Interim Measures for the Administration on the Projects Financed by the Innovation Fund for Small Technology-Based Firms

科技型中小企业技术创新基金项目管理暂行办法

 

Promulgating Institution: Ministry of Science and Technology; Ministry of Finance

Document Number: Guo Ke Fa Ji Zi [2005] No. 6

Promulgating Date: 03/02/2005

Effective Date: 03/02/2005

 

颁布机关: 科学技术部; 财政部

文      号: 国科发计字[2005]60号

颁布时间: 03/02/2005

实施时间: 03/02/2005

 

Chapter 1 General Provisions

第一章  总则

  Article 1   In accordance with the Law of the People's Republic of China on Boosting Small and Medium-sized Enterprises and the Notice of the General Office of the State Council on Forwarding the Interim Provisions of the Ministry of Science and Technology and the Ministry of Finance Concerning Innovation Fund for Small and Medium Technology-Based Firms (Guo Ban Fa [1999] No.47), these Measures are formulated with a view to facilitating the administration of the innovation fund for small and medium technology-based firms(hereinafter, the "Innofund").

       第一条  为保证科技型中小企业技术创新基金（以下简称"创新基金"）管理工作的顺利开展，根据《中华人民共和国中小企业促进法》、《国务院办公厅转发科学技术部、财政部关于科技型中小企业技术创新基金的暂行规定的通知》（国办发[1999]47号）等，制定本办法。 

  Article 2   The Ministry of Science and Technology shall be the competent authority in charge of the Innofund, and the Ministry of Finance shall be the regulatory authority of the Innofund. The Innofund Administration Center under the Ministry of Science and Technology (hereinafter, the "Administration Center") shall be responsible for the specific administration work.

       第二条  科学技术部是创新基金的主管部门，财政部是创新基金的监管部门。科学技术部科技型中小企业技术创新基金管理中心（以下简称"管理中心"）负责具体管理工作。

  Article 3    The Innofund shall be used and administrated in accordance with the relevant laws, administrative regulations and rules, and the principles of honest application, impartial acceptance, scientific administration, competence-based support, openness and transparency, as well as use of earmarked funds for intended purpose.

       第三条  创新基金的使用和管理遵守国家有关法律、行政法规和相关规章制度，遵循诚实申请、公正受理、科学管理、择优支持、公开透明、专款专用的原则。 

Chapter 2 Conditions, Scope and Methods of Support

第二章  支持条件、范围与支持方式 

  Article 4    A project qualified for Innofund support shall satisfy the following conditions:

(1) The project shall comply with the State's industrial and technical policies; 

(2) The project shall have deeper technical content and stronger technical innovativeness;

(3) The project products shall have larger market shares and stronger market competitiveness; and

(4) The project involves no intellectual property disputes. 

       第四条  申请创新基金支持的项目需符合以下条件： 

    （一）符合国家产业、技术政策； 

    （二）技术含量较高，技术创新性较强； 

    （三）项目产品有较大的市场容量、较强的市场竞争力； 

    （四）无知识产权纠纷。

  Article 5    An enterprise to undertake the project shall satisfy the following conditions: 

(1) It shall be registered in China, with qualification as an independent enterprise legal person ;

(2) It shall mainly engage in the research, development and production of high-tech products as well as the provision of the relevant services;

(3) Its management shall have higher management level and stronger market development capabilities;

(4) Its staff shall not exceed 500 people, in particular, the technicians with junior college education or above shall be not less than 30% of the total number of the staff, and the technicians directly engaged in the research and development shall be not less than 10% of the total number of the staff;

(5) It shall have good operating performance and reasonable asset-liability ratio, and its annual investment in research and development of high-tech products shall be not less than 5% of its sales revenue; and

(6) It shall have a sound financial management department/office, a strict financial management system and qualified finance staff.

