Interim Measures for the Administration of National High-tech Industry Development Projects

Chapter I General Principles

Article 1 In accordance with the Law of People's Republic of China (PRC) on the Progress of Science and Technology, the Law of People's Republic of China (PRC) on Promoting the Transformation of Scientific and Technological Achievements, in order to standardize and manage the national high-tech industry development projects, promote the healthy development of high-tech industries and improve the core competitiveness of industries, and in accordance with the Interim Measures for the Administration of Investment Subsidies and Discounted Funds in the Central Budget, the Decision of the State Council on the Reform of Investment System and other relevant regulations are formulated.

Article 2 These Measures are applicable to national high-tech industrial development projects (hereinafter referred to as national high-tech projects) approved by the National Development and Reform Commission (hereinafter referred to as the National Development and Reform Commission), which are included in the national high-tech industrial development project plan, given investment subsidies or loan interest subsidies in the central budget, organized and managed by the project authorities, and implemented by the project unit with the main task of enhancing independent innovation capability and promoting the development of high-tech industries.

National high-tech projects with direct investment and capital injection in the central budget shall be managed with reference to relevant state regulations.

Article 3 The national high-tech projects mentioned in these Measures include:

(1) National high-tech industrialization projects (hereinafter referred to as "industrialization projects") refer to independent scientific and technological innovation achievements transformation projects with engineering integration and demonstration of key technologies as the main content or large-scale application as the goal.

(2) National major technical equipment development and major industrial technology development projects (hereinafter referred to as "R&D projects") refer to major technical equipment development projects required by national key construction projects and industrial R&D projects and key technologies urgently needed for the optimization and upgrading of key industrial structures.

(3) The national industrial technological innovation capacity building project refers to the national engineering laboratory construction project (hereinafter referred to as "engineering laboratory project") and the national engineering research center construction project (hereinafter referred to as "engineering center project") aimed at breaking through the technical bottleneck of industrial development and improving the R&D and verification ability of major scientific and technological achievements, and the national recognized enterprise technology center construction project (hereinafter referred to as "technology center project") aimed at improving the technological innovation ability of enterprises.

(4) The national technology upgrading and structural adjustment project of high-tech industries refers to the construction project (hereinafter referred to as the "upgrading and adjustment project") which focuses on transforming backward production conditions with advanced technologies, processes and equipment, promoting the growth of information industry, bio-industry and civil aviation and aerospace industry, promoting the optimization and upgrading of industrial structure, promoting industrialization with informatization, and actively developing e-commerce and enterprise informatization.

(5) Development projects of high-tech industries in other countries.

Article 4 The term "investment subsidies" as mentioned in these Measures refers to the investment fund subsidies given by the National Development and Reform Commission to qualified enterprise investment projects (including investment projects of public institutions, the same below) and local government investment projects. The term "loan discount" as mentioned in these Measures refers to the loan discount granted by the National Development and Reform Commission to qualified investment projects that use medium and long-term bank loans. Investment subsidies and loan discount funds (hereinafter referred to as "state subsidy funds") are all free investment.

Chapter II Organization and Management

Article 5 The National Development and Reform Commission is the organization department of national high-tech projects, and mainly performs the following duties:

(a) to study and put forward the national high-tech industry development plan and related special plans, and to study and put forward relevant industrial development policies;

(two) to study and determine the key areas and tasks of national high-tech projects;

(three) to organize the evaluation of national high-tech projects and reply to the fund application report of national high-tech projects;

(four) to prepare and issue the annual national high-tech industry development project plan and investment plan;

(five) to coordinate the implementation of national high-tech projects and organize or entrust project evaluation.

Article 6 The term "competent project department" as mentioned in these Measures refers to the relevant departments of the State Council, the development and reform commissions or economic and trade commissions of all provinces, autonomous regions, municipalities directly under the Central Government, cities with separate plans and Xinjiang Production and Construction Corps.

