Notice on Printing and Distributing the “Measures for the Administration of Special Funds for the Development of National Major Scientific Instruments and Equipment (for Trial Implementation)†Various units involved in Finance and Education [2011] No. 352:
In order to implement the Outline of the National Medium- and Long-Term Scientific and Technological Development Plan (2006-2020) and support the development of major scientific instruments and equipment, the central government has established special funds for the development of major national scientific instruments and equipment (hereinafter referred to as special projects). In order to standardize the management of special funds, the Ministry of Finance and the Ministry of Science and Technology have formulated the “Measures for the Administration of Special National Funds for Scientific Instruments and Equipment Development (Trial)â€. Is now issued, please follow the implementation.
Attachment: Measures for the Administration of Special Funds for National Major Scientific Instruments and Equipment Development (Trial)
Ministry of Finance and Technology Department August 25, 2011 Attachment:
Measures for the Administration of Special Funds for National Major Scientific Instruments and Equipment Development (Trial)
Chapter I General Provisions Article 1 In order to implement the Outline of the National Medium- and Long-Term Scientific and Technological Development Plan (2006-2020), the Central Government shall establish special national (special) funds for major scientific instrument and equipment development. To regulate the management of special funds, these Measures are formulated in accordance with the "Scientific and Technological Progress Law" and the state's relevant scientific research management and financial management systems.
The second special fund is mainly used to support the development of major scientific instruments and equipment to improve the independent innovation capability and self-equipment level of scientific instruments and equipment in China, support scientific and technological innovation, and serve the economic construction and social development.
Article 3 The scope of support for special funds includes:
(i) Development of major scientific instruments and equipment based on new principles, new methods and new technologies;
(2) Engineering development based on the innovative achievements of major scientific instruments (equipment);
(3) Development of important general scientific instruments and equipment (including core basic devices);
(d) Development of other important scientific instruments and equipment.
The fourth special implementation will be demand-driven and application-oriented. It will promote the integration of government, industry, research, and research, clarify the rights and responsibilities of each party, highlight management innovation, and focus on implementation performance.
Article 5 special projects shall be carried out in project mode and in different years. The project cycle will generally not exceed five years.
Article 6 The sources of special funds adhere to the principle of diversification, including central government funds, local financial funds, self-financing units, and funds obtained from other sources.
This approach mainly regulates the use and management of central fiscal funds. Funds from other sources shall be arranged and used in an integrated manner in accordance with the requirements and requirements of the relevant fund providers for the use and management of funds.
Article VII of the special implementation of the pilot first, steadily push open, give full play to the central government departments (organizations) organization and management.
Chapter II Management System and Responsibilities Article 8 The Ministry of Science and Technology and the National Natural Science Foundation of China shall establish a check-up and coordination mechanism. The special projects should be effectively linked with the National Natural Science Foundation of China's “Special Scientific Research Instruments and Equipment Development Special Project†and “Special Fundamental Research Funds for Scientific Instruments†and strengthen the convergence with related national science and technology plans.
Article 9 The main responsibilities of the Ministry of Finance include:
(1) Study and formulate relevant management systems together with the Ministry of Science and Technology;
(2) Determine the organization of the pilot project with the Ministry of Science and Technology, and dynamically adjust it according to the implementation situation;
(3) The approval of the project budget (including the general budget and annual budget, the same below);
(d) Jointly with the Ministry of Science and Technology to carry out supervision and inspection of project fund management.
Article 10 The main responsibilities of the Ministry of Science and Technology include:
(1) Study and formulate relevant management systems together with the Ministry of Finance;
(2) Determine the organization of the pilot project together with the Ministry of Finance and adjust it dynamically according to the implementation situation;
(C) Responsible for the overall coordination of special projects, guide and supervise the organization and management of the project organization department;
(4) Responsible for the approval of project approval, project comprehensive acceptance, project results summary management and post-project evaluation;
(5) Responsible for organizing evaluation of project budget assessments, proposing proposals for project budgeting arrangements to the Ministry of Finance, and conducting supervision and inspection of the use of project funds management with the Ministry of Finance;
(6) Establish an expert consultation and review mechanism suitable for this special feature.
Article 11 The project organization department refers to the relevant department (institution) of the central government and is responsible for the organization and management of the project. The main responsibilities include:
(1) Study and confirm the focus of innovation and development of scientific instruments and equipment based on the actual conditions of the department and the industry;
(2) To organize the application of project sponsors as the project lead unit and the evaluation of the implementation plan, and to recommend the project to the Ministry of Science and Technology;
(3) Signing the project mission statement with the project leader and organizing the implementation of the project;
(4) Establish a project supervision team to supervise and inspect the implementation of the project and the use and management of funds, and coordinate the handling of relevant issues arising during project implementation;
(5) Reporting to the Ministry of Science and Technology, as required, the annual implementation of the project and major events in the project implementation process;
(6) Responsible for the preliminary acceptance of the project and responsible for the results management of the project organized by the department;
(7) To play a role in the market mechanism and be responsible for the promotion and application of project results.
Article 12 The project lead unit is the specific implementation unit of the project and is responsible for the specific implementation of the project and the realization of the overall objectives. The main responsibilities include:
(1) Based on research and analysis of users, markets, technologies, and other supporting conditions, it is responsible for carrying out feasibility analysis of the project, proposing project proposals to the organization department, and designing project implementation plans (including technical solutions, application and industrialization plans, and organizations Implementation methods, budget, etc.)
(B) The joint superior units jointly establish a project team and sign an agreement with the project partner to clarify the rights and responsibilities of the parties;
(C) Responsible for the specific implementation of the project, implement the project supporting conditions and measures to ensure the completion of the project's various tasks and overall objectives;
(4) Establish incentive and evaluation mechanisms, mobilize the enthusiasm of project team members, and promote the effective implementation of the project;
(5) Organizing user representatives to establish user committees to participate in the development of application methods, application demonstrations, and promotion and application of special results;
(6) Responsible for the management and use of project funds;
(7) To compile and report on the annual implementation of the project and relevant information as required, and report to the project organization department in a timely manner major issues that have arisen during the implementation.
(8) To accept the supervision, inspection and guidance of the Ministry of Science and Technology, the Ministry of Finance, the project organization department, and the project supervision team.
