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Medidas Provisionales de Administración Nacional de los Proyectos de Desarrollo de la Industria de Alta Tecnología, China

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Detalles Detalles Año de versión 2006 Fechas Entrada en vigor: 1 de abril de 2006 Adoptado/a: 28 de febrero de 2006 Tipo de texto Otras textos Materia Transferencia de tecnología Notas La medida tiene por objeto regular los proyectos de la industria nacional de alta tecnología de desarrollo, promover el sano desarrollo de las industrias de alta tecnología y la mejora de las capacidades industriales de competencias básicas.

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Textos principales Textos principales Chino 国家高技术产业发展项目管理暂行办法         Inglés Interim Measures Governing National Hi-tech Industry Development Projects        
 
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 Interim Measures Governing National Hi-tech Industry Development Projects

Interim Measures Governing National Hi-tech Industry Development Projects

Promulgated by National Development and Reform Commission on 2006-2-28

Chapter I General Provisions

Article 1 The present Measures are formulated in accordance with the "Law of the People's Republic of China on Scientific and Technological Progress", the "Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements", the "Decision of the State Council on Reforming the Investment System" and other laws and regulations, as well as the "Interim Measures for the Administration of Central Budgetary Investment Subsidies and Interest Subsidy Funds" and other provisions, for the purpose of regulating and administering the national hi-tech industry development projects, promoting the healthy development of hi-tech industries, and improving industrial core competence capabilities.

Article 2 The present Measures shall apply to the national hi-tech industry development projects which regard the enhancement of independent innovation capacity and promotion of hi-tech industry development as the main tasks, are listed into the national plan of hi-tech industry development projects upon approval of the National Development and Reform Commission (hereinafter referred to as "NDRC"), enjoy central budgetary investment subsidies or loan interest subsidies, are organized and administered by the administrative departments in charge of projects, and are specifically implemented by the project owners (hereinafter referred to as "national hi-tech projects").

The national hi-tech projects that the funds within the central budgetary are contributed in the form of either direct investment or capital shall be administered with reference to the relevant provisions of the state.

Article 3 National hi-tech projects as mentioned in the present Measures shall include:

(1) national hi-tech industrialization projects (hereinafter referred to as "industrialized projects"), which refer to the projects converted from independent scientific and technological innovation achievements, with the engineering integration and demonstration of key technologies as the main contents, or with the large-scale application as the objective;

(2) national major technical equipment research and major industry technological development projects (hereinafter referred to as "research and development projects"), which refer to the major technical equipment research projects needed in national key construction engineering projects, as well as the key technology research and development projects with industrial commonness as urgently needed in optimization and upgrading of key industrial structures;

(3) national industrial technical innovation capacity construction projects, which refer to the national engineering laboratory construction projects aiming at to break through the technical bottleneck of industry development, improve the engineering and industrialized research and development of major scientific and technological achievements, and enhance the verification capacities (hereinafter referred to as "engineering laboratory projects"), the national engineering research center construction projects (hereinafter referred to as "engineering center projects"), as well as the state-accredited enterprise technical center construction projects aiming at to improve enterprises' technical innovation capacities (hereinafter referred to as "technical center projects");

(4) national hi-tech industry technical upgrading and structural adjustment projects, which refer to the construction projects whose main contents are to reform backward production conditions with advanced technologies, techniques and equipment, and which aim at to promote the information industry, biological industry, civil aviation and spaceflight industry to enlarge the scale, promote the optimization and upgrading of industrial structure to drive industrialization with informatization, and actively develop electronic commerce and enterprise informatization (hereinafter referred to as "upgrading and adjustment projects"); and

(5) other national hi-tech industry development projects.

Article 4 The term "investment subsidies" as mentioned in the present Measures shall refer to the investment fund subsidies offered by NDRC to qualified enterprises' investment projects (including investment projects of public institutions, the same hereafter) and local governments' investment projects. The term "loan interest subsidy " as mentioned in the present Measures shall refer to the loan interest subsidies offered by NDRC to the qualified investment projects using medium and long-term banking loans. Both investment subsidies and loan interest subsidy funds (hereinafter referred to as "national subsidy funds") are gratuitous investment.

Chapter II Organization and Administration

Article 5 NDRC is the organizing department of national hi-tech projects, and mainly performs the following duties:

(1) Researching and proposing the national hi-tech industry development planning and relevant special project planning, as well as the development policies of the relevant industries;

(2) Researching and determining the key areas and tasks of national hi-tech projects;

(3) Organizing the appraisal of national hi-tech projects, and approving the application reports for funds used in national hi-tech projects;

(4) Working out and distributing annual national hi-tech industry development project plans and investment plans; and

(5) Coordinating the implementation of national hi-tech projects, and organizing or consigning the project evaluation work.

Article 6 The term " competent department of projects" as mentioned in the present Measures shall refer to the relevant department of the State Council, or the development and reform commission or the economic (trade) commission of each province, autonomous region, municipality directly under the Central Government, municipality under separate state planning, or Xinjiang Production and Construction Corps.

The enterprise groups under separate state planning and the enterprises under central management may directly submit their application reports for funds to NDRC, and shall assume superintendence responsibilities for their respective projects. The specific requirements shall be prescribed in the announcement or notice on national hi-tech projects.

For a national hi-tech project covering different regions or departments, the relevant regions or departments may determine the competent department of the projects through negotiation, or the project organizing department may designate the competent department of the projects.

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

(1) Organizing the relevant work on applying for national subsidy funds for the hi-tech projects of its own department, region or enterprise (group) according to NDRC's announcement or notice on national hi-tech projects, making preliminary examination on the construction conditions of the project and the contents of invitation for bid, etc., submitting the application report for project funds to NDRC after passing the preliminary examination, and being responsible for the preliminary examination results and declaration materials;

(2) Taking charge of managing the national hi-tech projects, coordinating and dealing with the major problems existing in project implementation, as well as guaranteeing on- time completion of projects and organizing check and acceptance of projects;

(3) Cooperating with the relevant departments of the state in the investigation, audit and inspection work; and

(4) Collecting the information on implementation of national hi-tech projects in its own department, region or enterprise (group) and reporting it to NDRC at regular intervals in each year.