Enterprise groups under separate state planning and centrally managed enterprises may directly submit a fund application report to the National Development and Reform Commission, and assume the responsibility of project supervisor. The specific requirements shall be stipulated by the announcement or notice of national high-tech projects.

For national high-tech projects organized across regions and departments, the competent department of the project may be determined by the relevant regions or departments through consultation, or the competent department of the project may be designated by the organization department.

The competent department of the project shall perform the following main duties:

(a) according to the announcement of national high-tech projects or the notice of the National Development and Reform Commission, organize the relevant work of the departments, regions and enterprises (groups) to apply for state subsidy funds for high-tech projects, conduct a preliminary examination of the project construction conditions and bidding contents, submit a project fund application report to the National Development and Reform Commission after examination and approval, and be responsible for the preliminary examination results and application materials;

(two) responsible for the management of national high-tech projects and the coordination of major issues in the implementation of the project, to ensure the timely completion of the project and organize the project acceptance;

(three) to cooperate with the relevant state departments for inspection, audit and inspection;

(four) regularly summarize the implementation of national high-tech projects in this department, this region and this enterprise (group) every year and report to the National Development and Reform Commission.

Article 7 The term "project unit" as mentioned in these Measures refers to an enterprise legal person or institution registered in accordance with the laws of China and applying for national high-tech project grant funds. Project units should have a good management level, and have the technical development ability, fund raising and engineering construction organization and management ability required to undertake national high-tech projects.

The project unit shall perform the following main duties:

(a) in accordance with the requirements of these measures and the project announcement, prepare and submit the application report of the national high-tech project subsidy fund to the project department, and be responsible for the authenticity of the application materials;

(2) Implement the project according to the contents and requirements determined in the project fund application report approved by the project organization department and the competent department;

(three) according to the requirements of the competent department of the project and the implementation of funds, timely report the major problems in the implementation of the project;

(four) the implementation of special account management of state subsidy funds;

(five) to accept the assessment, inspection, audit and inspection entrusted by the National Development and Reform Commission and the financial and auditing departments at all levels, the competent department of the project or above;

(six) after the overall goal of the project is realized, the project acceptance shall be carried out in time as required.

Chapter III Declaration and Examination

Article 8 The National Development and Reform Commission shall, in accordance with the National Development Plan for High-tech Industries, the Guide for Key Areas of High-tech Industrialization with Current Priority, the Guidance Catalogue for Industrial Structure Adjustment, the National Industrial Technology Policy and other relevant special plans and industrial policies, issue announcements or notices for national high-tech projects, and clarify the key areas, key tasks, implementation time and the arrangement methods and standards of state subsidy funds for national high-tech projects.

Article 9 An enterprise investment project that should be approved or filed by a local government according to regulations shall submit a fund application report after approval or filing.

Local government investment projects that should be examined and approved by local governments according to relevant regulations shall submit a fund application report after the feasibility study report is approved by the competent examination and approval unit.

In accordance with the relevant provisions of the the State Council or the National Development and Reform Commission for approval of the project, can be submitted in the feasibility study report or project application report together with the application for funds, no longer submit a separate application report for funds; You can also make investment subsidies and interest discounts according to the requirements of national policies after the project is approved or approved, and submit a separate fund application report.

Article 10 An application for a national high-tech project shall meet the following basic conditions:

(a) in line with the requirements of the National Development and Reform Commission project announcement or notice;

(two) in line with the national industrial policy and energy saving, consumption reduction, environmental protection, safety and other requirements, the project scheme is reasonable and feasible, with good social and economic benefits;

(three) should have independent intellectual property rights in China, and the ownership of intellectual property rights is clear;

(four) the project unit must have strong technical development, financing and project implementation capabilities, and have a good credit rating, the asset-liability ratio is within a reasonable range, the project has basically met the implementation conditions, and the funds needed for the project have been implemented;

(5) The construction project shall be approved, approved or filed in accordance with the provisions of Article 9 of these Measures, and has basically met the conditions for commencement, or it has been started but has not been approved, approved or filed for more than two years, and has passed the pre-examination of the project land or obtained approval according to law, and has environmental protection and other licensing documents.

