Administrative Measures on the Administration for of the Central Financial Reward Fund Used for Eliminating Backward Production Capacity

淘汰落后产能中央财政奖励资金管理办法

 

Promulgating Institution: Ministry of Finance; Ministry of Industry and Information Technology; National Energy Administration

Document Number: Cai Jian [2011] No. 180

Promulgating Date: 04/20/2011

Effective Date: 04/20/2011

颁布机关: 财政部; 工业和信息化部; 国家能源局 

文      号: 财建[2011]180号  

颁布时间: 04/20/2011  

实施时间: 04/20/2011

 

Chapter 1: General Provisions

第一章  总则

  Article 1  In accordance with the work arrangements of the State Council on energy saving and emission reduction, the Notice of the State Council on Further Strengthening the Work of Eliminating Backward Production Capacity (Guo Fa [2010] No. 7), the Notice of the General Office of the State Council on Forwarding the Guiding Opinions of the Ministry of Environmental Protection and Other Departments on Strengthening the Work of Preventing and Controlling Heavy Metal Pollution (Guo Ban Fa [2010] No. 61), as well as the documents formulated by the State Council on the industrial restructuring and revitalization planning of iron and steel, nonferrous metal, textile industry and other industries, the central Central government Government will continue to allocate reward funds (hereinafter referred to as "reward funds") to reward the work of eliminating backward production capacity in underdeveloped areas in the "twelfth five-year plan" period. These Measures are formulated Iin order to strengthen the administration of financial funds and increase the efficiency of fund utilization, the Measures are formulated.

       第一条  根据国务院节能减排工作部署和《国务院关于进一步加强淘汰落后产能工作的通知》(国发[2010]7号)、《国务院办公厅转发环境保护部等部门关于加强重金属污染防治工作指导意见的通知》(国办发[2010]61号)以及国务院制订的钢铁、有色金属、纺织行业等产业调整和振兴规划等文件要求,“十二五”期间,中央财政将继续安排专项资金,对经济欠发达地区淘汰落后产能工作给予奖励(以下简称奖励资金)。为规范奖励资金管理,提高资金使用效益,特制订本办法。

  Article 2  Enterprises shall effectively assume the main responsibilities for eliminating backward production capacity, strictly comply with the laws and regulations on energy saving, environmental protection, quality and safety, and take an initiative to eliminate backward production capacity; local governments shall effectively assume the responsibilities for eliminating backward production capacity in their respective administrative area, and organize and urge enterprises to eliminate backward production capacity in accordance with the relevant laws, regulations and policies.

       第二条  企业要切实承担起淘汰落后产能的主体责任,严格遵守节能、环保、质量、安全等法律法规,主动淘汰落后产能;地方政府要切实负担起本行政区域内淘汰落后产能工作的职责,依据有关法律、法规和政策组织督促企业淘汰落后产能。

  Article 3  The MeasuresThese Measures are applicable to electric power, iron smelting, steel smelting, coke, calcium carbide, ferrous alloy, electrolytic aluminum, cement, flat glass, papermaking, alcohol, monosodium glutamate, citric acid, copper smelting, lead smelting, zinc smelting, tanning, printing and dyeing, chemical fiber and other industries involving heavy metal pollution.

       第三条  本办法适用行业为国务院有关文件规定的电力、炼铁、炼钢、焦炭、电石、铁合金、电解铝、水泥、平板玻璃、造纸、酒精、味精、柠檬酸、铜冶炼、铅冶炼、锌冶炼、制革、印染、化纤以及涉及重金属污染的行业。

Chapter 2: Reward Conditions and Standards

第二章  奖励条件和标准

  Article 4  The following conditions shall be satisfied for rewarding projects of eliminating backward production capacity:

(1). To meet the requirements of reward threshold. The reward threshold shall be determined in accordance with the relevant national documents and industrial policies of the State, and shall be raised progressively based on the adjustments in the national industrial policies and industrial structure. See the reward threshold from 2011 to 2013 in Appendix 1;

