科研人员可以离岗从事科技成果转化等创新创业活动。兼职或离岗创业收入不受本单位绩效工资总量限制,个人须如实将兼职收入报单位备案,按有关规定缴纳个人所得税。

二、关于高校领导干部兼职

《教育部关于积极发展、规范管理高校科技产业的指导意见》

23.高校设立高校资产公司后,校级领导除在高校资产公司兼职外,一律不得在高校控、参股企业中兼职,校级领导在高校资产公司兼职不得领取薪酬;除作为技术完成人,今后高校领导干部不得通过奖励性渠道持有高校企业的股份。

《关于进一步规范党政领导干部在企业兼职(任职)问题的意见》(中组发〔2013〕18号)

一、现职和不担任现职但未办理退(离)休手续的党政领导干部不得在企业兼职(任职)。

二、对辞去公职或者退(离)休的党政领导干部到企业兼职(任职)必须从严掌握、从严把关,确因工作需要到企业兼职(任职)的,应当按照干部管理权限严格审批。

辞去公职或者退(离)休后三年内,不得到本人原任职务管辖的地区和业务范围内的企业兼职(任职),也不得从事与原任职务管辖业务相关的营利性活动。

辞去公职或者退(离)休后三年内,拟到本人原任职务管辖的地区和业务范围外的企业兼职(任职)的,必须由本人事先向其原所在单位党委(党组)报告,由拟兼职(任职)企业出具兼职(任职)理由说明材料,所在单位党委(党组)按规定审核并按照干部管理权限征得相应的组织(人事)部门同意后,方可兼职(任职)。

辞去公职或者退(离)休后三年后到企业兼职(任职)的,应由本人向其原所在单位党委(党组)报告,由拟兼职(任职)企业出具兼职(任职)理由说明材料,所在单位党委(党组)按规定审批并按照干部管理权限向相应的组织(人事)部门备案。

三、按规定经批准在企业兼职的党政领导干部,不得在企业领取薪酬、奖金、津贴等报酬,不得获取股权和其他额外利益;兼职不得超过1个;所兼任职务实行任期制的,任期届满拟连任必须重新审批或备案,连任不超过两届;兼职的任职年龄界限为70周岁。

四、按规定经批准到企业任职的党政领导干部,应当及时将行政、工资等关系转入企业,不再保留公务员身份,不再保留党政机关的各种待遇。不得将行政、工资等关系转回党政机关办理退(离)休;在企业办理退(离)休手续后,也不得将行政、工资等关系转回党政机关。

《中共教育部党组关于进一步加强直属高校党员领导干部兼职管理的通知》(教党[2011]22号)

三、直属高校校级党员领导干部原则上不得在经济实体中兼职,确因工作需要在本校设立的资产管理公司兼职的,须经学校党委(常委)会研究决定,并按干部管理权限报教育部审批和驻教育部纪检组监察局备案。

六、直属高校处级(中层)党员领导干部原则上不得在经济实体和社会团体等单位中兼职,确因工作需要兼职的,须经学校党委审批。

七、经批准在经济实体、社会团体等单位中兼职的直属高校党员领导干部,不得在兼职单位领取任何报酬。

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