1. policy background

Specialized and special new enterprises refer to small and medium-sized enterprises with strong innovation ability and market competitiveness in specific market segments, and are the key objects of gradient cultivation of national high-quality small and medium-sized enterprises. The cultivation and identification of specialized and special new enterprises is an important measure to implement the spirit of General Secretary Xi Jinping's important instructions on "cultivating a number of 'specialized and special new' small and medium-sized enterprises" and enhancing the innovation ability of small and medium-sized enterprises, and to promote the high-quality development of small and medium-sized enterprises in accordance with the decision-making and deployment of the report of the 20th CPC National Congress.

In 2018, the Ministry of Industry and Information Technology issued the Interim Measures for the Administration of Gradient Cultivation of High-quality Small and Medium-sized Enterprises (hereinafter referred to as the Measures), which clarified the identification standards, application procedures, and management requirements for specialized and special new enterprises. The cultivation and identification of special new enterprises provide unified norms and guidelines. The "Measures" divide specialized and special new enterprises into two levels, namely specialized and special new small and medium-sized enterprises and specialized and special new "little giant" enterprises, which correspond to different identification standards and management methods. Specialized and special new small and medium-sized enterprises refer to small and medium-sized enterprises with strong innovation ability and market competitiveness in specific market segments. Specialized and special new "small giant" enterprises refer to small and medium-sized enterprises with strong innovation ability and market competitiveness in specific market segments, and have formed a certain scale effect and brand influence.

The Measures stipulate that the application conditions for specialized and special new enterprises include prerequisites, basic conditions and direct conditions. The direct condition means that the enterprise meets certain indicators such as scientific and technological innovation, R & D investment or financing scale, and can directly pass the application review without the need for evaluation indicators to calculate scores. The measures also stipulate that the declaration and recommend of specialized new enterprises shall be carried out by combining online reporting with offline reporting, and the competent department of small and medium-sized enterprises at the provincial level shall organize preliminary examination and recommend, and the Ministry of Industry and Information Technology shall organize experts to review and publicize, and finally determine the list of specialized new enterprises.

2. declaration process

The application process for specialized new enterprises is generally divided into the following steps:

-The first step, the enterprise independent declaration. Enterprises that meet the application conditions shall apply online through the gradient cultivation platform for high-quality small and medium-sized enterprises (zjtx.miit.gov.cn). They shall complete the Application Form for Specialized and Special New Small and Medium-sized Enterprises or the Application Form for Specialized and Special New "Little Giant" Enterprises, and pack and upload supporting materials. The declaration time is generally from March to April each year.

-The second step, the provincial initial nuclear recommend. The competent department of small and medium-sized enterprises at the provincial level is responsible for organizing the preliminary examination and recommend of specialized new enterprises, organizing qualified enterprises to fill in the application form, and putting forward recommend opinions after preliminary examination and verification. The provincial department in charge of small and medium-sized enterprises also needs to mail official documents with official seals, paper applications, recommend summary tables and other materials to the Small and Medium-sized Enterprise Bureau of the Ministry of Industry and Information Technology via express mail (EMS). recommend time is usually in May of each year.

-The third step, the Ministry of Industry and Information Technology audit publicity. The Ministry of Industry and Information Technology organizes experts to review the recommend materials reported by various regions and conduct spot checks on the spot, conduct audits in accordance with the standards required by the "Measures", and do not set a quota limit. According to the audit results, the list of specialized and special new enterprises to be identified is publicized, and the publicity time is generally from June to July each year.

-The fourth step, the Ministry of Industry and Information Technology issued a list. According to the publicity, the Ministry of industry and information technology officially released the list of specialized new enterprises and announced it to the public. The release time is generally from August to September each year.

3. declaration conditions

The conditions for the declaration of specialized new enterprises include prerequisites, basic conditions and pass-through conditions, as follows:

(I) Prerequisites

Preconditions refer to the necessary conditions for the declaration of specialized new enterprises, and enterprises that do not meet the prerequisites cannot declare specialized new enterprises. The prerequisites include the following:

-The enterprise shall be registered in industrial and commercial registration, have independent legal personality, and have been in operation for more than three years.

-Enterprises should comply with the "Regulations on the Classification Standards for Small and Medium-sized Enterprises", that is, they should be divided according to the two indicators of employees and operating income of the industry to which the enterprise belongs, and one of the indicators can be met.

