Interim Administrative Measures for the Special Strategic Emerging Industry Development Funds

战略性新兴产业发展专项资金管理暂行办法

Promulgating Institution: Ministry of Finance; National Development and Reform Commission

Document Number: Cai Jian [2012] No.1111

Promulgating Date: 12/31/2012

Effective Date: 12/31/2012

颁布机关: 财政部; 国家发展和改革委员会

文      号: 财建[2012]1111号

颁布时间: 12/31/2012

实施时间: 12/31/2012

Chapter 1: General Provisions

  第一章  总则

  Article 1    With a view to regulating the management of the special strategic emerging industry development funds, and raising the utilization efficiency thereof, these Measures are formulated pursuant to the Decision of the State Council on Accelerating the Incubation and Development of Strategic Emerging Industries (Guo Fa [2010] No. 32, hereinafter referred to as the "Decision"), the "Twelfth Five-year" National Planning for the Development of Strategic Emerging Industries (Guo Fa [2012] No. 28, hereinafter referred to as the "Planning"), and the provisions on budgetary management.

       第一条  为了规范战略性新兴产业发展专项资金管理,提高资金使用效益,根据《国务院关于加快培育和发展战略性新兴产业的决定》(国发〔2010〕32号,以下简称《决定》)和《“十二五”国家战略性新兴产业发展规划》(国发〔2012〕28号,以下简称《规划》)以及预算管理规定,制定本办法。

  Article 2    For the purpose of these Measures, the special strategic emerging industry development funds (hereinafter referred to as the "Special Funds") shall refer to the special funds set aside by the central fiscal budget for supporting breakthroughs in major and key technologies, industry innovation and development, major application exemplary projects as well as regional cluster development relating to strategic emerging industries.

       第二条  本办法所称战略性新兴产业发展专项资金(以下简称专项资金),是指中央财政预算安排,用于支持战略性新兴产业重大关键技术突破、产业创新发展、重大应用示范以及区域集聚发展等工作的专项资金。

  Article 3    The Special Funds shall be jointly managed by the Ministry of Finance ("MOF") and the National Development and Reform Commission ("NDRC") in conjunction with other relevant departments of the State Council according to the division of responsibilities and duties.

       第三条  专项资金由财政部、国家发展改革委会同国务院有关部门根据职责分工共同管理，各司其职、各负其责。

Chapter 2: Principles for Use and Arrangement of the Special Funds

    第二章  资金使用安排原则

  Article 4    The Special Funds shall be used and arranged by adhering to the following principles:

(1) The Special Funds shall be used and arranged in a market-oriented manner with the help of government guidance. It is imperative to respect the laws of the market economy, leverage the basic role of the market, and mobilize the enthusiasm of enterprises as key market players. In addition, the government shall provide appropriate support and guidance by targeting the weak links and key bottlenecks restraining the development of strategic emerging industries, so as to create a favorable environment and stimulate industry innovation and vitality;

(2) The Special Funds shall be focused to support priority tasks. Centering around the major projects and priority development directions laid down by the planning of strategic emerging industries, it is required to select priority fields and key links of strategic emerging industries, centralize the capital and provide comprehensive support, so as to promote breakthroughs and the industrialization of major and key technologies, guide collaborative innovation along the industrial chain and regional cluster development, and encourage regions with intensive innovation resources to take the lead in achieving innovation-driven development; and

(3) Innovative approaches shall be adopted by differentiating support recipients. According to the features and phase characteristics of strategic emerging industries, it is essential to strive for innovation in terms of institutions, mechanisms and the ways of support by considering different eligible support recipients, different development stages and different issues, and to ensure proper coordination and cooperation with other fiscal, financial and industry policies, thus promoting the development of strategic emerging industries.

       第四条  专项资金的使用和安排应当坚持以下原则:

    （一）市场主导，政府推动。尊重市场经济规律，充分发挥市场基础性作用，调动企业主体的积极性，针对战略性新兴产业发展中的薄弱环节和关键瓶颈制约，政府适当给予扶持和引导，营造良好环境，激发创新活力。

    （二）集中资金，扶持重点。围绕战略性新兴产业规划明确的重大工程、重点发展方向，选择战略性新兴产业的重点领域和关键环节，集中资金，综合扶持，促进重大关键技术突破和产业化，引导产业链协同创新和区域集聚发展，鼓励创新资源密集区域率先实现创新驱动发展。