       第五条  承担项目的企业应具备以下条件： 

    （一）在中国境内注册，具有独立企业法人资格； 

    （二）主要从事高新技术产品的研制、开发、生产和服务业务； 

    （三）企业管理层有较高经营管理水平，有较强的市场开拓能力； 

    （四）职工人数不超过500人，具有大专以上学历的科技人员占职工总数的比例不低于30%，直接从事研究开发的科技人员占职工总数的比例不低于10%； 

    （五）有良好的经营业绩，资产负债率合理；每年用于高新技术产品研究开发的经费不低于销售额的5%； 

    （六）有健全的财务管理机构，有严格的财务管理制度和合格的财务人员。 

  Article 6   The Innofund support for small and medium technology-based firms takes the forms of loan discount, free financial assistance and capital investment. 

(1) Loan Discount 

(a) The loan discount is mainly for the projects whose products are technologically advanced to a certain degree and produced at certain scale with a promising prospect, and to which the banks have granted loans or intend to grant loans; 

(b) The newly added investment in the project shall be not more than RMB30 million, with basically confirmed funding source and reasonable investment structure, and the project implementation cycle shall not exceed three years; 

(c) The total amount of the loan discount from the Innofund shall not exceed RMB1 million for a regular project and RMB2 million for an important project. 

(2) Free Financial Assistance

(a) The free financial assistance is mainly offered as necessary financing for the research and development, magnified experiment of the new technologies and products during the technical innovation activities of small and medium technology-based firms; 

(b) The newly added investment in the project shall be not more than RMB10 million, with basically confirmed funding source and reasonable investment structure, and the project implementation cycle shall not exceed two years;  

(c) The enterprise shall have a certain sum of self-owned capital committed to the project which shall be not less than the amount of the Innofund applied for thereby;

(d) The total amount of the free financial assistance from the Innofund shall not exceed RMB1 million for a regular project and RMB2 million for an important project. 

(3) The specific measures for the capital investment will be formulated separately.

       第六条  创新基金以贷款贴息、无偿资助和资本金投入的方式支持科技型中小企业的技术创新活动。 

    （一）贷款贴息 

    1、主要用于支持产品具有一定水平、规模和效益，银行已经贷款或有贷款意向的项目； 

    2、项目新增投资在3000万元以下，资金来源基本确定，投资结构合理，项目实施周期不超过3年； 

    3、创新基金贴息总额一般不超过100万元，个别重大项目不超过200万元。 

    （二）无偿资助 

    1、主要用于科技型中小企业技术创新活动中新技术、新产品研究开发及中试放大等阶段的必要补助； 

    2、项目新增投资一般在1000万元以下，资金来源基本确定，投资结构合理，项目实施周期不超过2年； 

    3、企业需有与申请创新基金资助数额等额以上的自有资金匹配； 

    4、创新基金资助数额一般不超过100万元，个别重大项目不超过200万元。 

    （三）资本金投入具体办法另行制定。

  Article 7   An enterprise can apply for one kind of support for only one of its projects within one year, and it shall choose the support form depending on the phase of the project when filing the application.

       第七条  在同一年度内，一个企业只能申请一个项目和一种支持方式。申请企业应根据项目所处的阶段，选择一种相应的支持方式。

Chapter 3 Application and Acceptance of Project

第三章  项目申请与受理

  Article 8   The Ministry of Science and Technology shall, at the beginning of each year, formulate and publicize the Guide on Major Projects Financed by the Innovation Fund for Small and Medium Technology-Based Firms for the year, clarifying the focus of the Innofund support in that year.

       第八条  科学技术部每年年初制定并发布年度《科技型中小企业技术创新基金若干重点项目指南》，明确创新基金项目年度重点支持范围。

  Article 9   Where a small or medium technology-based firm applies for the Innofund, it shall, prepare and submit the appropriate application materials in accordance with the Notice on Application for Projects Using the Innovation Fund for Small and Medium Technology-Based Firms issued by the Administration Center.