Article 7 The term "project unit " as mentioned in the present Measures shall refer to an enterprise or public institution legal person that is registered under Chinese law and

applies for national subsidy funds for a hi-tech project. A project unit shall have sound operation and management capacity, technical development capacity needed in undertaking national hi-tech projects, and capacities of raising funds as well as organizing and managing engineering construction.

A project unit shall perform the following main duties:

(1) Complying with the requirements of the present Measures and the project announcement to work out and submit to the competent department of project the application report for state subsidy funds for the hi-tech project, and bearing the responsibility for the authenticity of the materials reported;

(2) Implementing the project according to the contents and requirements determined in the application report for project funds, which is approved by the project organizing department or competent department;

(3) Complying with the requirements to report the information on implementation of the project and on provision of funds to the competent department of project, and to timely report the major issues arising out of implementation of the project;

(4) Managing the national subsidy funds on a special account basis;

(5) Accepting the evaluations, investigations, audits and inspections made by NDRC, the public finance department or auditing department at any level, the competent department of project, or the institutions entrusted by any of the foregoing departments; and

(6) Complying with the requirements to timely make check and acceptance of the project after achieving the overall objective of the project.

Chapter III Application Report and Check

Article 8 NDRC shall, in accordance with the "National Hi-tech Industry Development Planning", the "Guidelines for Current Priorities for Development in Key Sectors of Hi- Tech Industry", the "Catalogue for the Guidance of Industrial Structure Adjustment", the "State Industrial Technology Policies" and other relevant special planning and relevant industrial policies, publish the announcement or notice on national hi-tech projects, clarify the key areas and tasks supported by the state and the time of implementation thereof, as well as the methods and standards of arranging national subsidy funds.

Article 9 For an enterprise investment project which ought to be ratified or archived by the local government in accordance with the relevant provisions, the project unit shall, after the ratification or archival filing, file an application report for funds.

For a local government investment project which ought to be examined and approved by the local government in accordance with the relevant provisions, the project unit shall, after the feasibility study report is approved by the approving entity having the power concerned, file an application report for funds.

For a project which ought to be submitted in accordance with the relevant provisions to the State Council or NDRC for approval or ratification, the project unit may, when submitting the feasibility study report or project application report, file the application for funds at the same time, without having to separately submit an application report for funds; it may also, after the project is approved or ratified, separately submit the application report for funds in light of the relevant requirements of the state policies on investment subsidies and interest subsidy.

Article 10 Whoever applies for a national hi-tech project shall meet the following basic conditions:

(1) It meets the requirements in NDRC's project announcement or notice;

(2) It conforms to the state industrial policies and meets the requirements on energy conservation, low consumption, environmental protection, and safety, etc., with the project program being reasonable and feasible, and has good social and economic benefits;

(3) It has independent intellectual property rights of China, and the belongingness of the intellectual property rights is clear;

(4) The project unit must have strong capacities in technical development, raising funds, implementing the project, and have good credit rate, and meanwhile, its ratio of debts to assets falls within a reasonable scope, the project has basically met the conditions for implementation, and the funds needed in the project have been resolved; and

(5) The project owner shall accomplish the procedures for approval, ratification or archival filing of the construction project in accordance with Article 9 of the present Measures, and the project has basically met the conditions for starting the construction, or the construction has been started but the period from the time of approval, ratification or archival filing has not exceeded two years, and the project owner who has the environmental protection permit and other permit document has passed the pre- examination on using land or the land used for the project has been lawfully approved.

Article 11 Whoever applies for a national hi-tech project shall also meet the following conditions:

(1) The scientific and technological achievements adopted in the industrialized project (including independent intellectual property rights, digested and absorbed innovations, and the technologies jointly developed by both domestic and foreign developers) shall be advanced and have good value for extension and application, and be supported with the

proof materials such as the certification or technical test report, etc. issued by the relevant achievement authentication and authoritative institutions, the necessary verification and production permits; while the project unit shall have strong capacities of organizing and managing engineering construction, and have the qualification for production and operation of relevant industrialized projects.

(2) The research and development scheme of the research and development project is advanced and feasible, and the objective is clear; the project unit shall have strong capacities of technical innovations and equipment research, and have the research and development basis in the relevant areas at the prior stage as well as the research and development team, the major technical equipment research project shall be combined with the supporting projects.

(3) The unit of an engineering laboratory project or engineering center project must be a supporting entity of a national engineering laboratory or be a national engineering research center, which is established upon approval of NDRC and has accomplished the relevant establishment work; the contents of project construction shall conform to the development direction and tasks of the engineering laboratory or the engineering research center, and the construction scheme is reasonable.

(4) The unit of a technical center project must be an enterprise to which the state- accredited enterprise technical center belongs, and the state-accredited enterprise technical center is scored 70 or above in the assessment of state-accredited enterprise technical centers in the latest year; the project shall be able to support the development of the enterprise's key and core technologies. And

(5) An upgrading and adjustment project shall conform to the catalogue on guidance of industrial structure adjustments; the project unit shall have a good modern enterprise operation mechanism and good operational performance, and shall have the qualification for producing the relevant products, and the project must have a reasonable economic scale, with the products meeting the relevant national and international standards.

Article 12 A project unit shall work out the application report for project funds in accordance with the relevant provisions in Article 10 and Article 11.

The specific requirements of the application report for project funds shall be set forth in the project announcement or notification, which shall include the following main contents:

(1) the project unit's basic information and financial conditions;

(2) the basic information on the project, including the background of the project, the contents of project construction (research and development), total investments and fund sources, techniques, fulfillment of all construction (research and development) conditions, etc.;

(3) the main reason and the policy basis for applying for national subsidy funds;

(4) the contents of invitation for bid to the project (applicable to the investment project under application for national subsidy funds amounting to 5 million Yuan or more); and

(5) other contents required to be provided by NDRC's project announcement or notice.