Eleventh to apply for national high-tech projects should also meet the following conditions:

(1) scientific and technological achievements (including independent intellectual property rights, digestion, absorption and innovation, technologies jointly developed at home and abroad, etc.). ) used in industrialization projects should have advanced nature and good popularization and application value, relevant achievements appraisal and certification or technical inspection reports issued by authoritative organizations and other supporting materials, necessary verification and production licenses; The project unit has strong engineering construction organization and management ability, and has the production and operation qualification to carry out related industrialization projects.

(2) The R&D scheme of R&D project is advanced, feasible and clear; The project unit should have strong technical innovation and equipment development capabilities, and have a research and development foundation and research and development team in related fields in the early stage; Major technical equipment development projects should be combined with supporting projects.

(three) the project undertaker of the engineering laboratory project and the engineering center project shall be the supporting unit of the national engineering laboratory or the national engineering research center which has been approved by the National Development and Reform Commission and completed the relevant construction work; The construction content of the project conforms to the development direction and task of the engineering laboratory or engineering research center, and the construction scheme is reasonable.

(four) the project unit of the technology center project should be the enterprise where the national enterprise technology center is located, and the national enterprise technology center scored more than 70 points in the evaluation of the national enterprise technology center in the last year; The project should be able to support the development of key and core technologies of enterprises.

(five) the upgrading and adjustment projects are in line with the industrial structure adjustment guidance catalogue; The project unit has a good modern enterprise operation mechanism and good business performance; Qualified to produce related products, the project must have a reasonable economic scale, and the products meet relevant national and international standards.

Twelfth project units should be in accordance with the relevant provisions of article tenth and article eleventh, the preparation of project funds application report.

The specific requirements of the project fund application report shall be stipulated by the project announcement or notice, including the following main contents:

(a) the basic situation and financial situation of the project unit;

(two) the basic situation of the project, including the project background, project construction (research and development) content, total investment and funding sources, technology, the implementation of various construction (research and development) conditions, etc. ;

(three) the main reasons and policy basis for applying for state subsidy funds;

(four) the contents of the project bidding (applicable to investment projects that apply for state subsidy funds of 5 million yuan or more);

(5) Other contents required by the project announcement or notice of the National Development and Reform Commission.

The project fund application report can be attached with the following relevant documents according to the specific circumstances:

(a) the approval document of the feasibility study report of the government investment project or the approval document of the enterprise investment project;

(2) Relevant documents on technical sources and technological advancement;

(three) the urban planning site selection opinions issued by the urban planning department (applicable to investment projects within the urban planning area);

(4) Pre-examination opinions on land use for the project issued by the land and resources department;

(five) the examination and approval opinions of the environmental impact assessment documents issued by the environmental protection department;

(six) the loan commitment letter issued by the financial institution, and the loan agreement or contract signed by the project unit and the relevant financial institution shall also be issued for the project applying for discount;

(seven) the statement that the project unit is responsible for the authenticity of the project fund application report and the attached documents;

(eight) other documents required by the National Development and Reform Commission project announcement or notice.

Thirteenth project departments in accordance with the relevant provisions of Article 10 to Article 12, the project unit put forward the project fund application report for review, and the approved project fund application report submitted to the National Development and Reform Commission. Among them, for projects whose work functions belong to the Provincial Economic and Trade Commission, the Provincial Economic and Trade Commission is the competent department of the project, and after consultation with the Provincial Development and Reform Commission, the Provincial Development and Reform Commission and the Provincial Economic and Trade Commission jointly submit them to the National Development and Reform Commission.

For the fund application report with incomplete application materials, the National Development and Reform Commission shall promptly notify the competent department of the project to supplement the relevant materials within the required time limit.