       第九条  科技型中小企业申请创新基金，应按管理中心发布的《科技型中小企业技术创新基金项目申请须知》准备和提供相应的申请材料。

  Article 10   The Innofund application materials submitted by the enterprises shall be authentic and reliable, and shall be recommended by the recommending entities. The "recommending entities" shall mean the local provincial authorities in charge of science and technology which clearly know the information of the enterprises and projects. Prior to the issuance of recommendation opinions, a recommending entity shall solicit the opinions of the provincial finance authority on the projects and forward the list of the recommended projects to the provincial finance authority for recording.

       第十条  企业提交的创新基金申请材料必须真实可靠，并经项目推荐单位推荐。推荐单位是指熟悉企业及项目情况的当地省级科技主管部门。推荐单位出具推荐意见之前应征求省级财政部门对项目的意见，并将推荐项目名单抄送省级财政部门备案。

  Article 11   The recommending entities and the Administration Center shall accept the applications in an open manner and give their examination opinions. The items subject to acceptance examination include qualification, form and content. Where an application is considered qualified upon acceptance examination, the Administration Center shall organize relevant institutions and experts to make a project initiation examination. Where an application is considered unqualified upon acceptance examination, the Administration Center shall, within 30 days from the receipt of the project application materials, issue a Notice of Non-acceptance of the Application at the Innofund website.

       第十一条  项目推荐单位和管理中心要采取公开方式受理申请，并提出审查意见。受理审查内容包括：资格审查、形式审查、内容审查。受理审查合格后，管理中心将组织有关机构和专家进行立项审查。对受理审查不合格的项目，管理中心自收到项目申请材料之日起三十日内在创新基金网站上发出《不受理通知书》。

Chapter 4 Project Initiation Examination 

第四章  项目立项审查 

  Article 12   The project initiation examination may take various forms including experts' assessment, experts' consultation and technical assessment. The Administration Center shall adopt proper means of the project initiation examination according to the characteristics of the projects.  

For the projects with similar technologies and products, experts' assessment shall be adopted. Technology assessment agencies may be entrusted to assess projects involving multi-disciplines, multi-fields or technology integration, or projects with strong innovation or relatively decentralized technology fields.

       第十二条  立项审查方式包括专家评审、专家咨询、科技评估等。由管理中心根据项目特点选择相应的立项审查方式。 

    对技术、产品相近的项目采取专家评审的方式。对跨学科、跨领域、创新性强、技术集成、技术领域分布相对分散的个性化项目，可委托科技评估机构评估。 

  Article 13   The Innofund Expert Pool consists of the assessment experts from such fields as technology, economy, finance, market and business management, who shall be appointed or approved by the Administration Center. The experts shall satisfy the following conditions:

(1) Having responsible attitudes towards the State and the enterprises and good professional ethics, and adhering to the principles of independence, objectivity and impartiality;  

(2) Having rich professional knowledge of and practical experience in the technical fields of the projects examined thereby, and having deep understanding and authority in the development of such technical fields as well as the relevant economic areas and market situations; and

(3) Holding senior professional and technical positions and below 60 years' old under normal circumstances. 

       第十三条  创新基金项目评审专家，包括技术、经济、财务、市场和企业管理等方面的专家，由管理中心聘任或认可，并进入创新基金评审专家库。专家应具备以下条件： 

    （一）具有对国家和企业负责的态度，有良好的职业道德，能坚持独立、客观、公正原则； 

    （二）对审查项目所属的技术领域有较丰富的专业知识和实践经验，对该技术领域的发展和所涉及经济领域、市场状况有较深的了解，具有权威性； 

    （三）一般应具有高级专业技术职务，年龄一般在60岁以下。

  Article 14   The agency for assessing the initiation of an Innofund project shall be chosen from the assessment agencies recognized by the Ministry of Science and Technology and the Ministry of Finance. An assessment agency shall satisfy the following conditions: 

(1) Having an independent legal-person qualification as an enterprise or institution and having been registered at the relevant authorities;  

(2) Having appropriate professional technicians and managerial personnel;  

(3) Having practiced in assessment or technology consulting and certain relevant experience;

(4) Having good performance and reputation; and

(5) Having been trained in relevant professional fields.