    （三）区别对象，创新方式。根据战略性新兴产业特点及阶段性特征，针对不同对象、不同阶段、不同问题，创新体制机制和支持方式，并做好与其他财政政策、金融政策、产业政策等的协调配合，促进战略性新兴产业发展。

Chapter 3: Scope of Support by the Special Funds

    第三章  资金支持范围

  Article 5    The Special Funds shall mainly be used to support the following activities:

(1) To support venture capital plans for emerging industries. Central fiscal funds shall be pulled together with local fiscal funds and non-government capital to jointly establish new, or replenish existing, venture capital funds to support the development of innovation-oriented enterprises in the embryonic stage or the early-to-mid development stage that are capable of original innovation, integrated innovation or re-innovation after digestion and absorption of introduced technologies;

(2) To support collaborative innovation among production, academics and research. Industries or technologies that are closely associated with each other, are foundational, or are of a strong public welfare nature but are seriously constrained by key technologies shall be selected in this regard. It is required to support industry backbone enterprises to integrate resources of innovation along the industrial chain, strengthen tripartite collaboration among production, academics and research to tackle key problems, as well as the reserve of next-generation technologies and the gathering of patent pools, and promote enterprises to forge technology innovation alliances with institutions of higher learning and research institutes so as to raise collaborative innovation capacity and drive the development of the entire industrial chain;

(3) To support technology innovation platforms. Focusing on the priority fields of strategic emerging industries, it is crucial to take into consideration the characteristics of different industries or technological fields, and rely on entities with industrial chain advantages to cooperate with relevant research institutes, enterprises and investors, to establish open-source technology innovation platforms covering the entire industrial chain, and strengthen the research and development, and industrialization of major generic and key technologies;

(4) To support regional cluster development. Industries or technologies that have a clear technology path and a well-defined industry development direction, but insufficient support or market demand shall be selected in this regard. Local governments shall be supported to enhance the overall planning and allocation of resources, guide relevant upstream, midstream and downstream industries to follow up efforts on their own, promote elements of innovation to concentrate towards industries with regional characteristics, and nurture a number of internationally competitive industrial clusters; and

(5) To support other priority tasks of strategic emerging industries determined by the MOF and the NDRC in conjunction with other relevant departments pursuant to the Decision and the Planning, and according to industry development needs.

       第五条  专项资金支持范围主要包括:

    (一)支持新兴产业创业投资计划。采取中央财政资金与地方财政资金、社会资金参股,共同发起设立或增资现有创业投资基金等方式,支持具备原始创新、集成创新或消化吸收再创新属性、且处于初创期、早中期的创新型企业发展。

    (二)支持产学研协同创新。选择受关键技术严重制约,关联性、基础性、公益性强的产业或技术,支持行业骨干企业整合产业链创新资源,加强产学研联合攻关、新一代技术储备、专利池集聚等,推动企业与高等学校、科研院所等构建技术创新联盟,提高协同创新能力,带动全产业链发展。

    (三)支持技术创新平台。围绕战略性新兴产业重点领域,针对行业或技术领域特点,依托产业链优势单位联合相关科研机构、企业及投资者,建立涵盖全产业链的开放性技术创新平台,加强重大共性关键技术研发及产业化。

    (四)支持区域集聚发展。选择技术路径清晰、产业发展方向明确、相关配套不完整或市场需求不足的产业或技术,支持地方政府加强资源统筹配置,引导上、中、下游相关产业自主跟进,推动创新要素向区域特色产业集聚,培育一批具有国际竞争力的产业集群。

    (五)财政部、国家发展改革委会同有关部门根据《决定》和《规划》要求,以及行业或产业发展需要确定的其他战略性新兴产业重点工作。

  Article 6    In principle, priority tasks or projects already supported by central fiscal funds such as the central infrastructure investment fund, special funds for energy conservation and emission reduction, or special funds for renewable energy shall no longer be supported by the Special Funds.

       第六条  对已通过中央基建投资、节能减排专项资金、可再生能源专项资金等中央财政资金支持的重点工作、工程或项目，专项资金原则上不再予以支持。

Chapter 4: Forms of Support by the Special Funds

    第四章  资金支持方式

  Article 7    The Special Funds shall generally provide support by way of disbursing capital as subsidies, investing in venture capital funds, etc. The forms of support shall be subject to appropriate adjustments based on the actual development of strategic emerging industries both at home and abroad.