An application report for project funds may be attached with the following relevant documents under different specific circumstances:

(1) the approval documents to the feasibility study report of a government investment project or the approval documents on the ratification or archival filing of an enterprise investment project;

(2) the technical sources and the relevant documents proving that the technology is advanced;

(3) the opinions issued by the urban planning department on the site selection under the urban planning (applicable to the investment project within the urban planning area);

(4) the opinions issued by the administrative department of land and resources on pre- examination of the land used for the project;

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

(6) the loan commitments issued by the financial institution, and the loan agreement or contract concluded between the project unit and the financial institution in the case of a project involving interest subsidy;

(7) the statement of the project unit on being responsible for the authenticity of the contents of application report for project funds and the attached documents; and

(8) other documents required to be provided by NDRC's project announcement or notice.

Article 13 The competent department of project shall, in accordance with the relevant provisions in Articles 10 through 12, examine the application report for project funds which is filed by the project unit, and submit the application report for project funds qualified upon examination to NDRC. For a project on which the work functions remain with the commission of economic cooperation (trade) at the provincial level, the commission of economic cooperation (trade) at the provincial level shall be the competent department of project. After consultation between the commission of economic cooperation (trade) at the provincial level and the development and reform commission at the provincial level, the development and reform commission at the provincial level shall submit the application report to NDRC jointly with the commission of economic cooperation (trade) at the provincial level.

With respect to the application report for funds composed of incomplete reported materials, NDRC shall timely notify the competent department of project to supplement the relevant materials within the required time limit.

Article 14 With respect to an application report for project funds which is submitted by the competent department of project, NDRC shall organize a panel to make expert appraisal or shall entrust a consulting institution to make an evaluation, and may, when necessary, solicit opinions from the relevant department of the State Council or the local government.

The panel shall be composed of professional, authoritative, representative and unbiased experts who have no major interests with the project. The panel shall appraise the project scientifically, objectively and impartially.

The panel or the consulting institution shall make the appraisal or evaluation on the project mainly from the following aspects:

(1) whether the project technology is advanced or applicable;

(2) the driving function of the project to the optimization and upgrading of relevant industries;

(3) the project unit's operational capacity and technical development capacity;

(4) the market prospect and economic benefits of the project;

(5) the feasibility of the project implementation scheme; and

(6) other requirements in NDRC's project announcement or notice.

Article 15 The NDRC shall, in compliance with the principles of being scientific, fair and selecting the best, and according to the experts' appraisal opinions or the consulting institution's evaluation opinions, comprehensively consider the opinions of the relevant department of the State Council and the local government, examine and approve the application reports for project funds, and inform the competent departments of projects the appraisal or evaluation opinions and the examination results of the projects in proper ways. The approval documents to the application reports for project funds are the basis for distributing national subsidy funds, and shall include the overall objectives for implementing the projects, the quota of national subsidy funds and the directions of using the funds. The approval documents may either be issued separately or concentratively.

NDRC shall examine the application report for project funds mainly from the following aspects:

(1) conformity to the using direction within the central budgetary funds;

(2) conformity to the relevant requirements of the project announcement or notice;

(3) conformity to the principles on arrangement of the national subsidy funds;

(4) entirety and effectiveness of the relevant submitted documents;

(5) fulfillment of the main construction (research and development) conditions of the project; and

(6) conformity to other conditions required by NDRC.

Article 16 The maximum limitation of the funds arranged by NDRC to a single national hi-tech project shall generally not exceed 200 million Yuan.

The funds arranged by NDRC to a single national hi-tech project invested by a local government, with the amount to be 30 million Yuan or lower, shall all be managed in the form of investment subsidy or interest subsidy, and only the application report for funds needs to be examined and approved. The funds arranged by NDRC to a single national hi-tech project invested by an enterprise, with the amount to be 30 million Yuan or lower, may be managed in the form of investment subsidy or loan interest subsidy, under which circumstance the application report for funds shall be subject to NDRC's examination and approval; the funds may also be managed by way of contribution of direct investment or capital, under which circumstance the feasibility study report shall be subject to NDRC's examination and approval.

Where the funds arranged by NDRC to a single national hi-tech project are between 30 million Yuan and 200 million Yuan and occupy no more than 50% of the total investments of the project, they may, if the project is invested by a local government, be managed in the form of investment subsidy or loan interest subsidy, under which circumstance the application report for funds shall be subject to NDRC's examination and approval; or may, if the project is invested by an enterprise, either be managed in the form of investment subsidy or loan interest subsidy, under which circumstance the application report for funds shall be subject to NDRC's examination and approval, or be managed by way of contribution of direct investment or capital, under which circumstance the feasibility study report shall be subject to NDRC's examination and approval.

Where the funds arranged by NDRC to a single national hi-tech project are between 30 million Yuan and 200 million Yuan and occupy more than 50% of the total investments of the project, or exceed 200 million Yuan, they may be managed by way of contribution of direct investment or capital, under which circumstance the feasibility study report shall be subject to NDRC's examination and approval.

Article 17 Where the national subsidy funds of a single national hi-tech project exceed 30 million Yuan, NDRC may require the project unit to submit the budgetary estimation on the preliminary design, and may entrust a consulting institution to make appraisal, and

determine the specific amount of the state-arranged funds according to the appraisal result.

Article 18 The national subsidy funds of a single national hi-tech project shall generally be arranged once for all. With respect to a national hi-tech project to which the national subsidy funds have been arranged, NDRC shall no longer accept its application report for funds again.