-The company has not been included in the list of abnormal business operations or the list of serious untrustworthy subjects, and the products (services) provided do not belong to the national prohibition, restriction or elimination category. At the same time, there have been no major security (including network security, data security), quality, Environmental pollution and other accidents, tax evasion and other violations of laws and regulations.

(II) basic conditions

The basic conditions refer to the basic conditions for the declaration of specialized new enterprises. Enterprises that meet the basic conditions can declare specialized new enterprises, but they need to calculate the score of evaluation indicators and reach a certain score requirement before they can pass the audit. The basic conditions include the following aspects:

-The company has been engaged in a specific market segment for more than 2 years, and has strong innovation ability and market competitiveness.

-The total operating income of the enterprise in the previous year was more than 10 million yuan, or the total operating income of the previous year was less than 10 million yuan, but the total amount of new equity financing (qualified institutional investors) in the past two years reached more than 5 million yuan.

-The enterprise has independent intellectual property rights or core technology, and has been supported or recognized by national or provincial science and technology plan projects, science and technology awards, transformation of scientific and technological achievements in the past three years, or has been recognized by national or provincial high-tech enterprises, science and technology-based small and medium-sized enterprises, innovative enterprises, etc.

-The company has strong R & D capabilities, and the proportion of R & D investment in total operating income in the past three years has reached more than 5%, or the proportion of R & D personnel in the past three years has reached more than 10%, or the cumulative number of patents applied in the past three years Reach more than 5 pieces.

-The enterprise has strong market competitiveness, and the market share, sales revenue growth rate, profit margin and other indicators have reached a certain level in the past three years, or have obtained national or provincial quality, brand, service and other awards or recognition in the past three years, or the proportion of exports to total operating income has reached more than 10% in the past three years.

(III) Pass-Through Conditions

Straight-through conditions refer to the advantages of specialized new enterprises to declare, enterprises that meet the straight-through conditions can directly pass the declaration audit, without the need for evaluation indicators to calculate scores. Pass-through conditions include the following:

-The company has strong scientific and technological innovation capabilities, and has won national scientific and technological awards such as the National Science and Technology Progress Award, the National Technological Invention Award, and the National Natural Science Award in the past three years, or has won the national major scientific and technological projects, the national key research and development plan, The national science and technology support plan and other national science and technology plan projects support, or in the past three years, it has been recognized as a national scientific and technological innovation platform such as the State Key Laboratory, the National Engineering Technology Research Center, and the National Engineering Laboratory.

-The company has a strong R & D investment capacity, and the proportion of R & D investment in the total operating income in the past three years has reached more than 15%, or the proportion of R & D personnel in the past three years has reached more than 30%, or the cumulative number of patents applied in the past three years has reached more than 50.

-The enterprise has strong financing scale capacity, and the total amount of new equity financing (qualified institutional investors) has reached more than 50 million yuan in the past three years, or the total amount of new debt financing (qualified financial institutions) has reached more than 0.1 billion yuan in the past three years, or it has been listed for trading or to be listed for trading in the past three years.

4. declaration materials

The application materials for specialized new enterprises include the following categories:

-Application. According to their own conditions, enterprises need to choose to fill in the "Application for Specialized and Special New Small and Medium-sized Enterprises" or "Application for Specialized and Special New" Little Giant "Enterprises" and affix their official seals.

-supporting material. Enterprises are required to provide corresponding supporting materials according to the contents of the application, such as business license, financial statement, tax certificate, science and technology plan project certificate, science and technology award certificate, science and technology achievement transformation certificate, high-tech enterprise certificate, science and technology small and medium-sized enterprise certificate, innovative enterprise certificate, independent intellectual property certificate, R & D investment certificate, R & D personnel certificate, patent certificate, market share certificate, sales revenue growth rate certificate, profit rate certificate, quality award certificate, brand award certificate, service award certificate, export value certificate, proof of equity financing, proof of debt financing, proof of listing transactions, etc.

-recommend documents. The competent department of small and medium-sized enterprises at the provincial level shall issue the recommend Document of Specialized and Special New Enterprises and affix its official seal.

-Summary of recommend. Provincial departments in charge of small and medium-sized enterprises need to fill in the "Specialized New Enterprise recommend Summary Form" and affix their official seals.