Article 14 The National Development and Reform Commission shall organize an expert group to review the application report for project funds submitted by the competent department of the project or entrust a consulting agency to evaluate it, and may solicit the opinions of relevant departments or local governments in the State Council if necessary.

The expert group shall be composed of experts who are professional, authoritative, representative and neutral, and have no significant interest in the project. The expert group shall evaluate the project scientifically, objectively and fairly.

Expert evaluation or consulting agency evaluation should mainly review and evaluate the project from the following aspects:

(a) the advanced nature and applicability of the project technology;

(two) the project has a driving role in the optimization and upgrading of related industries;

(three) the business ability and technology development ability of the project unit;

(four) the market prospects and economic benefits of the project;

(five) the feasibility of the project implementation plan;

(six) other requirements of the National Development and Reform Commission project announcement or notice.

Article 15 The National Development and Reform Commission shall, in accordance with the principles of scientificity, impartiality and merit selection, comprehensively consider the opinions of relevant departments and local governments in the State Council, examine and approve the application report for project funds, and inform the competent department of the project of the project review opinions and examination and approval results in an appropriate way. The approval document of the project fund application report is the basis for issuing state subsidy funds, which should include the overall goal of project implementation, the amount of state subsidy funds and the direction of fund use. The examination and approval documents can be handled separately or centrally.

The National Development and Reform Commission mainly reviews the project fund application report from the following aspects:

(a) in line with the direction of the use of funds in the central budget;

(two) in line with the relevant requirements of the project announcement or notice;

(3) Conforming to the principle of the arrangement of state subsidy funds;

(4) The relevant documents submitted are complete and effective;

(five) the main construction (research and development) conditions of the project have been basically implemented;

(6) Other conditions meeting the requirements of the National Development and Reform Commission.

Article 16 The National Development and Reform Commission shall, in principle, allocate no more than 200 million yuan for high-tech projects in a single country.

The National Development and Reform Commission arranges national high-tech projects invested by a single local government, with funds of 30 million yuan or less, all of which are managed as investment subsidies or interest subsidies, and only the fund application reports are examined and approved. National high-tech projects invested by a single enterprise of the National Development and Reform Commission, with a capital of 30 million yuan or less, can be managed by investment subsidies or loan interest subsidies, and the National Development and Reform Commission will examine and approve the fund application report; It can also be managed by direct investment or capital injection, and the feasibility study report is approved by the National Development and Reform Commission.

Where the funds allocated by the National Development and Reform Commission to a single national high-tech project are between 30 million yuan and 200 million yuan, and account for no more than 50% of the total investment of the project, local government investment projects can be managed by investment subsidies or loan interest subsidies, and the National Development and Reform Commission will examine and approve the fund application report; Investment projects of enterprises can be managed in the form of investment subsidies or loan interest subsidies. The National Development and Reform Commission approves the fund application report, and can also manage it by direct investment or capital injection. The National Development and Reform Commission examines and approves the feasibility study report.

If the funds allocated by the National Development and Reform Commission to a single national high-tech project are between 30 million yuan and 200 million yuan, accounting for more than 50% of the total project investment, or exceeding 200 million yuan, it will be managed by direct investment or capital injection, and the feasibility study report will be examined and approved by the National Development and Reform Commission.

Article 17 If the national subsidy fund for a single national high-tech project exceeds 30 million yuan, the National Development and Reform Commission may require the project unit to submit the preliminary design estimate and entrust an advisory body to make an evaluation, and decide the specific amount of funds arranged by the state according to the evaluation results.

Eighteenth individual national high-tech projects, the state subsidy funds in principle all one-time arrangements. The National Development and Reform Commission will no longer accept the application reports of national high-tech projects for which state subsidy funds have been arranged.

Chapter IV Fund Management

Nineteenth sources of funds for national high-tech projects include the project unit's own funds, state subsidies, matching funds of relevant departments or local governments in the State Council, bank loans and other funds raised by the project unit. In principle, the project funds are mainly self-raised by the project unit, and the state supports them in the form of financial subsidies.