Chapter III Project Establishment Article 13 The project that applies for special fund support shall meet the following conditions:
(1) The scope of support determined in accordance with Article 3 of the present Measures;
(2) The domestic and international demands are urgent, and relevant theories, methods or technologies have made important breakthroughs, and products with independent intellectual property rights and market competitiveness can be formed;
(3) Having a core key talent in the field and having a reasonably structured team of relevant theoretical research, design, engineering processes, system integration, applied research, and industrialization research;
(4) The project operation mechanism is good, the target is clear and specific, the technical indicators can be evaluated, and the implementation plan is feasible. The combination of production, study and research is closely linked, with clear application units and good market application prospects, and promotion and application and industrialization measures are clearly feasible.
Article 14 The project leader shall meet the following conditions:
(1) scientific research institutes, institutions of higher learning, and enterprises registered in China with independent legal personality;
(B) Familiar with the development trend of related industries at home and abroad, with long-term accumulation and obvious advantages in technology and talent;
(3) It has good project implementation conditions and strong resource coordination and coordination capabilities, and can fully mobilize relevant human, material and financial resources at home and abroad to carry out relevant work;
(IV) Important advances and breakthroughs have been made in the related independent innovation of scientific instruments and equipment, and related work has had an important influence at home and abroad.
The determination of the lead unit of the project, involving government procurement, shall be implemented in accordance with the relevant provisions of government procurement.
Article 15 The Ministry of Science and Technology and the Ministry of Finance shall determine the recommended number of pilot project organization departments and their projects in accordance with the overall deployment of the country's major scientific instrument and equipment development, and in conjunction with the foundation and capabilities of the relevant central government departments (institutions) for the development of scientific instruments and equipment.
Article 16 The project organization department that has been identified as a pilot organizes the project application.
The project leader unites with the superior technical force to study and propose projects that meet the actual needs of the development of science and technology in China and have a wide range of application prospects. The implementation plan is prepared and submitted to the project organization after preliminary demonstration.
The project organization department organizes experts to review and demonstrate the project and implementation plan, and recommends the project to the Ministry of Science and Technology (including the implementation plan) according to the specified project recommendation quantity. When the project organization department meets the conditions, it should actively adopt online video assessment methods to promote the fairness, impartiality, and openness of the evaluation work.
Article 17 The Ministry of Science and Technology incorporates the projects recommended by the project organization into the candidate project library, and combines the needs of national scientific and technological innovation, economic construction, and social development, and selects the best selection projects from the alternative project bank to form the initial opinion of the annual project. And inform the project organization department.
Article 18 The project organization department shall organize the project leader to compile the project budget application according to the requirements for initial project preparation and budget preparation, and submit it to the Ministry of Science and Technology after examination.
The Ministry of Science and Technology organizes the evaluation of project budgets, proposes proposals for project budgets, and reports them to the Ministry of Finance in accordance with relevant regulations for departmental budget management.
Article 19 The Ministry of Finance approves the project budget; the Ministry of Science and Technology approves the project approval; the Ministry of Science and Technology awards the project budget to the project leader according to the budget approved by the Ministry of Finance, and copies it to the project organization department; the project organization department drafts the project task according to the approval organization. The book (including the budget for the budget), after being reviewed by the Ministry of Science and Technology, will sign a task statement with the project leader and organize the implementation of the project.
The implementation time of the project shall be subject to the budget release time.
Chapter IV Fund Management Article 20 The management and use of project funds shall follow the principles of clear objectives, focused emphasis, clear rights and responsibilities, standardized management, special funds, and follow-up.
Article 21 The project funds consist of direct expenses and indirect expenses.
(1) Direct costs refer to the expenses directly related to the project during its implementation. Mainly include: equipment fees, materials fees, test and analysis processing fees, fuel power fees, travel expenses, conference fees, international cooperation and exchange fees, publishing / literature / information dissemination / intellectual property affairs fees, labor costs, expert consulting fees and other costs .
(2) Indirect costs refer to the expenses incurred by the project leader and the cooperating unit during the organization and implementation of the project that cannot be included in the direct expenses. It mainly includes existing equipment and houses provided by the project leader and cooperators for project implementation, daily water, electricity, gas, and heating consumption, subsidies for related management expenses, and performance expenditures. The performance expenditure refers to the related expenses that the project leader and the cooperative unit arrange to improve the performance of scientific research.
Article 22 The labor costs in direct costs refer to the labor costs that are paid to the project team members who have no wage income (such as graduate students at school) and temporary hire personnel. The budget for labor costs shall be compiled in a scientific, rational and realistic manner in accordance with the actual working hours of the unit and related personnel participating in the project.
The expenditure standards for travel expenses shall be implemented in accordance with the relevant regulations of the State; the expenses for meeting expenses shall be implemented in accordance with the relevant provisions of the State, and the scale of the meeting, the number of meetings, the meeting expenditure standards and the meeting period shall be strictly controlled.
Expenses for expert consultation fees are as follows: Consultations organized in the form of meetings, and expenditures for expert consultation fees are generally based on the standards of 500-800 yuan/person days for senior professional technical titles and 300-500 yuan/person days for other professional technical personnel. . If the duration of the session exceeds two days, the consultation fee standards for the third day and beyond shall be implemented with reference to 300-400 yuan/person days for senior professional technical titles and 200-300 yuan/person days for other professional technicians. The expenses of expert consultations and expert consultation fees organized in the form of communication are generally based on the standards of 60-100 yuan for senior professional titles and 40-80 yuan/person for other professional technicians.
Strictly control the purchase of equipment. The project funding will in principle exclude equipment purchase fees, encourage the sharing and leasing of special instruments and equipment, and upgrade existing equipment and equipment. If it is really necessary to purchase, it shall explain separately the necessity of the equipment to be purchased, the utilization of the existing equipment, and the open sharing scheme of the purchased equipment.
Article 23 Indirect expenses shall be calculated and implemented using the subsection excess regression proportion method and the total amount shall be controlled, and shall be determined according to a certain proportion after deducting the equipment purchase fee from the direct expenses in the project funds. The specific proportions are as follows:
Not more than 20% of the 5 million yuan and below;
The proportion of more than 5 million to 10 million yuan does not exceed 13%;
The portion exceeding 10 million yuan does not exceed 10%.