       第十四条  承担创新基金项目立项评估工作的评估机构须在经科学技术部和财政部认定的评估机构中选择。评估机构应具备以下条件： 

    （一）具有独立企业或事业法人资格，并在有关管理部门注册、登记； 

    （二）有相应的专业技术人员和管理人员； 

    （三）评估机构应从事过评估或科技咨询等工作，并具有一定经验； 

    （四）有良好的业绩和信誉； 

    （五）经过相关专业培训。

  Article 15   The experts shall, according to the examination and assessment rules as well as the examination standards, examine and assess the application projects comprehensively and issue pertinent opinions. During the examination process, the experts may require the applicant enterprise to supplement the relevant materials or make further explanation through the Administration Center, but they shall not directly contact the applicant enterprise or relevant persons thereof. Where necessary, the Administration Center may entrust the expert team to make an examination at the site of the application enterprise.

       第十五条  专家应依据评审、评估工作规范和审查标准，对申请项目进行全面的审查，并提出有针对性的审查意见。在审查过程中，专家可通过管理中心要求申请企业补充有关材料或进一步说明情况，但不得与申请企业及有关人员直接联系。必要时管理中心可委托专家组到申请企业进行审查。

  Article 16   In order to ensure the impartiality of initiation examination of the Innofund projects, a withdrawal system shall be applied in examination. An expert shall withdraw from the examination under any of the following circumstances:

(1)  The innofund project application is submitted by an enterprise for which the examining expert works  ;

(2) The principal of the applicant enterprise is a family member or close relative of the examining expert; or

(3) The expert has an interest in or direct affiliation relationship with the applicant enterprise.

       第十六条  为保证创新基金项目立项审查的公正性，审查工作实行回避制度。属下列情况之一时，专家应当回避： 

    （一）审查专家所在企业的申请项目； 

    （二）专家家庭成员或近亲属为所审项目申请企业的负责人； 

    （三）有利益关系或直接隶属关系。

  Article 17    The assessment agencies and the experts shall be obligated to keep confidential the technical and economic secrets of the projects examined thereby as well as the examination conclusions and opinions. The Administration Center shall respect the examination results and opinions of the assessment agencies and the experts and keep them confidential.

       第十七条  评估机构和专家对所审项目的技术、经济秘密和审查结论意见负有保密责任和义务。管理中心尊重评估机构和专家的审查结论意见并给予保密。

  Article 18   The Administration Center shall apply dynamic administration and administration of technology credit evaluation to the assessment agencies according to their work quality and compliance with code of conducts. At the end of each year, the Administration Center shall report the relevant information and submit its adjustment opinions to the Ministry of Science and Technology and the Ministry of Finance.

       第十八条  管理中心根据评估机构的工作质量及行为规范情况，对评估机构实行动态管理和科技信用评价管理。管理中心于每年底向科学技术部、财政部报告有关情况并提出调整意见。

  Article 19   The Administration Center shall, according to the project application materials and the results and opinions on project initiation examination, present its proposals on the initiation of the Innofund projects, and submit them to the Ministry of Science and Technology and the Ministry of Finance for examination and approval. The Ministry of Science and Technology and the Ministry of Finance are entitled to re-examine the projects.

       第十九条  管理中心根据项目申请资料和立项审查结论意见提出创新基金立项建议，报科学技术部、财政部审批。科学技术部、财政部可对项目进行复审。 

  Article 20   For the projects approved by the Ministry of Science and Technology and the Ministry of Finance, a project initiation notice shall be published at the Innofund website and relevant news media. No later than two weeks from the date of the publicity of the notice, the objections thereto may be filed.