Chapter IV Administration of Funds

Article 19 The fund sources of a national hi-tech project shall include the project unit's own funds, the national subsidy funds, the auxiliary funds of the relevant department of the State Council or the local government, the bank loans, and other funds raised by the project unit. The project funds shall generally be raised by the project unit itself, and the state shall provide supports by means of fund subsidies.

Article 20 The project capital raised by a project unit or the funds owned by a research and development project unit itself shall not be lower than 30% of the newly increased investments to the project. The project capital sources shall include the cash used by the project unit in the project, the funds raised from issuance of shares, the share funds increased by new and old shareholders, and the funds encashed from assets, etc.

Article 21 National subsidy funds may be classified into investment subsidies and loan interest subsidies.

The state shall, when providing supports of investment subsidies, divide the projects into different classes in light of the importance, risk extent, industry development, regional layout and other relevant requirements.

The interest subsidy rate of certain loan interest subsidies shall not exceed the medium and long-term bank loan interest rate of the current period. The total amount of the interest subsidy funds shall be calculated and determined on the basis of the total amount of bank loans for the project to meet the interest subsidy conditions, the interest subsidy rate of the current year and the duration of the interest subsidy. In general, the interest subsidy funds shall be arranged by installments according to the project implementation schedule and the actual amount of the loans.

Article 22 The national subsidy funds shall be mainly used for research and development of projects, purchase of apparatus and equipment for research, development and engineering, improvement of technical equipment and testing conditions, construction of full set of devices and experiment devices for industrialized or engineering verification, construction of necessary basic auxiliary facilities, purchase of necessary technologies and software, etc.

Article 23 The national hi-tech projects approved by NDRC shall be listed into the national hi-tech industry development project plan and the investment plan.

NDRC may, according to the approval documents to the application report for project funds, the project construction schedule, contribution of project construction funds, and the application filed by the competent department of project for distribution of national subsidy funds, distribute the national subsidy fund investment plan by once or by several times. The competent department of project shall, after receipt of the national subsidy fund investment plan, distribute it to the project unit in accordance with the relevant provisions as soon as possible, and do a good job in relevant coordination work.

With respect to a project in which the commission of economic cooperation (trade) at the provincial level acts as the competent department of project, NDRC shall meanwhile distribute the national subsidy fund investment plan to the development and reform commission and the economic (trade) commission at the provincial level, while the development and reform commission at the provincial level and the commission of economic cooperation (trade) at the provincial level shall jointly distribute the plan to the project unit.

Article 24 A project unit shall use the national subsidy funds for the special purpose, and manage them by establishing special account books. No department or entity shall withhold, occupy or misappropriate the national subsidy funds. The competent department of project shall strengthen its superintendence over the national subsidy funds, and urge the project unit to use the national subsidy funds according to the direction of using national subsidy funds.

Article 25 The funds raised by the project unit itself shall be fully contributed in time according to the plan. The competent department of project shall be encouraged to arrange necessary auxiliary funds to the project.

Chapter V Implementation and Administration of Projects

Article 26 A project unit 's responsibility system shall be adopted to national hi-tech projects. The project unit shall, in accordance with the relevant laws and regulations, take charge of planning the projects, raising funds, carrying out construction and operation, etc., and cooperate with the relevant departments of the state and the competent departments of projects in doing a good job in the investigation, inspection and audit of the use of national subsidy funds.

Article 27 The competent department of project shall, according to the state's approval documents to the application report for project funds and the documents on examination and approval, ratification or archival filing of the project, superintend the project implementation and the use of national subsidy funds, etc. The competent department of project may, when required by the specific situation, require the project unit to work out the programs on preliminary design, construction or implementation of the project.

Article 28 All of national hi-tech projects shall, in accordance with the relevant laws and regulations of the state on bidding and invitation for bid, do a good job in invitation for bid. With respect to any project using no less than 5 million Yuan of national subsidy funds, the project unit shall, in strict accordance with the contents ratified by NDRC on invitation for bid to the project and the relevant laws and regulations on bidding and invitation for bid, carry out the work of invitation for bid.

Article 29 An competent department of projects shall, by the end of February and August of each year, submit to NDRC in the form of formal documents a project progress report containing the contents such as the project schedule, the existing problems, the specific solutions and settlement opinions, etc., and file the application for allotting national subsidy funds. The project unit shall submit the relevant information on project progress in light of the requirements as put forward by the competent department of project.

Article 30 A project unit shall, according to the overall objective approved to the application report for funds, organize the implementation of the project. If, in the process of implementation, the project needs to be adjusted due to a major circumstance, the project unit shall report to the competent department of project. For a project in which the overall objective cannot be achieved, the competent department of project shall propose the settlement suggestion and report it to NDRC; with respect to any other project which will not affect the overall objective from being achieved, the competent department of project shall take charge of checking and adjusting it, and make a copy to NDRC.

Article 31 Where a project unit achieves the overall objective of the project after the implementation, it shall timely do a good job in preparing for the check and acceptance, and shall file an application for check and acceptance of the project to the competent department of project. The competent department of project shall timely check the project, and submit the conclusion of the check and acceptance to NDRC. An enterprise group under separate state planning or an enterprise under central management shall, when checking a national hi-tech project, invite the staff of a third party to take part in. The project unit shall, in accordance with the relevant provisions of the state, keep appropriate custody of the relevant archives of the project and the materials on check and acceptance.

Article 32 In the process of implementation of a project and after the check and acceptance, NDRC may, as the case may be, organize or entrust the competent department of project, the relevant intermediary institution or the relevant panel to make medium-term evaluation and post-term evaluation on the project.

Article 33 The ownership of the patents, copyrights and other intellectual property rights obtained in the process of implementation of projects shall be governed by the relevant laws and regulations.

Article 34 For the sake of financial treatment, the national subsidy funds of research and development projects shall be managed in accordance with the relevant provisions on

allotted fiscal funds for scientific research projects, while the national subsidy funds of other national hi-tech projects shall be managed as capital reserve.