The performance expenditure in indirect expenses shall not exceed 5% of the direct expenses after deduction of equipment purchase fees.
The indirect expenses shall be uniformly approved according to the project, and the performance expenditures shall be based on the performance appraisal of the scientific research work, combined with the actual achievements of the scientific research personnel, and shall be arranged by the unit concerned in accordance with relevant state regulations. The overheads will be negotiated by the project leader and project coordinator according to their respective research tasks and funding quotas. The distribution plan shall be formulated and clearly defined in the project task book, and shall be integrated into the financial management of their respective units and be used as an overall arrangement. The project leader and the cooperating unit must not repeatedly use the name of the approved indirect expenses to re-extract and pay out the relevant expenses in the project funds.
The project leader and cooperation unit shall strengthen the management of indirect costs and formulate specific management measures in accordance with the relevant regulations of the State. We must follow the principles of openness, fairness, and fairness to rationalize and arrange performance expenditures and improve the performance of scientific research.
Article 24 Requirements for Project Budgeting:
(1) According to the reasonable needs of project tasks, adhere to the principles of target relevance, policy conformity and economic rationality.
(b) Budgeting includes income budgets and expenditure budgets.
The income budget includes central government funds and other funds. Other funds include local fiscal funds, self-financing units, and funds obtained from other sources. For projects where the enterprise is the lead unit of the project, the funds invested by the enterprise shall not be less than 50% of the total project budget.
Expenditure budgets shall be formulated in accordance with the expenditure subjects and different sources of funding determined by the scope of expenditure of the project funds. Generally, the same expenditures may not be used to set aside the central government financial funds and other funds. Expenditure budgets should explain in detail the main uses of the various expenditures and the reasons for their calculation.
(3) Where there are multiple tasks under the project, the budget for each task shall be prepared at the same time.
(4) The project budget shall be prepared by the project leader.
Article 25 The project lead unit and the cooperative unit shall strictly follow the project budget released. The total project budget will generally not be adjusted. If there is a need for adjustment, it shall be approved by the Ministry of Science and Technology and the Ministry of Finance after being reviewed by the project organization department.
If the target and the total amount of funds are not changed, the material costs, test and processing fees, fuel power charges, publications/literature/information dissemination, intellectual property affairs fees, and other expenses in direct costs need to be adjusted. When the application is submitted, the application will be submitted to the project lead agency for approval after approval from the project's overall group, and the Ministry of Science and Technology will confirm this during the mid-term financial review or financial acceptance. Equipment fees, travel expenses, conference fees, international cooperation and exchange fees, labor costs, and expert consultation fees are generally not increased. If it is necessary to reduce expenses, the above procedures can be used to adjust expenditures for other aspects of the project. Indirect costs cannot be adjusted.
Article 26 The project payment management shall be implemented in accordance with the relevant provisions of the financial treasury management system.
The leading unit of the project shall promptly allocate funds for the cooperation unit according to the budget, and strengthen the supervision and administration of the allocation of funds abroad. The project leader and cooperating unit shall not transfer funds in disguised form and disburse funds in disguised form.
Article 27 The Ministry of Science and Technology and the Ministry of Finance regularly supervise and inspect the management and use of project funds and financial audits, and gradually establish a performance evaluation system for special funds.
Article 28 The annual balance of unfinished projects shall be carried forward for use in the next year as prescribed. If the project is suspended for any reason (including failure to pass comprehensive inspection and acceptance), the finance department of the project leader shall promptly clear the accounts and assets, prepare the financial report and asset list, and report it to the project organization department. The project organization department shall conduct the inventory processing and report to the Ministry of Science and Technology for the record. The funds shall be withdrawn from the original channels and shall be implemented in accordance with the relevant provisions of the Ministry of Finance on the carry-over of fiscal appropriations and the management of surplus funds.
Chapter V Project Implementation and Supervision Article 29 The project implements a legal person responsibility system. The project lead unit is responsible for the project, and the cooperation unit is responsible for the tasks undertaken.
Article 30 The project lead unit shall set up a project overall group composed of the chief executive leadership of the unit, related personnel of the project organization department, relevant management personnel of the cooperation unit, project leader and project team, and be responsible for project and task execution. Coordinating work, researching and resolving new situations and new issues that emerged during project implementation.
Article 31 The project leader shall set up a project technical expert group and project user committee to provide advice on the project's technological development and application of the results.
Article 32 The lead unit and the cooperative unit of the project shall establish a strict quality control system and standardize the management of each link from drawing design, material selection, component processing, and process installation to form a complete and complete technical document. Technical documents should meet the requirements for the reproduction and production of scientific instruments and equipment.
Article 33 The project organization department shall establish a project supervision team composed of experts and user representatives in the fields of technology, finance, and management to carry out the whole process of the project's operating mechanism, safeguard conditions, implementation progress, use of funds, file management, and application of results. Supervise and regularly submit the report on supervision activities to the project organization department. If any major issues are found, it shall be reported to the project organization department in a timely manner. The project leader and the cooperative unit shall provide the project supervision team with relevant materials in a timely manner as required, and actively cooperate with the project supervision team.
According to management needs, the Ministry of Science and Technology conducts random inspections of project implementation.
Article 34 The annual implementation of the project and the reporting system for major events shall be implemented. The project organization department reports the project implementation status to the Ministry of Science and Technology every year.
Article 35 If any of the following major issues occur during the implementation of a project, it shall be adjusted or withdrawn in a timely manner:
(1) Significant changes in technology, market demand, etc. have caused the original target and technical route of the project to be revised;
(2) The supporting conditions promised cannot be implemented, affecting the normal implementation of the project;
(3) Significant changes in technology introduction and international cooperation have caused the research work to fail;
(4) Significant changes have occurred in the technical backbone of the project, resulting in the failure of normal research work;
(5) Due to other irresistible factors, the research work cannot be conducted normally;
(6) Other situations that lead to the failure to complete the relevant goals and requirements of the project.
Article 36 refers to major issues such as the adjustment of the content of the approval of the Ministry of Science and Technology project approval and the cancellation of the project. The project leader shall submit an application to the project organization department. After the project organization department examines and proposes the handling opinions, it shall be submitted to the Ministry of Science and Technology for examination and approval. Other major adjustments shall be approved by the project organization department according to the procedures.