       第七条  专项资金一般采取拨款补助、参股创业投资基金等支持方式,并根据国际国内战略性新兴产业发展形势进行适当调整。

  Article 8    The management procedures, fund disbursement and other matters relating to the investment by the Special Funds in the establishment of venture capital funds for emerging industries shall be governed by the Interim Measures for the Administration of the Equity Participation Venture Investment Funds of the Venture Investment Plans for Emerging Industries(Cai Jian [2011] No. 668).

       第八条  参股设立新兴产业创业投资基金的管理程序、资金拨付等按照《新兴产业创投计划参股创业投资基金管理暂行办法》（财建〔2011〕668号）执行。

Chapter 5: Fund Application, Review and Disbursement

    第五章  资金申报、审核与拨付

  Article 9    According to national economic and social development needs, and pursuant to the national planning for the development of strategic emerging industries and other relevant documents, the NDRC and other relevant departments shall prepare and issue application guidelines for the Special Funds in conjunction with the MOF, or determine the regions or entities undertaking pilot exemplary projects.

       第九条  根据国民经济和社会发展需要、国家战略性新兴产业发展规划以及相关文件等要求,国家发展改革委等有关部门会同财政部制发申报指南,或确定试点示范的区域或承担单位。

  Article 10    An eligible entity or region shall prepare an implementing program and apply for the Special Funds in accordance with the aforesaid application guidelines. Where the Special Funds shall be disbursed to support a project throughout multiple years, the MOF, the NDRC and other relevant departments shall determine programs for subsequent support by the Special Funds after organizing experts to assess the execution of the project over past years.

       第十条  符合条件的单位或地方按照申报指南要求编制实施方案并提出资金申请。对采取分年支持的,财政部、国家发展改革委及有关部门组织专家对以前年度实施情况考核后,确定后续资金支持方案。

  Article 11    The NDRC and other relevant departments shall, in conjunction with the MOF, organize experts to review the implementing program prepared by each applying entity or region, and decide on approval or non-approval according to expert review results.

       第十一条  国家发展改革委等有关部门会同财政部组织专家对各单位或地方编制的实施方案进行评审,并根据专家评审情况予以批复。

  Article 12    The Special Funds shall be reviewed and disbursed by the MOF in accordance with pertinent provisions.

       第十二条  专项资金由财政部根据有关规定审核下达。

Chapter 6: Supervision and Administration

    第六章  监督管理

  Article 13    The MOF shall, according to the division of responsibilities, work together with the NDRC and other relevant departments to conduct supervision and inspection over the use of the Special Funds and track the use of the Special Funds to assess the actual effects thereof on a regular or ad hoc basis, and to organize relevant institutions to carry out special checks for special projects.

       第十三条  财政部会同国家发展改革委等有关部门按照职责分工对专项资金使用情况实施定期或不定期监督检查、追踪问效,组织有关机构对专项开展专项核查。

  Article 14    Relevant departments of the Central Government and central enterprise groups shall strengthen the supervision and appraisal over their respective use of the Special Funds and the implementation of their respective projects supported by the Special Funds. Provincial finance departments, development and reform commissions and other departments concerned shall strengthen the performance appraisal of the Special Funds, and reinforce the assessment of performance targets, so as to effectively raise the utilization efficiency of the Special Funds and ensure the realization of policy objectives.

       第十四条  中央有关部门和中央企业集团应加强对本部门、本单位专项资金使用和实施情况的监督考核;省级财政、发展改革等有关部门要加强专项资金的绩效评价,强化绩效目标考核,切实提高专项资金使用效益,确保实现政策目标。

  Article 15    The Special Funds shall be earmarked for dedicated purposes, and shall not be withheld, misappropriated or encroached upon by any entity or individual. Whoever violates these Measures shall be dealt with in accordance with the Regulations on Penalties and Sanctions for Fiscal Violations (Order No. 427 of the State Council).

       第十五条  专项资金应当专款专用，任何单位和个人不得截留、挤占或挪用。违反本办法规定的，按照《财政违法行为处罚处分条例》（国务院令第427号）规定进行处理。

Chapter 7: Supplementary Provisions

    第七章  附则

  Article 16    These Measures shall be interpreted by the MOF and the NDRC.

       第十六条  本办法由财政部、国家发展改革委负责解释。

  Article 17    These Measures shall come into effect on the date of printing and distribution.

       第十七条  本办法自印发之日起实施。