Central Financial Science and Technology Plan Management Reform Plan

Central Financial Science and Technology Plan Management Reform Plan

The State Council issued a circular on deepening the plan for the management reform of the central government's financial science and technology plans (special projects, funds, etc.)

The people's governments of provinces, autonomous regions, and municipalities directly under the Central Government, the ministries and commissions of the State Council, and the agencies directly under the State Council:

The "Program on Deepening the Management Reform of the Central Government's Science and Technology Plan (Special Projects, Funds, etc.)" has already been approved by the Party Central Committee and the State Council and is hereby printed and distributed to you. Please carefully implement it.

State Council

December 3, 2014

The plan for deepening the management reform of the central government's financial science and technology plans (special projects, funds, etc.)

Science and technology plans (special projects, funds, etc.) are an important way for the government to support scientific and technological innovation activities. Since the reform and opening up, China has successively established a number of scientific and technological plans (special projects, funds, etc.), which have played an important role in strengthening national scientific and technological capabilities, enhancing overall competitiveness, and supporting economic and social development. However, due to the incompleteness of top-level design, overall coordination, and classification funding methods, there are phenomena such as duplication, decentralization, closure, and inefficiency in various types of existing scientific and technological plans (special projects, funds, etc.), and long-declared projects and resource allocation are "fragmented." Problems such as these are prominent and cannot fully meet the requirements of implementing innovation-driven development strategies. At present, the global scientific and technological revolution and industrial reform are increasingly emerging. The major countries in the world are adjusting and perfecting their technological innovation strategies and policies. We must base ourselves on the national conditions, learn from the experiences of developed countries, focus on outstanding problems through deepening reforms, and promote scientific and technological innovation. The core of comprehensive innovation, as soon as possible to narrow the gap between China and developed countries.

In order to thoroughly implement the Party's spirit of the 18th and 18th sessions of the 2nd, 3rd and 4th Plenary Sessions, implement the decision-making arrangements of the Party Central Committee and the State Council, accelerate the implementation of innovation-driven development strategies, and in accordance with the overall requirements for deepening the reform of the science and technology system and the fiscal and taxation system. This plan was formulated with the spirit of the "Opinions of the Central Committee and the State Council on Deepening the Reform of the Science and Technology System and Speeding up the Construction of the National Innovation System," and the "State Council's Opinions on Improving the Central Government's Financial Scientific Research Projects and Fund Management" (Guo Fa (2014) No. 11).

I. Overall objectives and basic principles

(a) The overall goal.

Strengthen the top-level design, break up the fragmentation, reform the management system, coordinate scientific and technological resources, strengthen the functional division of departments, establish an open and unified national science and technology management platform, and build a scientific and technological plan with a reasonable overall layout, clear functional positioning, and Chinese characteristics (special Funds, etc.) establish a clear goal-oriented and performance-oriented management system, and form an organizational management mechanism that is responsible for normative, scientific and efficient, open and transparent, more focused on national goals, more in line with scientific and technological innovation laws, more efficient allocation of scientific and technological resources, and more strengthening of technology and The tight economic integration will maximally stimulate the innovation enthusiasm of scientific researchers, and give full play to the strategic support role of science and technology plans (special projects, funds, etc.) in improving social productivity, enhancing overall national strength, enhancing international competitiveness, and ensuring national security.

(b) Basic principles.

Change the government's scientific and technological management functions. All government departments need to simplify their powers, mainly responsible for science and technology development strategies, planning, policies, layout, evaluation, and supervision. They shall implement unified management of various types of science and technology plans (special funds, funds, etc.) of the central government, establish a unified assessment and supervision system, and strengthen China's post-mortem supervision and inspection and responsibilities check. Various government departments no longer directly manage specific projects and give full play to the role of experts and professional institutions in the management of specific projects in science and technology plans (special projects, funds, etc.).

Focus on major national strategic tasks. Facing the forefront of science and technology in the world, facing major national needs, facing the main battlefield of the national economy, scientifically arranging the central financial science and technology plans (special projects, funds, etc.), improving the project formation mechanism, optimizing resource allocation, demand orientation, classification guidance, advanced deployment, and targeting breakthroughs. The direction of the main attack, increase financial investment, and establish a new mechanism to promote scientific and technological innovation around major tasks.

Promote deep integration of technology and economy. Strengthen the convergence of science, technology and economy in planning and policy. The science and technology plans (special projects, funds, etc.) must deploy innovation chains around the industrial chain, improve the capital chain around the innovation chain, and coordinate all aspects of basic research, application development, achievement transformation, and industrial development, and more actively and effectively serve economic restructuring. Improve quality and efficiency, and build an innovative economy with core competitiveness.