Article 37 The project organization department and the Ministry of Science and Technology shall objectively record the credit status of the relevant personnel and units in the aspects of project establishment, project implementation, inspection, evaluation and acceptance, and serve as an important basis for project management and decision-making.
Chapter VI Acceptance and File Management Article 38 After the completion of the project, the project organization department organizes the preliminary acceptance of the project. Acceptance materials include related technical documents, user use reports, and financial audit reports.
Encourage the project organization department to increase the quality evaluation of scientific instruments and equipment in the preliminary acceptance work.
Article 39 Within six months after the completion of the project, the project leader shall submit an application for comprehensive acceptance of the project on the basis of preliminary acceptance of the project. After being reviewed by the project organization department, the project leader shall report to the Ministry of Science and Technology for comprehensive acceptance.
Article 40 The Ministry of Science and Technology organizes an expert group to carry out comprehensive inspection and acceptance work. Comprehensive acceptance work includes two parts: financial acceptance and project acceptance. According to the completion of the project, the comprehensive acceptance conclusion is divided into acceptance and non-acceptance.
The project objectives and tasks have been completed in accordance with requirements, and the funds have been used rationally for acceptance. Where one of the following circumstances does not pass the acceptance:
(i) Less than 85% of project objectives are completed;
(2) The acceptance documents, data and data provided are not true and there is fraud;
(c) There are unresolved disputes in the research process and results;
(4) There are serious problems in the use of funds;
(5) Without proper justification and without approval, the project deadline has not been completed beyond the prescribed implementation time limit of more than six months.
Article 41 Within one month after the completion of comprehensive acceptance of the project, the Ministry of Science and Technology shall notify the project organization department of the results of the comprehensive inspection and acceptance.
Without comprehensive acceptance, the project organization department shall, within three months after receiving the notification from the Ministry of Science and Technology, organize the project lead unit and the cooperative unit to make corresponding improvements to the existing problems and apply again for comprehensive acceptance. If the comprehensive acceptance has not been passed and there is no justification, the lead unit of the project shall summarize and analyze according to relevant regulations and requirements. The person in charge of the project and the undertaking unit shall not undertake the special project again within three years.
Article 42 After the project has passed comprehensive inspection and acceptance, the project leader shall promptly complete the procedures for financial settlement within one month. If there is any balance in the project funds, the original channels will be withdrawn and the relevant provisions of the Ministry of Finance on the transfer of financial allocations and the management of surplus funds shall be implemented.
Article 43 The fixed assets purchased and trial-produced by public institutions using special funds are state-owned assets, and their management shall be implemented in accordance with the relevant regulations of the State. The fixed assets purchased and trial-produced by enterprises using special funds shall be implemented in accordance with the relevant rules and regulations such as the “General Rules for Corporate Financeâ€.
Article 44 The organization and management of the project by the project organization department and the implementation of the project organized by the project organization will serve as an important basis for the dynamic adjustment of the pilot project organization department by the Ministry of Science and Technology and the Ministry of Finance.
Article 45 The project leader shall establish a scientific and standardized file management system, and timely collect the archived electronic documents, written materials, audiovisual data, photos, charts, data, and other information generated during the implementation of the project. , collation and archiving, and timely filed by the project organization department to the Ministry of Science and Technology. If it belongs to a confidential project, it strictly complies with the relevant national secrecy management regulations.
Article 46 The Ministry of Science and Technology shall establish a unified platform for special information and results management to promote the exchange and cooperation of projects and the sharing of results. Under the premise of complying with the relevant national secrecy management regulations, information such as project approvals and project achievements shall be made public to the public in a timely manner, subject to public supervision, and promote the sharing and application of results.
Chapter VII Application of Results and Management of Intellectual Property Article 47 After comprehensive acceptance of the project, the project organization department and the project leader shall work closely with the application unit and related companies to strengthen the application of results and increase market share in accordance with the principle of marketization. , promote the transformation of results or technology transfer. The application of the results of the promotion or technology transfer program should be filed with the Ministry of Science and Technology for the record.
Article 48 Within three years after the comprehensive acceptance of the project, the project leader shall submit an annual report on the use of project achievements to the Ministry of Science and Technology, including industrialization, market share, user usage, and open sharing conditions. On this basis, the Ministry of Science and Technology conducts a comprehensive assessment of the application status and benefits of the project results, and the evaluation results will be used as a basis for subsequent establishment and selection of the undertaking unit.
Article 49 The attribution, use, protection, and management of intellectual property rights formed by the project shall be strictly in accordance with the "Scientific and Technological Progress Law" and national laws and regulations concerning the protection of intellectual property rights and "Regulations on the management of intellectual property rights of the research achievements of national scientific research projects." "Several Regulations" (Guobanfa [2002] No. 30) and other laws and regulations are implemented.
The key technologies, key components, engineering processes, application methods, scientific instruments and equipment, and other important achievements and their intellectual property rights generated by the project shall be used first within the territory, and transferred or licensed to an overseas organization or individual for exclusive implementation by an overseas organization or individual. It shall be approved by the Ministry of Science and Technology after being reviewed by the project organization department.
Article 50 The lead unit of a project shall sign an agreement with the cooperation unit in advance to clarify the division of tasks and the attribution, management, use, and distribution of benefits of intellectual property rights.
Article 51 The scientific instrument equipment products, monographs, dissertations, software, databases, and patents generated during the implementation of the project shall all be marked with the words “special funding for the development of national major scientific instruments and equipment†and the project approval number.
Chapter VIII Supplementary Provisions Article 52 The Ministry of Science and Technology and the Ministry of Finance shall timely select areas with good work bases and strong demonstrations to be included in the special pilot areas. Within the scope of the pilot area, the project lead unit is the unit of the pilot project organization department, and the project is recommended by the pilot project organization department; the project leader unit is the local unit (enterprise), and the project is led by the province where the project leader unit is located (municipalities, autonomous regions, and plans City) Science and Technology Department together with the financial sector. The project organization and management shall be implemented in accordance with the corresponding provisions of these Measures.
Article 53 The Measures shall be interpreted by the Ministry of Finance and the Ministry of Science and Technology.