Chapter VI Supervision, Administration and Legal liabilities

Article 35 NDRC shall take charge of investigating the implementation of national hi- tech projects. The administrative departments of public finance, audit, supervision, etc., shall make supervision and inspections upon their respective functions. The competent department of project concerned and the project unit shall cooperate in the investigation, audit, supervision and inspection.

Article 36 The project investigation, audit, supervision and inspection shall be made in accordance with the relevant laws and regulations as well as the present administrative Measures.

Article 37 The information on national hi-tech projects shall, unless it involves any state secret, national security or commercial secret, or is otherwise not suitable to be publicized as required by law, be publicized to the general public in a proper way. NDRC and the competent departments of projects shall accept the revealing of entities and individuals on the illegal and rule-breaking acts arising in the process of examination, approval and construction of national hi-tech projects, and shall investigate such acts in accordance with the relevant provisions.

Article 38 NDRC will commend the project unit who complete their respective projects on time or in advance pursuant to the overall objectives of the projects and the contents of the projects, pass the check and acceptance, and have made prominent achievements, as well as the competent departments of projects and their staff who perform excellently in the project organization and management, and shall, in the future appraisal of national hi- tech projects, arrange the projects reported and organized by the commended competent departments of projects in priority under equal conditions.

Article 39 Where a project unit has any of the following acts, NDRC may order it to make a rectification within a time limit, may decrease, stop allotting or retract the national subsidy funds, and may, in light of the severity of the circumstance, refer or transfer the matter to the relevant organ for lawful investigation of the administrative or legal liabilities of the relevant persons held liable:

(1) Providing false information to defraud national subsidy funds;

(2) Transferring, encroaching on or misappropriating the national subsidy funds;

(3) Unlawfully changing the overall objective of the project or any main construction content;

(4) Violating no rule, but failing to comply with the requirement without any justifiable reason to accomplish the overall objective of the project which has been delayed two years for check and acceptance; or

(5) Other acts of violating any law or regulation of the state or the present Measures.

Article 40 Where a project organizing department, an competent department of project, an evaluation or consulting entity, or any other relevant responsible person practices frauds, neglects its/his duties, abuses its/his powers, practices favoritism for himself or his relative, demands or accepts bribes in the process of examination, approval, administration, evaluation, consulting, investigation and inspection, etc., NDRC may suggest that the relevant department lawfully investigate the administrative liabilities of the relevant parties held liable; if any crime is constituted, it/he shall be investigated by the judicial organ for criminal liabilities in accordance with the law.

Chapter VII Supplementary Provisions

Article 41 Each competent department of projects shall, in compliance with the overall principles of the present Measures, and in light of its own specific situation, make corresponding detailed rules for implementation, and report them to NDRC for archival filing.

Article 42 The power and responsibility to interpret the present Measures shall remain with NDRC.

Article 43 The present Measures shall come into force on April 1, 2006.

 
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国家发展和改革委员会令 (43)

为贯彻落实党的十六届五中全会和全国科技大会精神,增强自主创新能力,加快发展高技术产业,进一步规范管理国家高技术产业发展项目,特制定《国家高技术 产业发展项目管理暂行办法》,经国家发展和改革委员会主任办公会讨论通过,现予公布,自200641日起施行。 国家发展和改革委员会主任: 马凯 ○○六年二月二十八日 国家高技术 产业发展项目管理暂行办法

第一章

第一条 为规范管理国家高技术产业发展项目,促进高技术产业健康发展,提高产业核心竞争力,根据《中华人民共和国科学技术进步法》和《中华人民共和国促进科技成果 转化法》、《国务院关于投资体制改革的决定》等法律法规,依照《中央预算内投资补助和贴息资金管理暂行办法》等有关规定,制定本办法。

第二条 本办法适用于以增强自主创新能力和促进高技术产业发展为主要任务,经国家发展和改革委员会(以下简称国家发展改革委)批准列入国家高技术产业发展项目 计划,并给予中央预算内投资补助或贷款贴息,由项目主管部门组织管理,由项目单位具体实施的国家高技术产业发展项目(以下简称国家高技术项目)。 对于中央预算内资金采取直接投资和资本金方式注入的国家高技术项目参照国家有关规定进行管理。

第三条 本办法所称国家高技术项目包括: (一)国家高技术产业化项目(以下简 产业化项目),是指以关键技术的工程化集成、示范为主要内容,或以规模化应用为目标的科技自主创新成果转化项目。 (二)国家重大技术装 备研制和重大产业技术开发项目(以下简称研制开发项目),是指国家重点建设工程需要的重大技术装备研制项目和重点产业结构优化升级所急需的产业共性、 关键技术研发项目。 (三)国家产业技术创新能力建设项目,是指以突破产业发展的技术瓶颈、提高重大科技成果工程化、产业化研发及验证能力为目 标的国家工程实验室建设项目(以下简称工程实验室项目)和国家工程研究中心建设项目(以下简称工程中心项目),以及以提高企业技术创新能力为目标 的国家认定企业技术中心建设项目(以下简称技术中心项目)。 (四)国家高技术产业技术升级和结构调整项目,是指以先进的技术、工艺和设备 改造落后的生产条件为主要内容,以推进信息产业、生物产业、民用航空航天产业扩大规模,促进产业结构优化升级和以信息化带动工业化,积极发展电子商务和企 业信息化为目标的建设项目(以下简称升级调整项目)。 (五)其他国家高技术产业发展项目。

第四条 本办法所称投资补助是指国家发展改革委对符合条件的企业投资项目(含事业单位投资项目,下同)和地方政府投资项目给予的投资资金补助。本办法所称贷款贴息 是指国家发展改革委对符合条件、使用了中长期银行贷款的投资项目给予的贷款利息补贴。投资补助和贷款贴息资金(以下简称国家补贴资金)均为无偿投入。