       第二十条  经科学技术部、财政部批准的项目，应在创新基金网站以及相关新闻媒体上发布立项项目公告。公告发布之日起2周内为立项项目异议期。

  Article 21    A contract administration system shall be applied to the Innofund projects. Upon the expiry of the objection term, the Administration Center shall conclude a contract with the project-undertaking enterprise and the recommending entity, specifying various technical and economic indicators of the project, the performance target of each phase, the deadlines of the deliverables and other conditions and terms, and forward this contract to the provincial finance authority in the place where the project is located. With respect to a project to which serious objections were raised, the Administration Center shall reconsider it rather than conclude a contract. Where a project needs to be dismissed, the Administration Center shall not dismiss it until the Ministry of Science and Technology and the Ministry of Finance approve so.

       第二十一条  创新基金项目实行合同管理。管理中心在异议期满后应与立项项目承担企业、推荐单位签订合同，确定项目各项技术经济指标、阶段考核目标以及完成期限等条款，同时将合同抄送项目所在地省级财政部门。对于有重大异议的项目，管理中心暂不签定合同，并对项目进行复议。需撤销项目时须报科学技术部和财政部同意后执行。

  Article 22   Where a project is considered unqualified upon project initiation examination or disapproved by the Ministry of Science and Technology and the Ministry of Finance, the Administration Center shall issue a Rejection of Project Initiation Notice at the Innofund website. An enterprise whose project initiation application is refused may not file further application for the Innofund project in the same year.

       第二十二条  立项审查未通过或未获科学技术部、财政部批准的项目，管理中心将在创新基金网站上发出《不立项通知书》。不立项项目的申请企业当年不得再次申报项目。

Chapter 5 Supervision, Administration, Inspection and Acceptance of Project

第五章  项目监督管理及验收

  Article 23    The provincial authorities of science and technology shall be responsible for the daily supervision and administration as well as the inspection and acceptance of the projects within their respective jurisdictions. The provincial finance authorities shall be responsible for the supervision and inspection on operation and use of the Innofund within their respective jurisdictions and participate in the inspection and acceptance of the projects. The Administration Center shall, in accordance with these Measures, formulate the Code for Supervision, Administration, Inspection and Acceptance of Innovation Fund Projects, organize the implementation of the supervision, administration, inspection and acceptance of the projects, analyze and summarize the information on implementation of the projects.

       第二十三条  省级科技主管部门负责本地区项目的日常监督管理和验收工作；省级财政部门负责对本地区创新基金的运作和使用进行监督、检查，并参与项目的验收工作；管理中心依据本办法负责制订《创新基金项目监督管理和验收工作规范》，并组织实施项目监督管理和验收工作，分析总结项目执行情况。 

  Article 24    The supervision and administration of project shall mainly cover:  

(1) Availability of project funds and the use thereof;

(2) Implementation of the planned schedule specified in the contract; 

(3) The information on the technical, economic, and quality indicators achieved; and

(4) The main problems and solutions.

       第二十四条  项目监督管理主要内容包括： 

    （一）项目资金到位与使用情况； 

    （二）合同计划进度执行情况； 

    （三）项目达到的技术、经济、质量指标情况； 

    （四）项目存在的主要问题和解决措施。 

  Article 25   Supervision and administration of the projects are mainly implemented through the following ways:    

(1) The project-undertaking enterprises shall fill out the monitoring forms (semi-annual form, annual form) regularly.

(2) The provincial authorities of science and technology shall make field inspections of the implementation of the projects and give supervisory opinions; the provincial finance authorities shall make selective inspections of the implementation of the projects regularly, and deliver reports on use and management of the Innofund.   

(3) The Administration Center shall make field inspections of some projects where necessary. 