Article 54 The present Measures shall come into force as of the date of issuance.
In order to implement the Outline of the National Medium- and Long-Term Scientific and Technological Development Plan (2006-2020) and support the development of major scientific instruments and equipment, the central government has established special funds for the development of major national scientific instruments and equipment (hereinafter referred to as special projects). In order to standardize the management of special funds, the Ministry of Finance and the Ministry of Science and Technology have formulated the “Measures for the Administration of Special National Funds for Scientific Instruments and Equipment Development (Trial)â€. Is now issued, please follow the implementation.
Attachment: Measures for the Administration of Special Funds for National Major Scientific Instruments and Equipment Development (Trial)
Ministry of Finance and Technology Department August 25, 2011 Attachment:
Measures for the Administration of Special Funds for National Major Scientific Instruments and Equipment Development (Trial)
Chapter I General Provisions Article 1 In order to implement the Outline of the National Medium- and Long-Term Scientific and Technological Development Plan (2006-2020), the Central Government shall establish special national (special) funds for major scientific instrument and equipment development. To regulate the management of special funds, these Measures are formulated in accordance with the "Scientific and Technological Progress Law" and the state's relevant scientific research management and financial management systems.
The second special fund is mainly used to support the development of major scientific instruments and equipment to improve the independent innovation capability and self-equipment level of scientific instruments and equipment in China, support scientific and technological innovation, and serve the economic construction and social development.
Article 3 The scope of support for special funds includes:
(i) Development of major scientific instruments and equipment based on new principles, new methods and new technologies;
(2) Engineering development based on the innovative achievements of major scientific instruments (equipment);
(3) Development of important general scientific instruments and equipment (including core basic devices);
(d) Development of other important scientific instruments and equipment.
The fourth special implementation will be demand-driven and application-oriented. It will promote the integration of government, industry, research, and research, clarify the rights and responsibilities of each party, highlight management innovation, and focus on implementation performance.
Article 5 special projects shall be carried out in project mode and in different years. The project cycle will generally not exceed five years.
Article 6 The sources of special funds adhere to the principle of diversification, including central government funds, local financial funds, self-financing units, and funds obtained from other sources.
This approach mainly regulates the use and management of central fiscal funds. Funds from other sources shall be arranged and used in an integrated manner in accordance with the requirements and requirements of the relevant fund providers for the use and management of funds.
Article VII of the special implementation of the pilot first, steadily push open, give full play to the central government departments (organizations) organization and management.
Chapter II Management System and Responsibilities Article 8 The Ministry of Science and Technology and the National Natural Science Foundation of China shall establish a check-up and coordination mechanism. The special projects should be effectively linked with the National Natural Science Foundation of China's “Special Scientific Research Instruments and Equipment Development Special Project†and “Special Fundamental Research Funds for Scientific Instruments†and strengthen the convergence with related national science and technology plans.
Article 9 The main responsibilities of the Ministry of Finance include:
(1) Study and formulate relevant management systems together with the Ministry of Science and Technology;
(2) Determine the organization of the pilot project with the Ministry of Science and Technology, and dynamically adjust it according to the implementation situation;
(3) The approval of the project budget (including the general budget and annual budget, the same below);
(d) Jointly with the Ministry of Science and Technology to carry out supervision and inspection of project fund management.
Article 10 The main responsibilities of the Ministry of Science and Technology include:
(1) Study and formulate relevant management systems together with the Ministry of Finance;
(2) Determine the organization of the pilot project together with the Ministry of Finance and adjust it dynamically according to the implementation situation;
(C) Responsible for the overall coordination of special projects, guide and supervise the organization and management of the project organization department;
(4) Responsible for the approval of project approval, project comprehensive acceptance, project results summary management and post-project evaluation;
(5) Responsible for organizing evaluation of project budget assessments, proposing proposals for project budgeting arrangements to the Ministry of Finance, and conducting supervision and inspection of the use of project funds management with the Ministry of Finance;
(6) Establish an expert consultation and review mechanism suitable for this special feature.
Article 11 The project organization department refers to the relevant department (institution) of the central government and is responsible for the organization and management of the project. The main responsibilities include:
(1) Study and confirm the focus of innovation and development of scientific instruments and equipment based on the actual conditions of the department and the industry;
(2) To organize the application of project sponsors as the project lead unit and the evaluation of the implementation plan, and to recommend the project to the Ministry of Science and Technology;
(3) Signing the project mission statement with the project leader and organizing the implementation of the project;
(4) Establish a project supervision team to supervise and inspect the implementation of the project and the use and management of funds, and coordinate the handling of relevant issues arising during project implementation;
(5) Reporting to the Ministry of Science and Technology, as required, the annual implementation of the project and major events in the project implementation process;
(6) Responsible for the preliminary acceptance of the project and responsible for the results management of the project organized by the department;
(7) To play a role in the market mechanism and be responsible for the promotion and application of project results.
Article 12 The project lead unit is the specific implementation unit of the project and is responsible for the specific implementation of the project and the realization of the overall objectives. The main responsibilities include:
(1) Based on research and analysis of users, markets, technologies, and other supporting conditions, it is responsible for carrying out feasibility analysis of the project, proposing project proposals to the organization department, and designing project implementation plans (including technical solutions, application and industrialization plans, and organizations Implementation methods, budget, etc.)
(B) The joint superior units jointly establish a project team and sign an agreement with the project partner to clarify the rights and responsibilities of the parties;
(C) Responsible for the specific implementation of the project, implement the project supporting conditions and measures to ensure the completion of the project's various tasks and overall objectives;
(4) Establish incentive and evaluation mechanisms, mobilize the enthusiasm of project team members, and promote the effective implementation of the project;
(5) Organizing user representatives to establish user committees to participate in the development of application methods, application demonstrations, and promotion and application of special results;
(6) Responsible for the management and use of project funds;
(7) To compile and report on the annual implementation of the project and relevant information as required, and report to the project organization department in a timely manner major issues that have arisen during the implementation.
(8) To accept the supervision, inspection and guidance of the Ministry of Science and Technology, the Ministry of Finance, the project organization department, and the project supervision team.