第二章 组织管理

第五条 国家发展改革委是国家高技术项目的组织部门,主要履行以下职责: (一)研究提出国家高技术产业发展规划和有关专项规划,研究提出相关产业的发展政策; (二)研究确定国家高技术项目的重点领域和重点任务; (三)组织评审国家高技术项目,批复国家高技术项目的资金申请报告; (四)编制和下达年度国家高技术产业发展项目计划和投资计划; (五)协调国家高技术项目的实施工作,组织或委托项目评估工作。

第六条 本办法所称项目主管部门是指国务院有关部门,省、自治区、直辖市、计划单列市及新疆生产建设兵团发展和改革委员会或经济(贸易)委员会。 计划 单列企业集团和中央管理企业可直接向国家发展改革委报送资金申请报告,并对项目承担主管责任。具体要求由国家高技术项目公告或通知规定。 对跨 地区、跨部门组织的国家高技术项目,可由相关地区或部门协商确定项目主管部门,或由组织部门指定项目主管部门。 项目主管部门应履行以下主要职 责: (一)根据国家发展改革委的国家高技术项目公告或通知,组织本部门、本地区和本企业(集团)的高技术项目申请国家补贴资金的相关工作,对 项目的建设条件、招标内容等进行初审,审查通过后向国家发展改革委报送项目资金申请报告,并对初审结果和申报材料负责; (二)负责国家高技术 项目的管理工作和项目实施中重大问题的协调、处理,确保项目按期完成并组织项目验收工作; (三)配合国家有关部门进行稽察、审计和检查工作; (四)每年定期将本部门、本地区和本企业(集团)的国家高技术项目执行情况汇总并报国家发展改革委。

第七条 本办法所称项目单位是指依照我国法律登记、注册,申请高技术项目国家补贴资金的企业或事业法人。项目单位应具有较好的经营管理水平,具备承担国家高技术项 目所需的技术开发能力和资金筹措、工程建设组织管理能力。 项目单位应履行下列主要职责: (一)按照本办法和项目公告的要求,编制 并向项目主管部门报送高技术项目国家补贴资金申请报告,并对申报材料的真实性承担责任; (二)按照项目组织部门、主管部门批复的项目资金申请 报告确定的内容和要求实施项目; (三)按要求向项目主管部门报告项目实施情况和经费落实情况,及时报告项目执行中出现的重大事项; (四)对国家补贴资金要实行专账管理; (五)接受国家发展改革委及各级财政、审计部门,项目主管部门或上述部门委托的机构所进行的评估、稽 察、审计和检查; (六)项目总体目标达到后,及时按要求进行项目验收。

第三章 申报及审核

第八条 国家发展改革委根据《国家高技术产业发展规划》、《当前优先发展的高技术产业化重点领域指南》、《产业结构调整指导目录》、《国家产业技术政策》及其他相 关专项规划和相关产业政策,发布国家高技术项目公告或通知,明确国家支持的重点领域、重点任务、实施时间,以及安排国家补贴资金的方式和标准。

第九条 按有关规定应由地方政府核准或备案的企业投资项目,应在核准或备案后提出资金申请报告。 按有关规定应由地方政府审批的地方政府投资项目,应在 可行性研究报告经有权审批单位批准后提出资金申请报告。 按照有关规定应报国务院或国家发展改革委审批、核准的项目,可在报送可行性研究报告或 项目申请报告时一并提出资金申请,不再单独报送资金申请报告;也可在项目经审批或核准同意后,根据国家有关投资补助、贴息的政策要求,另行报送资金申请报 告。

第十条 申请国家高技术项目应具备以下基本条件: (一)符合国家发展改革委项目公告或通知的要求; (二)符合国家产业政策和节能、降耗、 环保、安全等要求,项目方案合理可行,具有较好的社会经济效益; (三)应具有我国自主知识产权,知识产权归属明晰; (四)项目单 位必须具有较强的技术开发、资金筹措、项目实施能力,以及较好的资信等级,资产负债率在合理范围内,项目已基本具备实施条件,项目所需资金已落实; (五)建设项目应按本办法第九条完成审批、核准或备案,已基本具备开工建设条件,或已经开工建设但审批、核准或备案未超过两年,已通过项目用地预审或用 地已经依法批准,具有环保以及其他许可文件。

第十一 申请国家高技术项目还应具备以下条件: (一)产业化项目采用的科技成果(包括自主知识产权、消化吸收创新、国内外 联合开发的技术等)应具有先进性和良好的推广应用价值、有关成果鉴定、权威机构出具的认证或技术检测报告等证明材料、必要的验证和生产许可;项目单位具有 较强的工程建设组织管理能力,具有开展相关产业化项目的生产、经营资格。 (二)研制开发项目的研制开发方案先进、可行,目标明确;项目单位应 具有较强的技术创新和装备研制能力,具有前期相关领域的研发基础和研发队伍;重大技术装备研制项目应结合依托工程。 (三)工程实验室项目和工 程中心项目的项目单位须为已经国家发展改革委批准组建,并完成相关组建工作的国家工程实验室的依托单位或国家工程研究中心;项目建设内容符合该工程实验室 或工程研究中心的发展方向和任务,建设方案合理。 (四)技术中心项目的项目单位须为国家认定企业技术中心所在企业,且该国家认定企业技术中心 在最近年度国家认定企业技术中心评价中得分70分以上;项目应能够支撑企业关键、核心技术的开发。 (五)升级调整项目应符合产业结构调整指导 目录;项目单位具有良好的现代企业运行机制和较好的经营业绩;具有开展相关产品生产的资格,项目必须具有合理的经济规模,产品符合国家和国际有关标准。