       第二十五条  项目监督管理的主要方式： 

    （一）项目承担企业定期填报监理信息调查表（半年报、年报）。 

    （二）省级科技主管部门应实地检查项目执行情况，并提出监理意见；省级财政部门应定期抽查项目执行情况，并对创新基金使用管理情况提出报告。 

    （三）管理中心根据需要，对部分项目进行实地检查。 

  Article 26   The Administration Center shall, according to the forms regularly filled out by the enterprises, local supervisory opinions and field inspection information, deliver analysis reports on the project implementation and submit them to the Ministry of Science and Technology and the Ministry of Finance.

       第二十六条  管理中心根据企业定期报表、地方监理意见、实地检查等，提出项目执行情况分析报告，并报科学技术部、财政部。

  Article 27   Where a project-undertaking enterprise needs to adjust the contract objective for objective reasons, it shall not do so until it files an application in writing and the Administration Center approves so. In case of major breach of the contract during the execution thereof, the Administration Center may terminate the implementation of the project as contracted and take corresponding measures.

       第二十七条  项目承担企业因客观原因需对合同目标调整时，应提出书面申请，经管理中心批准后执行；在合同执行过程中发生重大违约事件的，管理中心可按合同终止执行项目，并采取相应处理措施。

  Article 28   The inspection and acceptance of the project shall be completed within one year since the expiry of the contract in principle. Where an enterprise needs to complete the inspection and acceptance of a project ahead of or behind schedule, it shall not do so until its application for the same is approved by the Administration Center.

       第二十八条  项目验收工作原则上在合同到期后一年内完成。需要提前或延期验收的项目，企业应提出申请报管理中心批准后执行。

  Article 29   The inspection and acceptance of the Innofund projects covers:

(1)  Implementation of the planned schedule specified in the contract;

(2) The information on technical and economic indicators achieved; 

(3) The deliverables on research and development of the Innofund project;

(4) Availability of the funds and the use thereof; and

(5) The overall development and change of the enterprise before and after the implementation of the project. 

       第二十九条  创新基金项目验收的主要内容包括： 

    （一）合同计划进度执行情况； 

    （二）项目经济、技术指标完成情况； 

    （三）创新基金项目研究开发取得的成果情况； 

    （四）资金落实与使用情况； 

    （五）项目实施前后企业的整体发展变化情况。

  Article 30   Inspection and acceptance shall be organized by the provincial authorities of science and technology in the case of regular projects and by the Administration Center in the case of projects amounting to more than RMB1 million. According to the Code for Supervision, Administration, Inspection and Acceptance of Innovation Fund Projects, the Administration Center shall, after comprehensive assessment on the project, issue any one of the three kinds of opinions, i.e., qualified upon inspection and acceptance, basically qualified upon inspection and acceptance, unqualified upon inspection and acceptance, and submit it to the Ministry of Science and the Technology and the Ministry of Finance.

       第三十条  一般项目由省级科技主管部门组织验收；100万元以上的项目由管理中心组织验收。管理中心依据《创新基金项目监督管理和验收工作规范》，对项目进行综合评价并分别做出验收合格、验收基本合格、验收不合格的结论意见，报科学技术部、财政部。

Chapter 6 Supplementary Provisions

第六章  附则 

  Article 31   These Measures shall come into effect as of the date of promulgation, in replacement of the Notice on Printing and Distributing the Execution Program for Projects Using the Innovation Fund for Small and Medium Technology-Based Firms (for Trial Implementation) (Guo Ke Fa Ji Zi [1999] No.260) of the Ministry of Science and Technology and the Ministry of Finance. In case these Measures conflict with the relevant Innofund provisions, these Measures shall prevail.

       第三十一条  本办法自发布之日起施行，创新基金有关规定与本办法相抵触的，按本办法执行。科学技术部、财政部《关于印发<科技型中小企业技术创新基金项目实施方案（试行）>的通知》（国科发计字[1999]260号）同时废止。

  Article 32    These Measures shall be interpreted by the Ministry of Science and Technology in conjunction with the Ministry of Finance.

       第三十二条  本办法由科学技术部会同财政部负责解释。