Chapter III Project Establishment Article 13 The project that applies for special fund support shall meet the following conditions:
(1) The scope of support determined in accordance with Article 3 of the present Measures;
(2) The domestic and international demands are urgent, and relevant theories, methods or technologies have made important breakthroughs, and products with independent intellectual property rights and market competitiveness can be formed;
(3) Having a core key talent in the field and having a reasonably structured team of relevant theoretical research, design, engineering processes, system integration, applied research, and industrialization research;
(4) The project operation mechanism is good, the target is clear and specific, the technical indicators can be evaluated, and the implementation plan is feasible. The combination of production, study and research is closely linked, with clear application units and good market application prospects, and promotion and application and industrialization measures are clearly feasible.
Article 14 The project leader shall meet the following conditions:
(1) scientific research institutes, institutions of higher learning, and enterprises registered in China with independent legal personality;
(B) Familiar with the development trend of related industries at home and abroad, with long-term accumulation and obvious advantages in technology and talent;
(3) It has good project implementation conditions and strong resource coordination and coordination capabilities, and can fully mobilize relevant human, material and financial resources at home and abroad to carry out relevant work;
(IV) Important advances and breakthroughs have been made in the related independent innovation of scientific instruments and equipment, and related work has had an important influence at home and abroad.
The determination of the lead unit of the project, involving government procurement, shall be implemented in accordance with the relevant provisions of government procurement.
Article 15 The Ministry of Science and Technology and the Ministry of Finance shall determine the recommended number of pilot project organization departments and their projects in accordance with the overall deployment of the country's major scientific instrument and equipment development, and in conjunction with the foundation and capabilities of the relevant central government departments (institutions) for the development of scientific instruments and equipment.
Article 16 The project organization department that has been identified as a pilot organizes the project application.
The project leader unites with the superior technical force to study and propose projects that meet the actual needs of the development of science and technology in China and have a wide range of application prospects. The implementation plan is prepared and submitted to the project organization after preliminary demonstration.
The project organization department organizes experts to review and demonstrate the project and implementation plan, and recommends the project to the Ministry of Science and Technology (including the implementation plan) according to the specified project recommendation quantity. When the project organization department meets the conditions, it should actively adopt online video assessment methods to promote the fairness, impartiality, and openness of the evaluation work.
Article 17 The Ministry of Science and Technology incorporates the projects recommended by the project organization into the candidate project library, and combines the needs of national scientific and technological innovation, economic construction, and social development, and selects the best selection projects from the alternative project bank to form the initial opinion of the annual project. And inform the project organization department.
Article 18 The project organization department shall organize the project leader to compile the project budget application according to the requirements for initial project preparation and budget preparation, and submit it to the Ministry of Science and Technology after examination.
The Ministry of Science and Technology organizes the evaluation of project budgets, proposes proposals for project budgets, and reports them to the Ministry of Finance in accordance with relevant regulations for departmental budget management.
Article 19 The Ministry of Finance approves the project budget; the Ministry of Science and Technology approves the project approval; the Ministry of Science and Technology awards the project budget to the project leader according to the budget approved by the Ministry of Finance, and copies it to the project organization department; the project organization department drafts the project task according to the approval organization. The book (including the budget for the budget), after being reviewed by the Ministry of Science and Technology, will sign a task statement with the project leader and organize the implementation of the project.
The implementation time of the project shall be subject to the budget release time.
Chapter IV Fund Management Article 20 The management and use of project funds shall follow the principles of clear objectives, focused emphasis, clear rights and responsibilities, standardized management, special funds, and follow-up.
Article 21 The project funds consist of direct expenses and indirect expenses.
(1) Direct costs refer to the expenses directly related to the project during its implementation. Mainly include: equipment fees, materials fees, test and analysis processing fees, fuel power fees, travel expenses, conference fees, international cooperation and exchange fees, publishing / literature / information dissemination / intellectual property affairs fees, labor costs, expert consulting fees and other costs .
(2) Indirect costs refer to the expenses incurred by the project leader and the cooperating unit during the organization and implementation of the project that cannot be included in the direct expenses. It mainly includes existing equipment and houses provided by the project leader and cooperators for project implementation, daily water, electricity, gas, and heating consumption, subsidies for related management expenses, and performance expenditures. The performance expenditure refers to the related expenses that the project leader and the cooperative unit arrange to improve the performance of scientific research.
Article 22 The labor costs in direct costs refer to the labor costs that are paid to the project team members who have no wage income (such as graduate students at school) and temporary hire personnel. The budget for labor costs shall be compiled in a scientific, rational and realistic manner in accordance with the actual working hours of the unit and related personnel participating in the project.
The expenditure standards for travel expenses shall be implemented in accordance with the relevant regulations of the State; the expenses for meeting expenses shall be implemented in accordance with the relevant provisions of the State, and the scale of the meeting, the number of meetings, the meeting expenditure standards and the meeting period shall be strictly controlled.
Expenses for expert consultation fees are as follows: Consultations organized in the form of meetings, and expenditures for expert consultation fees are generally based on the standards of 500-800 yuan/person days for senior professional technical titles and 300-500 yuan/person days for other professional technical personnel. . If the duration of the session exceeds two days, the consultation fee standards for the third day and beyond shall be implemented with reference to 300-400 yuan/person days for senior professional technical titles and 200-300 yuan/person days for other professional technicians. The expenses of expert consultations and expert consultation fees organized in the form of communication are generally based on the standards of 60-100 yuan for senior professional titles and 40-80 yuan/person for other professional technicians.
Strictly control the purchase of equipment. The project funding will in principle exclude equipment purchase fees, encourage the sharing and leasing of special instruments and equipment, and upgrade existing equipment and equipment. If it is really necessary to purchase, it shall explain separately the necessity of the equipment to be purchased, the utilization of the existing equipment, and the open sharing scheme of the purchased equipment.
Article 23 Indirect expenses shall be calculated and implemented using the subsection excess regression proportion method and the total amount shall be controlled, and shall be determined according to a certain proportion after deducting the equipment purchase fee from the direct expenses in the project funds. The specific proportions are as follows:
Not more than 20% of the 5 million yuan and below;
The proportion of more than 5 million to 10 million yuan does not exceed 13%;
The portion exceeding 10 million yuan does not exceed 10%.