Twentieth project units to raise R&D project capital or its own funds shall not be less than 30% of the new investment in the project. The sources of project funds include the cash that the project unit can use for the project, the funds raised by issuing stocks, the funds for increasing capital and shares of new and old shareholders, and the funds for realizing assets.

Article 21 State subsidy funds are divided into investment subsidies and loan interest subsidies.

State investment subsidies should be given in different grades according to the requirements of the importance, risk degree, industrial development and regional layout of the project.

The discount rate of loan discount shall not exceed the current medium and long-term loan interest rate of the bank. The total amount of discount funds is calculated and determined according to the total amount of bank loans, the discount rate of the current year and the discount period that the project meets the discount conditions. In principle, discount interest funds are arranged by stages according to the project implementation progress and the actual loan amount.

Article 22 State grant funds are mainly used for the purchase of instruments and equipment required for project research and development, R&D and engineering, improvement of process equipment and test conditions, construction of complete sets of industrial or engineering verification devices and test devices, construction of necessary supporting infrastructure, and purchase of necessary technologies and software.

Twenty-third national high-tech projects approved by the National Development and Reform Commission, into the national high-tech industry development project plan and investment plan.

The National Development and Reform Commission may, according to the approval documents of the project fund application report, the progress of the project construction and the availability of the project construction funds, and the application for the issuance of the project state subsidy funds put forward by the project authorities, issue the investment plan of the state subsidy funds at one time or in stages. The competent department of the project shall, after receiving the investment plan of state subsidy funds, reach the project unit as soon as possible according to the relevant regulations, and do a good job in relevant coordination.

For projects with the provincial economic and trade commission as the competent department of the project, the National Development and Reform Commission simultaneously issued a national subsidy fund investment plan to the provincial development and reform commission and the economic and trade commission, and the provincial development and reform commission and the economic and trade commission jointly reached the project unit.

Twenty-fourth project units to implement earmarking, special account management of state subsidies; No department or unit may intercept, occupy or misappropriate state subsidy funds; The competent department of the project should strengthen the supervision of the state grant funds, and urge the project units to use the state grant funds in accordance with the direction of the use of the state grant funds.

Twenty-fifth self-raised funds of project units should be invested in full and on time as planned. Encourage the competent department of the project to arrange necessary matching funds for the project.

Chapter V Project Implementation and Management

Twenty-sixth national high-tech projects implement the project unit responsibility system, the project unit is responsible for the planning, financing, construction and operation of the project in accordance with relevant laws and regulations, and cooperate with relevant state departments and project authorities to do a good job in the inspection, acceptance and audit of the use of state subsidy funds.

Twenty-seventh project departments should supervise the implementation of the project and the use of state subsidy funds according to the state's approval documents for the project fund application report and the project approval, approval or filing documents. The competent department of the project may require the project unit to prepare the preliminary design, construction scheme or implementation scheme of the project according to the specific circumstances.

Twenty-eighth all national high-tech projects should do a good job in bidding in accordance with relevant state laws and regulations. Among them, the use of state subsidies of 5 million yuan and above projects, bidding work should be strictly in accordance with the national development and Reform Commission approved the project bidding content and bidding related laws and regulations.

Article 29 The competent department of the project shall submit a project progress report to the National Development and Reform Commission in the form of official documents before the end of February and August each year, including the project progress, existing problems, specific measures to solve the problems and handling opinions, and put forward an application for the issuance of state grant funds. The project unit shall submit the progress of relevant projects according to the requirements of the competent department of the project.

Thirtieth project units shall organize the implementation in accordance with the overall objectives of the approved fund application report. In the process of implementation, in case of major project situations that need to be adjusted, it should be reported to the competent department of the project. For projects that cannot complete the overall goal, the competent department of the project shall put forward suggestions and report them to the National Development and Reform Commission; For other adjustments that do not affect the overall goal of the project, the competent department of the project shall be responsible for reviewing and adjusting, and send a copy to the National Development and Reform Commission.