第十二条 项目单位应根据第十条和第十一条的相关规定,编制项目资金申请报告。 项目资金申请报告的具体要求由项目公告或通知具体规定,应包括以下主要内 容: (一)项目单位的基本情况和财务状况; (二)项目的基本情况,包括项目背景、项目建设(研发)内容、总投资及资金来源、技术 工艺、各项建设(研发)条件落实情况等; (三)申请国家补贴资金的主要理由和政策依据; (四)项目招标内容(适用于申请国家补贴 资金500万元及以上的投资项目); (五)国家发展改革委项目公告或通知要求提供的其他内容。 项目资金申请报告可根据具体情况附 以下相关文件: (一)政府投资项目的可行性研究报告批准文件或企业投资项目的核准或备案的批准文件; (二)技术来源及技术先进性 的有关证明文件; (三)城市规划部门出具的城市规划选址意见(适用于城市规划区域内的投资项目); (四)国土资源部门出具的项目 用地预审意见; (五)环保部门出具的环境影响评价文件的审批意见; (六)金融机构出具的贷款承诺,申请贴息的项目还须出具项目单 位与有关金融机构签订的贷款协议或合同; (七)项目单位对项目资金申请报告内容和附属文件真实性负责的声明; (八)国家发展改革 委项目公告或通知要求提供的其他文件。

第十三条 项目主管部门应根据第十条至第十二条的相关规定审查项目单位提出的项目资金申请报告,对审查合格的项目资金申请报告报送国家发展改革委。其中,对于工作职 能属于省级经济(贸易)委员会的项目,由省级经济(贸易)委员会作为项目主管部门,并由省级经济(贸易)委员会商省级发展和改革委员会后,由省级发展和改 革委员会会同省级经济(贸易)委员会联合报送国家发展改革委。 对申报材料不完备的资金申请报告,国家发展改革委及时通知项目主管部门在要求的 时限内补充相关材料。

第十四条 对项目主管部门报送的项目资金申请报告,国家发展改革委组织专家组进行专家评审或委托咨询机构进行评估,必要时可征求国务院有关部门或地方政府的意见。 专家组应由专业性、权威性、代表性、中立性,且与项目无重大相关利益的专家组成。专家组应科学、客观、公正地评审项目。 专家评审或咨询机构 评估应主要从以下方面对项目进行评审评估: (一)项目技术的先进性和适用性; (二)项目对相关产业的优化升级具有的带动作用; (三)项目单位的经营能力和技术开发能力; (四)项目的市场前景和经济效益; (五)项目实施方案的可行性; (六) 国家发展改革委项目公告或通知的其他要求。

第十五条 国家发展改革委按照科学、公平、择优的原则,根据专家评审意见或咨询机构的评估意见,综合考虑国务院有关部门和地方政府的意见,审查批复项目资金申请报 告,并将项目的评审评估意见和审批结果以适当的方式告知项目主管部门。项目资金申请报告的批复文件是下达国家补贴资金的依据,应包括项目实施的总体目标、 国家补贴资金额度和资金使用方向。批复文件可单独办理,也可集中办理。 国家发展改革委主要从以下方面对项目资金申请报告进行审查: (一)符合中央预算内资金的使用方向; (二)符合项目公告或通知的有关要求; (三)符合国家补贴资金的安排原则; (四)提交的相关文件齐备、有效; (五)项目的主要建设(研发)条件基本落实; (六)符合国家发展改革委要求的其他条件。

第十六条 国家发展改革委安排给单个国家高技术项目的资金最高限额原则上不超过2亿元。 国家发展改革委安排给单个地方政府投资的国家高技术项目的资金在 3000万元及以下的,一律按投资补助或贴息方式管理,只审批资金申请报告。国家发展改革委安排给单个企业投资的国家高技术项目的资金在3000万元及以 下的,可按投资补助或贷款贴息方式管理,国家发展改革委审批资金申请报告;也可按直接投资或资本金注入方式管理,国家发展改革委审批可行性研究报告。 国家发展改革委安排给单个国家高技术项目的资金在3000万元-2亿元之间且占项目总投资的比例不超过50%的,对于地方政府投资项目可按投资补助或贷 款贴息的方式管理,国家发展改革委审批资金申请报告;对于企业投资项目可按投资补助或贷款贴息的方式管理,国家发展改革委审批资金申请报告,也可按直接投 资或资本金注入方式管理,国家发展改革委审批可行性研究报告。 国家发展改革委安排给单个国家高技术项目的资金在3000万元-2亿元之间且占 项目总投资的比例超过50%的,或超过2亿元的,按直接投资或资本金注入方式管理,由国家发展改革委审批可行性研究报告。

第十七条 单个国家高技术项目的国家补贴资金超过3000万元的,国家发展改革委可要求项目单位报送初步设计概算,并委托咨询机构进行评审,根据评审结果决定国家安 排资金的具体数额。

第十八条 单个国家高技术项目的国家补贴资金原则上均为一次性安排。对于已经安排国家补贴资金的国家高技术项目,国家发展改革委不再重复受理其资金申请报告。

第四章 资金管理

第十九条 国家高技术项目的资金来源包括项目单位的自有资金、国家补贴资金、国务院有关部门或地方政府配套资金、银行贷款,以及项目单位筹集的其它资金。项目资金原 则上以项目单位自筹为主,国家采用资金补贴的方式予以支持。

第二十条 项目单位筹集的项目资本金或研发项目的自有资金不得低于项目新增投资的30%。项目资本金来源包括项目单位可用于项目的现金、发行股票筹集的资金、新老股 东增资扩股资金、资产变现的资金等。

第二十一条 国家补贴资金分为投资补助和贷款贴息补助两类。 国家投资补助应根据项目的重要性、风险程度以及产业发展、区域布局等要求,分档给予补助支 持。 贷款贴息补助的贴息率不超过当期银行中长期贷款利率。贴息资金总额根据项目符合贴息条件的银行贷款总额、当年贴息率和贴息年限计算确定, 原则上按项目的实施进度和贷款的实际发生额分期安排贴息资金。

第二十二条 国家补贴资金主要用于项目的研究开发、购置研究开发及工程化所需的仪器设备、改善工艺设备和测试条件、建设产业化或工程化验证成套装置和试验装置、建设必 要的配套基础设施、购置必要的技术、软件等。