The performance expenditure in indirect expenses shall not exceed 5% of the direct expenses after deduction of equipment purchase fees.
The indirect expenses shall be uniformly approved according to the project, and the performance expenditures shall be based on the performance appraisal of the scientific research work, combined with the actual achievements of the scientific research personnel, and shall be arranged by the unit concerned in accordance with relevant state regulations. The overheads will be negotiated by the project leader and project coordinator according to their respective research tasks and funding quotas. The distribution plan shall be formulated and clearly defined in the project task book, and shall be integrated into the financial management of their respective units and be used as an overall arrangement. The project leader and the cooperating unit must not repeatedly use the name of the approved indirect expenses to re-extract and pay out the relevant expenses in the project funds.
The project leader and cooperation unit shall strengthen the management of indirect costs and formulate specific management measures in accordance with the relevant regulations of the State. We must follow the principles of openness, fairness, and fairness to rationalize and arrange performance expenditures and improve the performance of scientific research.
Article 24 Requirements for Project Budgeting:
(1) According to the reasonable needs of project tasks, adhere to the principles of target relevance, policy conformity and economic rationality.
(b) Budgeting includes income budgets and expenditure budgets.
The income budget includes central government funds and other funds. Other funds include local fiscal funds, self-financing units, and funds obtained from other sources. For projects where the enterprise is the lead unit of the project, the funds invested by the enterprise shall not be less than 50% of the total project budget.
Expenditure budgets shall be formulated in accordance with the expenditure subjects and different sources of funding determined by the scope of expenditure of the project funds. Generally, the same expenditures may not be used to set aside the central government financial funds and other funds. Expenditure budgets should explain in detail the main uses of the various expenditures and the reasons for their calculation.
(3) Where there are multiple tasks under the project, the budget for each task shall be prepared at the same time.
(4) The project budget shall be prepared by the project leader.
Article 25 The project lead unit and the cooperative unit shall strictly follow the project budget released. The total project budget will generally not be adjusted. If there is a need for adjustment, it shall be approved by the Ministry of Science and Technology and the Ministry of Finance after being reviewed by the project organization department.
If the target and the total amount of funds are not changed, the material costs, test and processing fees, fuel power charges, publications/literature/information dissemination, intellectual property affairs fees, and other expenses in direct costs need to be adjusted. When the application is submitted, the application will be submitted to the project lead agency for approval after approval from the project's overall group, and the Ministry of Science and Technology will confirm this during the mid-term financial review or financial acceptance. Equipment fees, travel expenses, conference fees, international cooperation and exchange fees, labor costs, and expert consultation fees are generally not increased. If it is necessary to reduce expenses, the above procedures can be used to adjust expenditures for other aspects of the project. Indirect costs cannot be adjusted.
Article 26 The project payment management shall be implemented in accordance with the relevant provisions of the financial treasury management system.
The leading unit of the project shall promptly allocate funds for the cooperation unit according to the budget, and strengthen the supervision and administration of the allocation of funds abroad. The project leader and cooperating unit shall not transfer funds in disguised form and disburse funds in disguised form.
Article 27 The Ministry of Science and Technology and the Ministry of Finance regularly supervise and inspect the management and use of project funds and financial audits, and gradually establish a performance evaluation system for special funds.
Article 28 The annual balance of unfinished projects shall be carried forward for use in the next year as prescribed. If the project is suspended for any reason (including failure to pass comprehensive inspection and acceptance), the finance department of the project leader shall promptly clear the accounts and assets, prepare the financial report and asset list, and report it to the project organization department. The project organization department shall conduct the inventory processing and report to the Ministry of Science and Technology for the record. The funds shall be withdrawn from the original channels and shall be implemented in accordance with the relevant provisions of the Ministry of Finance on the carry-over of fiscal appropriations and the management of surplus funds.
Chapter V Project Implementation and Supervision Article 29 The project implements a legal person responsibility system. The project lead unit is responsible for the project, and the cooperation unit is responsible for the tasks undertaken.
Article 30 The project lead unit shall set up a project overall group composed of the chief executive leadership of the unit, related personnel of the project organization department, relevant management personnel of the cooperation unit, project leader and project team, and be responsible for project and task execution. Coordinating work, researching and resolving new situations and new issues that emerged during project implementation.
Article 31 The project leader shall set up a project technical expert group and project user committee to provide advice on the project's technological development and application of the results.
Article 32 The lead unit and the cooperative unit of the project shall establish a strict quality control system and standardize the management of each link from drawing design, material selection, component processing, and process installation to form a complete and complete technical document. Technical documents should meet the requirements for the reproduction and production of scientific instruments and equipment.
Article 33 The project organization department shall establish a project supervision team composed of experts and user representatives in the fields of technology, finance, and management to carry out the whole process of the project's operating mechanism, safeguard conditions, implementation progress, use of funds, file management, and application of results. Supervise and regularly submit the report on supervision activities to the project organization department. If any major issues are found, it shall be reported to the project organization department in a timely manner. The project leader and the cooperative unit shall provide the project supervision team with relevant materials in a timely manner as required, and actively cooperate with the project supervision team.
According to management needs, the Ministry of Science and Technology conducts random inspections of project implementation.
Article 34 The annual implementation of the project and the reporting system for major events shall be implemented. The project organization department reports the project implementation status to the Ministry of Science and Technology every year.
Article 35 If any of the following major issues occur during the implementation of a project, it shall be adjusted or withdrawn in a timely manner:
(1) Significant changes in technology, market demand, etc. have caused the original target and technical route of the project to be revised;
(2) The supporting conditions promised cannot be implemented, affecting the normal implementation of the project;
(3) Significant changes in technology introduction and international cooperation have caused the research work to fail;
(4) Significant changes have occurred in the technical backbone of the project, resulting in the failure of normal research work;
(5) Due to other irresistible factors, the research work cannot be conducted normally;
(6) Other situations that lead to the failure to complete the relevant goals and requirements of the project.
Article 36 refers to major issues such as the adjustment of the content of the approval of the Ministry of Science and Technology project approval and the cancellation of the project. The project leader shall submit an application to the project organization department. After the project organization department examines and proposes the handling opinions, it shall be submitted to the Ministry of Science and Technology for examination and approval. Other major adjustments shall be approved by the project organization department according to the procedures.