(2).To be consistent between tThe models of relevant production lines and equipment modelsare consistent with that specified in the project approval and other valid supporting documents, and those , which should must be dismantled or destroyed in the current year rather than in the next yearand shall not be transferred to other places, and the project approval and other valid supporting documents;

(3). To be in normal production conditions in the recent preceding three years (determined by the documents including tax payment receipts, electricity bills and production permit and others), if the actual average annual output is over 20% less than the approved production capacity, backward production capacity shall be determined based on the actual average annual output;

(4). To be consistent between tThe relevant information of enterprises involved and are consistent with those stated in the project approval, business license, production permit and other valid supporting documents;

(5). Small-sized enterprises involving heavy metal pollution To that fail to meet the standards for environmental protection upon rectification for some small-sized enterprises involved in heavy metal pollution that shall be wholly eliminated; and

(6). Not to be They are not supported by any other financial funds for eliminating backward production capacity.

       第四条  奖励资金支持淘汰的落后产能项目必须具备以下条件:

    1.满足奖励门槛要求。奖励门槛依据国家相关文件、产业政策等确定,并根据国家产业政策、产业结构调整等情况逐步提高,2011年-2013年的奖励门槛详见附1。

    2.相关生产线和设备型号与项目批复等有效证明材料相一致,必须在当年拆除或废毁,不得转移。

    3.近三年处于正常生产状态(根据企业纳税凭证、电费清单、生产许可证等确定),如年均实际产量比项目批复生产能力少20%以上,落后产能按年均实际产量确定。

    4.所属企业相关情况与项目批复、工商营业执照、生产许可证等有效证明材料相一致。

    5.经整改环保不达标,规模较小的重金属污染企业应整体淘汰。

    6.未享受与淘汰落后产能相关的其他财政资金支持。

  Article 5  The central governmentCentral Government shall allocate reward funds based on the factors including annual budget, local tasks of eliminating backward production capacity in the current year, and actual performance of tasks and fund arrangement and use in the previous year. The standards and amount of reward funds for specific projects shall be determined by the local governments based on the Measuresthese Measures and the actual situations of each region.

       第五条  中央财政根据年度预算安排、地方当年淘汰落后产能目标任务、上年度目标任务实际完成和资金安排使用情况等因素安排奖励资金。对具体项目的奖励标准和金额由地方根据本办法要求和当地实际情况确定。

Chapter 3: Fund Arrangement and Use

第三章  资金安排和使用

  Article 6  Prior to the end of March in every year, the provincial financial departments shall, jointly in conjunction with the provincial competent departments of industry and information technology and the provincial competent departments of energy, in accordance with the annual tasks of eliminating backward production capacity and list of enterprises proposed to be eliminated in key industries in the current year approved by the provincial people's government, work out the plan on the scale of backward production capacity, name of enterprises and major equipment proposed to be eliminated, and which can meet the reward conditions, and submit the it same to the Ministry of Finance, the Ministry of Industry and Information Technology and the National Energy Administration. Central enterprises shall submit the plan based on the principle of territoriality and may equally enjoy reward funds.

       第六条  每年3月底前,省级财政会同工业和信息化、能源主管部门根据省级人民政府批准上报的本年度重点行业淘汰落后产能年度目标任务及计划淘汰落后产能企业名单,提出计划淘汰且符合奖励条件的落后产能规模、具体企业名单以及计划淘汰的主要设备等,联合上报财政部、工业和信息化部、国家能源局。中央企业按属地原则上报,同等享受奖励资金支持。

  Article 7  The Ministry of Finance, the Ministry of Industry and Information Technology and the National Energy Administration shall audit examine, approve, and releaseand approve a the reward fund budget.

       第七条  财政部、工业和信息化部、国家能源局审核下达奖励资金预算。

  Article 8  All areas shall actively arrange funds to support the elimination of backward production capacity and use them together with the central financial reward fund.