第二十 三条 经国家发展改革委批复的国家高技术项目列入国家高技术产业发展项目计划和投资计划。 国家发展改革委根据项目资金 申请报告的批复文件、项目建设进度和项目建设资金到位情况,以及项目主管部门提出的项目国家补贴资金的下达申请,可一次或分次下达国家补贴资金投资计划。 项目主管部门收到国家补贴资金投资计划后,要按有关规定尽快将国家补贴资金投资计划下达到项目单位,并做好有关协调工作。 对于由省级经济(贸 易)委员会作为项目主管部门的项目,国家发展改革委将国家补贴资金投资计划同时下达省级发展和改革委员会及经济(贸易)委员会,由省级发展和改革委员会、 省级经济(贸易)委员会联合下达到项目单位。

第二十 四条 项目单位对国家补贴资金要专款专用、专账管理;任何部门和单位不得截留、挤占和挪用国家补贴资金;项目主管部门要对国家补贴资金加强监管,督促项目单位按 照国家补贴资金使用方向使用国家补贴资金。

第二十五 项目单位的自筹资金应按计划及时足额投入。鼓励项目主管部门对项目安排必要的配套资金。

第五章 项目实施与管理

第二十六条 国家高技术项目实行项目单位责任制,项目单位依照有关法律法规负责项目的筹划、筹资、建设、运营等,并配合国家有关部门和项目主管部门做好对国家补贴资金 使用的稽察、检查和审计工作。

第二十七条 项目主管部门根据国家对项目资金申请报告的批复文件和项目审批、核准或备案文件,对项目实施情况和国家补贴资金的使用情况等进行监管。项目主管部门可根据 具体情况要求项目单位编制项目初步设计、建设方案或实施方案。

第二十八条 所有国家高技术项目应按照国家有关招标投标的法律法规做好招标工作。其中,对于使用国家补贴资金500万元及以上的项目,要严格按照国家发展改革委核准的 项目招标内容和有关招标投标的法律法规开展招标工作。

第二十九条 项目主管部门应在每年2月底和8月底以前,以正式文件向国家发展改革委提交包括项目进度情况、存在的问题、解决问题的具体措施和处理意见等内容的项目进展 情况报告,并提出国家补贴资金的下达申请。项目单位应按照项目主管部门的要求报送有关项目进展情况。

第三十条 项目单位应按照资金申请报告批复的总体目标组织实施。实施过程中,项目出现重大情况需调整的,应向项目主管部门报告。对不能完成总体目标的项目,由项目主 管部门提出处理建议报国家发展改革委;对于其他不影响项目总体目标实现的调整,由项目主管部门负责审核调整,并抄报国家发展改革委。

第三十一条 项目实施达到项目总体目标后,项目单位应及时做好项目验收准备工作,并向项目主管部门提出项目验收申请。项目主管部门应及时对项目进行验收,并将验收结论 报送国家发展改革委。计划单列企业集团和中央管理企业在验收国家高技术项目时,应邀请第三方人员参加。项目单位要按国家有关规定妥善保管项目有关档案和验 收材料。

第三十二条 项目实施过程中和验收后,国家发展改革委可视情况组织或委托项目主管部门、有关中介机构或有关专家组对项目进行中期评估和后评估。

第三十三条 项目实施过程中取得的专利、著作权等知识产权权属,按照有关法律法规执行。

第三十四条 研制开发项目的国家补贴资金财务处理按照科研项目相应的财政拨款有关规定管理。其他国家高技术项目的国家补贴资金的财务处理按照资本公积管理。

第六章 监督管理和法律责任

第三十五条 国家发展改革委负责对国家高技术项目实施情况进行稽察。财政、审计、监察等部门依据职能分工进行监督检查。项目主管部门和项目单位应配合稽察、审计、监察 和检查工作。

第三十六条 项目稽察、审计、监察和检查工作应按照有关法律法规和本管理办法进行。

第三十七条 国家高技术项目信息,除涉及国家秘密和国家安全,商业秘密和其他依法不适宜公开的外,应当采取适当方式向社会公开。国家发展改革委和项目主管部门受理单 位、个人对国家高技术项目在审批、建设过程中违法违规行为的举报,并按照有关规定予以查处。

第三十八条 对于按项目总体目标和项目内容按期或提前完成、通过验收,取得突出成绩的项目单位,以及在项目组织和管理中工作表现出色的项目主管部门及工作人员,国家发 展改革委将给予表彰,并在今后的国家高技术项目评选中,对受表彰的项目主管部门组织申报的项目同等条件下优先安排。

第三十九条 项目单位有下列行为之一的,国家发展改革委可以责令其限期整改,核减、停止拨付或收回国家补贴资金,并可视情节轻重提请或移交有关机关依法追究有关责任人 的行政或法律责任: (一)提供虚假情况,骗取国家补贴资金的; (二)转移、侵占或者挪用国家补贴资金的; (三)擅自 改变项目总体目标和主要建设内容的; (四)无违规行为,但无正当理由未按要求完成项目总体目标延期两年未验收的; (五)其他违反 国家法律法规和本办法规定的行为。

第四十条 项目组织部门、项目主管部门和评估、咨询单位及有关责任人在审批、管理、评估、咨询、稽察、检查等过程中弄虚作假、玩忽职守、滥用职权、徇私舞弊、索贿受 贿的,国家发展改革委可建议有关部门依法追究有关责任人的行政责任;构成犯罪的,由司法机关依法追究刑事责任。

第七章

第四十一条 项目主管部门应根据本办法的总体原则,结合本部门、本地区的具体情况,制订相应的实施细则,并报国家发展改革委备案。

第四十二条 本办法由国家发展改革委负责解释。

第四十三条 本办法自二○○六年四月一日起施行。

布部门:国家发展和改革委员会(含原国家发展计划委员会、原国家计划委员会) 发布日期:20060228日 实施日期:20060401 (中央法规)


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