Article 37 The project organization department and the Ministry of Science and Technology shall objectively record the credit status of the relevant personnel and units in the aspects of project establishment, project implementation, inspection, evaluation and acceptance, and serve as an important basis for project management and decision-making.
Chapter VI Acceptance and File Management Article 38 After the completion of the project, the project organization department organizes the preliminary acceptance of the project. Acceptance materials include related technical documents, user use reports, and financial audit reports.
Encourage the project organization department to increase the quality evaluation of scientific instruments and equipment in the preliminary acceptance work.
Article 39 Within six months after the completion of the project, the project leader shall submit an application for comprehensive acceptance of the project on the basis of preliminary acceptance of the project. After being reviewed by the project organization department, the project leader shall report to the Ministry of Science and Technology for comprehensive acceptance.
Article 40 The Ministry of Science and Technology organizes an expert group to carry out comprehensive inspection and acceptance work. Comprehensive acceptance work includes two parts: financial acceptance and project acceptance. According to the completion of the project, the comprehensive acceptance conclusion is divided into acceptance and non-acceptance.
The project objectives and tasks have been completed in accordance with requirements, and the funds have been used rationally for acceptance. Where one of the following circumstances does not pass the acceptance:
(i) Less than 85% of project objectives are completed;
(2) The acceptance documents, data and data provided are not true and there is fraud;
(c) There are unresolved disputes in the research process and results;
(4) There are serious problems in the use of funds;
(5) Without proper justification and without approval, the project deadline has not been completed beyond the prescribed implementation time limit of more than six months.
Article 41 Within one month after the completion of comprehensive acceptance of the project, the Ministry of Science and Technology shall notify the project organization department of the results of the comprehensive inspection and acceptance.
Without comprehensive acceptance, the project organization department shall, within three months after receiving the notification from the Ministry of Science and Technology, organize the project lead unit and the cooperative unit to make corresponding improvements to the existing problems and apply again for comprehensive acceptance. If the comprehensive acceptance has not been passed and there is no justification, the lead unit of the project shall summarize and analyze according to relevant regulations and requirements. The person in charge of the project and the undertaking unit shall not undertake the special project again within three years.
Article 42 After the project has passed comprehensive inspection and acceptance, the project leader shall promptly complete the procedures for financial settlement within one month. If there is any balance in the project funds, the original channels will be withdrawn and the relevant provisions of the Ministry of Finance on the transfer of financial allocations and the management of surplus funds shall be implemented.
Article 43 The fixed assets purchased and trial-produced by public institutions using special funds are state-owned assets, and their management shall be implemented in accordance with the relevant regulations of the State. The fixed assets purchased and trial-produced by enterprises using special funds shall be implemented in accordance with the relevant rules and regulations such as the “General Rules for Corporate Financeâ€.
Article 44 The organization and management of the project by the project organization department and the implementation of the project organized by the project organization will serve as an important basis for the dynamic adjustment of the pilot project organization department by the Ministry of Science and Technology and the Ministry of Finance.
Article 45 The project leader shall establish a scientific and standardized file management system, and timely collect the archived electronic documents, written materials, audiovisual data, photos, charts, data, and other information generated during the implementation of the project. , collation and archiving, and timely filed by the project organization department to the Ministry of Science and Technology. If it belongs to a confidential project, it strictly complies with the relevant national secrecy management regulations.
Article 46 The Ministry of Science and Technology shall establish a unified platform for special information and results management to promote the exchange and cooperation of projects and the sharing of results. Under the premise of complying with the relevant national secrecy management regulations, information such as project approvals and project achievements shall be made public to the public in a timely manner, subject to public supervision, and promote the sharing and application of results.
Chapter VII Application of Results and Management of Intellectual Property Article 47 After comprehensive acceptance of the project, the project organization department and the project leader shall work closely with the application unit and related companies to strengthen the application of results and increase market share in accordance with the principle of marketization. , promote the transformation of results or technology transfer. The application of the results of the promotion or technology transfer program should be filed with the Ministry of Science and Technology for the record.
Article 48 Within three years after the comprehensive acceptance of the project, the project leader shall submit an annual report on the use of project achievements to the Ministry of Science and Technology, including industrialization, market share, user usage, and open sharing conditions. On this basis, the Ministry of Science and Technology conducts a comprehensive assessment of the application status and benefits of the project results, and the evaluation results will be used as a basis for subsequent establishment and selection of the undertaking unit.
Article 49 The attribution, use, protection, and management of intellectual property rights formed by the project shall be strictly in accordance with the "Scientific and Technological Progress Law" and national laws and regulations concerning the protection of intellectual property rights and "Regulations on the management of intellectual property rights of the research achievements of national scientific research projects." "Several Regulations" (Guobanfa [2002] No. 30) and other laws and regulations are implemented.
The key technologies, key components, engineering processes, application methods, scientific instruments and equipment, and other important achievements and their intellectual property rights generated by the project shall be used first within the territory, and transferred or licensed to an overseas organization or individual for exclusive implementation by an overseas organization or individual. It shall be approved by the Ministry of Science and Technology after being reviewed by the project organization department.
Article 50 The lead unit of a project shall sign an agreement with the cooperation unit in advance to clarify the division of tasks and the attribution, management, use, and distribution of benefits of intellectual property rights.
Article 51 The scientific instrument equipment products, monographs, dissertations, software, databases, and patents generated during the implementation of the project shall all be marked with the words “special funding for the development of national major scientific instruments and equipment†and the project approval number.
Chapter VIII Supplementary Provisions Article 52 The Ministry of Science and Technology and the Ministry of Finance shall timely select areas with good work bases and strong demonstrations to be included in the special pilot areas. Within the scope of the pilot area, the project lead unit is the unit of the pilot project organization department, and the project is recommended by the pilot project organization department; the project leader unit is the local unit (enterprise), and the project is led by the province where the project leader unit is located (municipalities, autonomous regions, and plans City) Science and Technology Department together with the financial sector. The project organization and management shall be implemented in accordance with the corresponding provisions of these Measures.
Article 53 The Measures shall be interpreted by the Ministry of Finance and the Ministry of Science and Technology.
Article 54 The present Measures shall come into force as of the date of issuance.
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