       第八条  各地区要积极安排资金支持淘汰落后产能,与中央奖励资金一并使用。

  Article 9  The provincial financial departments shall, jointly in conjunction with the provincial competent departments of industry and information technology and the provincial competent departments of energy, based on the reward fund budget approved by the central governmentCentral Government, formulate the practical and feasible administrative measures for fund use and the plans for fund allocation, and examine and appropriate funds in accordance with the relevant regulationsprovisions.

       第九条  省级财政部门会同工业和信息化、能源主管部门,根据中央财政下达的奖励资金预算,制定切实可行的资金使用管理办法和资金分配方案,按规定审核下达和拨付奖励资金。

  Article 10   Reward funds shall be specifically used for the relevant expenditures in eliminating backward production capacity including staff placementsettlement, change of production lines and debt settlement of proposed enterprises, rather than be used to balance local financial resources.

       第十条  奖励资金必须专项用于淘汰落后产能企业职工安置、企业转产、化解债务等淘汰落后产能相关支出,不得用于平衡地方财力。

  Article 11  Reward funds shall be arranged and used by local governments under the following principles:

(1). Supported projects of eliminating backward production capacity shall conform to Articles 3 and Article 4 of the Measuresthese Measures;

(2). Reward funds shall be preferentially used, on a priority basis, for the staff placement settlement of enterprises proposed for eliminating backward production capacity, and the residual funds may be used for change of production lines and debt settlement of such enterprises;

(3). Reward funds shall be preferentially used, on a priority basis, to support enterprises with arduous tasks and enormous difficulties, as well as a large number of staff that needs to be placedsettled, in eliminating backward production capacity, especially those that are entirely eliminated; and

(4). Reward funds shall be preferentially used, on a priority basis, to support enterprises that eliminate backward production capacity through merger and restructuring.

       第十一条  奖励资金由地方统筹安排使用，但必须坚持以下原则:

    1.支持的淘汰落后产能项目须符合本办法第四条和第五条规定。

    2.优先支持淘汰落后产能企业职工安置，妥善安置职工后，剩余资金再用于企业转产、化解债务等相关支出。

    3.优先支持淘汰落后产能任务重、职工安置数量多和困难大的企业，主要是整体淘汰企业。

    4.优先支持通过兼并重组淘汰落后产能的企业。

Chapter 4: Supervision and Administration

第四章  监督管理

  Article 12   Prior to the end of December in every year, all areas shall, in accordance with the Notice on Printing and Distributing the Implementation Plan for Assessing the Work of Eliminating Backward Production Capacity (Gong Xin Bu Lian Chan Ye [2011] No. 46), conduct the on-site inspection and acceptance on the work of eliminating backward production capacity, issue the written opinions on inspection and acceptance, and publish the list of local enterprises that have finished the tasks of eliminating backward production capacity on the websites of provincial people's governments and in local mainstream media.

Prior to the end of February in the next year, the provincial financial departments shall, jointly within conjunction with the provincial department of industry and information technology and the provincial department of energy, report the arrangement and use of reward funds (Appendix 2), actual situations in eliminating backward production capacity and written opinions on inspection and acceptance to the Ministry of Finance, the Ministry of Industry and Information Technology and the National Energy Administration, and shall sort compile the basic information, video, pictures and other relevant data of enterprises using central financial reward funds into volumes for future reference.

       第十二条  每年12月底前,各地区要按照《关于印发淘汰落后产能工作考核实施方案的通知》(工信部联产业〔2011〕46号)要求,对落后产能实际淘汰情况进行现场检查和验收,出具书面验收意见,并在省级人民政府网站或当地主流媒体上向社会公告本地区已完成淘汰落后产能任务的企业名单。

    次年2月底前,省级财政、工业和信息化、能源等部门要将奖励资金安排和使用情况(详见附2)、落后产能实际淘汰情况和书面验收意见等上报财政部、工业和信息化部、国家能源局。同时,要将使用中央财政奖励资金的企业基本情况、录像、图片等相关资料整理成卷,以备检查。

  Article 13  The Ministry of Finance, the Ministry of Industry and Information Technology and the National Energy Administration shall conduct a special inspection on the actual situations in eliminating backward production capacity, and arranging and using reward funds by local areas.