Thirty-first after the implementation of the project to achieve the overall goal of the project, the project unit should make timely preparations for project acceptance, and submit an application for project acceptance to the competent department of the project. The competent department of the project shall timely accept the project and submit the acceptance conclusion to the National Development and Reform Commission. Enterprise groups with separate plans and centrally managed enterprises shall invite third-party personnel to participate in the acceptance of national high-tech projects. The project unit shall properly keep the relevant files and acceptance data of the project in accordance with the relevant provisions of the state.

Article 32 During the project implementation and after acceptance, the National Development and Reform Commission may organize or entrust the competent department of the project, relevant intermediary agencies or relevant expert groups to conduct mid-term evaluation and post-evaluation of the project as appropriate.

Article 33 The ownership of intellectual property rights, such as patents and copyrights, obtained during the implementation of the project shall be implemented in accordance with relevant laws and regulations.

Article 34 The financial treatment of state subsidy funds for research and development projects shall be managed in accordance with the relevant provisions on financial allocation for corresponding scientific research projects. The financial treatment of state subsidy funds for high-tech projects in other countries shall be managed according to capital reserve.

Chapter VI Supervision, Management and Legal Responsibility

Article 35 The National Development and Reform Commission is responsible for inspecting the implementation of national high-tech projects. Finance, auditing, supervision and other departments should conduct supervision and inspection according to the division of functions. The competent department of the project and the project unit shall cooperate with the inspection, audit, supervision and inspection.

Thirty-sixth project inspection, audit, supervision and inspection shall be carried out in accordance with the relevant laws and regulations and the management measures.

Thirty-seventh national high-tech project information should be disclosed to the public in an appropriate way, except those involving state secrets and national security, commercial secrets and other laws that are not suitable for disclosure. The National Development and Reform Commission and the competent department of the project shall accept reports from units and individuals on violations of laws and regulations in the process of national high-tech project approval and construction, and investigate and deal with them in accordance with relevant regulations.

Article 38 The National Development and Reform Commission will, according to the overall objectives and contents of the project, commend the project units that have completed and passed the acceptance on schedule or ahead of schedule, as well as the project departments and staff who have made outstanding performance in project organization and management. In the future selection of national high-tech projects, the projects declared by the commended project departments will be given priority under the same conditions.

Article 39 If a project unit commits any of the following acts, the National Development and Reform Commission may order it to rectify, reduce, stop allocating or recover state subsidy funds within a time limit, and, depending on the seriousness of the case, submit it to or hand it over to the relevant departments for investigation of the administrative or legal responsibilities of the responsible person according to law:

(a) providing false information to defraud the state subsidy funds;

(two) transfer, embezzlement or misappropriation of state subsidies;

(three) to change the overall objectives and main construction contents of the project without authorization;

(four) there is no violation, but the overall goal of the project is not completed as required without justifiable reasons, and it has not passed the acceptance for two years;

(five) other acts in violation of national laws and regulations and the provisions of these measures.

Article 40 If the project organization department, the competent department of the project, the evaluation and consultation unit and the relevant responsible persons practise fraud, neglect their duties, abuse their powers, engage in malpractices for selfish ends and ask for bribes in the process of examination and approval, management, evaluation, consultation, inspection and acceptance, the National Development and Reform Commission may suggest the relevant departments to investigate the administrative responsibilities of the relevant responsible persons according to law; If a crime is constituted, criminal responsibility shall be investigated by judicial organs according to law.

Chapter VII Supplementary Provisions

Article 41 The competent department of a project shall, in accordance with the general principles of these Measures and in combination with the specific conditions of its own department and region, formulate corresponding implementation rules and report them to the National Development and Reform Commission for the record.

Article 42 These Measures shall be interpreted by the National Development and Reform Commission.

Article 43 These Measures shall come into force on April 1 day, 2006.