       第十三条  工业和信息化部、国家能源局、财政部组织对地方落后产能实际淘汰、奖励资金安排使用等情况进行专项检查。

  Article 14  In Under any of the following circumstances, the financial departments at all levels shall deduct the corresponding reward funds. In some serious cases, the relevant entities and individuals shall be investigated for their responsibilities in accordance with the Regulations on Penalties and Sanctions for Fiscal ViolationsRegulations on Punishment and Sanction on Financial Violations (Decree No. 427 of the State CouncilOrder of the State Council No. 427).

(1) To pProvide false materials and file fraudulent applications and claims for reward funds;

(2) To tTransfer eliminated equipment and resume production illegally;

(3) To rRepeatedly declare projects of eliminating backward production capacity; and

(4) To pProvide false reports and supporting documents.

       第十四条  对有下列情形的,各级财政部门应扣回相关奖励资金,情节严重的,按照《财政违法行为处罚处分条例》(国务院令第427号)规定,依法追究有关单位和人员责任。

    (一)提供虚假材料,虚报冒领奖励资金的;

    (二)转移淘汰设备,违规恢复生产的;

    (三)重复申报淘汰落后产能项目的;

    (四)出具虚假报告和证明材料的。

  Article 15  In respect of the areas that fail to finish tasks of eliminating backward production capacity or arrange to use reward funds in accordance with relevant regulationsprovisions, the Ministry of Finance shall take back the corresponding reward funds. In some serious cases, the Ministry of Finance shall circulate a notice of criticism on the cities and counties where the relevant projects are located, suspend the qualification of such cities and counties to apply for the central financial reward funds used for eliminating backward production capacity, and investigate the responsibilities of the relevant entities and individuals in accordance with the law.

       第十五条  对未完成淘汰落后产能任务及未按规定安排使用奖励资金的地方,财政部将收回相关奖励资金,情节严重的,将对项目所在市县给予通报批评、暂停中央财政淘汰落后产能奖励资金申请资格等处罚,并依法追究有关单位和人员责任。

  Article 16  The financial departments at all levels shall, base on the actual situations of each region, as well as the principles of "giving reward funds after elimination, arranging funds after formulation of staff placementsettlement plans and appropriating funds based on the progress in eliminating backward production capacity", strengthen fund supervision and administration to ensure the standardability,the safety and effectiveness of reward funds and that the funds are used in a standardized way.

       第十六条  各级财政部门应结合当地实际情况，可采取先淘汰后奖励、先制定职工安置方案后安排资金、按落后产能淘汰进度拨付资金等方式，加强资金监督管理，确保奖励资金的规范性、安全性和有效性。

Chapter 5: Supplementary Provisions

第五章  附则

  Article 17  The MeasuresT shall be interpreted by the Ministry of Finance, the Ministry of Industry and Information Technology and the National Energy Administration shall be responsible for the interpretation of these Measures, and all provinces (autonomous regions, municipalities directly under the Central Government) shall, in accordance with the Measuresthese Measures and based on the actual situations of each region, formulate the rules for the implementation thereof, define the principles for allocating reward funds, as well as the focus of support emphases and support standards of reward funds, and file report them with the Ministry of Finance, the Ministry of Industry and Information Technology and the National Energy Administration for record-filing.

       第十七条  本办法由财政部、工业和信息化部、国家能源局负责解释，各省（区、市）要依据本办法和当地实际情况制订实施细则，明确奖励资金安排原则、支持重点、支持标准等，报财政部、工业和信息化部、国家能源局备案。

  Article 18  The MeasuresThese Measures shall come into effect as of the date of printing and distribution, and the Interim Measures for the Administration of Central Financial Reward Fund Used for Eliminating Backward Production Capacity (Cai Jian [2007] No. 873) shall be hereby simultaneously repealed.

       第十八条  本办法自印发之日起实施，同时《淘汰落后产能中央财政奖励资金管理暂行办法》（财建〔2007〕873号）废止。