Clarify the relationship between the government and the market. The government focuses on supporting the market's inability to effectively allocate basic public resources such as social frontiers, social charity, and research on major common key technologies, actively creating an environment that encourages innovation, and solving the problems of “offside” and “absent”. We will play a decisive role in the allocation of technological innovation resources in the market and the main role of technological innovation in enterprises, and highlight the orientation of results. We will support enterprises’ technological innovation and scientific and technological achievements transformation activities in the form of preferential policies and guidance based on tax incentives and government procurement.

Adhere to openness and social supervision. The science and technology plans (special projects, funds, etc.) are all included in the unified national science and technology management information system and national science and technology report system, and the information disclosure and trace management in the entire project implementation process are strengthened. With the exception of classified projects, all information is open to the public and social supervision. Create an atmosphere that follows the laws of science, encourage exploration, and tolerate failure.

Second, establish an open and unified national technology management platform

(1) Establish a system of inter-ministerial joint meetings.

The establishment of a joint inter-ministerial meeting for the management of science and technology plans (special funds, funds, etc.) led by the Ministry of Science and Technology, the Ministry of Finance, the National Development and Reform Commission, and other relevant departments, and formulating the rules of procedure for the review of scientific and technological development strategic planning and technology The layout and setting of plans (special items, funds, etc.), key tasks and guides, the composition of strategic consulting and comprehensive review committees, and the selection of professional organizations. On this basis, the Ministry of Finance shall overall allocate the budget for science and technology plans (special items, funds, etc.) in accordance with the relevant provisions of budgetary management. All relevant departments do a good job in linking industry and industry policies, planning, standards, and scientific research work, and give full play to the positive role in raising basic frontiers, social charities, major common key technological needs, and the implementation of task organization and the promotion and application of scientific and technological achievements. Major issues such as the strategic planning of science and technology development, the layout of science and technology plans (special projects, funds, etc.), and key special projects, will be reported to the State Council according to procedures after the deliberation of the leading group of the National Science and Technology System Reform and Innovation System Construction, and special major events will be reported to the Party Central Committee.

(b) Rely on professional institutions to manage projects.

The existing qualified scientific research management institutions will be transformed into standardized project management professional organizations. The professional organizations will accept project proposals submitted by various parties through a unified national science and technology management information system, organize project review, project approval, process management and resolution. Questions, such as acceptance, are responsible for achieving the mission objectives. Accelerate the development of management systems and standards for professional institutions, and clearly specify that professional institutions should have project management capabilities in relevant science and technology fields, establish a sound corporate governance structure, establish councils and board of supervisors, and formulate regulations, accept commissions and carry out tasks in accordance with the tasks set by the joint conference. jobs. Strengthen the supervision, evaluation and dynamic adjustment of professional organizations to ensure that they perform project management in accordance with the requirements of the entrustment agreement and related regulations. The project review experts should be selected from the expert review database of national science and technology projects. Encourage qualified social science and technology service organizations to participate in competition and promote the marketization and socialization of professional institutions.

(C) to play a role in strategic advisory and comprehensive review committee.

The Strategic Consultation and Comprehensive Review Committee is composed of high-level experts from the scientific and technological circles, industry, and the economy. It advises on the strategic planning of science and technology development, the layout of science and technology plans (special projects, funds, etc.), the setting of key special projects, and the decomposition of tasks. The meeting provides decision-making reference; puts forward opinions and suggestions on the formulation of unified project review rules, construction of a national science and technology project review expert database, and standardization of project review by professional organizations; and accepts the joint conference entrustment to carry out review of particularly important science and technology project organizations. The Strategic Consultation and Comprehensive Review Committee shall cooperate effectively with academic consulting agencies, associations, and societies, and continuously improve the quality of consulting opinions.

(d) Establish a unified assessment and supervision mechanism.

The Ministry of Science and Technology and the Ministry of Finance shall conduct unified evaluations and supervisions and inspections on the implementation performance of scientific and technological plans (special funds, funds, etc.), strategic consultations, and the performance of the comprehensive review committees and professional organizations, and further improve the construction of scientific research credit systems. The "black list" system and accountability review mechanism. The evaluation of the performance of science and technology plans (special projects, funds, etc.) shall be commissioned by a third party organization through open competition and other methods. The evaluation results serve as an important basis for the support of the central government. All relevant departments must strengthen the day-to-day management and supervision of their affiliates' commitment of science and technology plans (special projects, funds, etc.) and the use of funds. Establish a system for the evaluation and supervision of scientific research achievements, and strengthen responsibilities; strengthen the audit and supervision of the use of financial science and technology funds, and resolutely investigate and punish violations of laws and regulations that have been found, disclose findings to the public, and give play to the role of warning education.

(e) Establish a dynamic adjustment mechanism.

The Ministry of Science and Technology and the Ministry of Finance shall put forward opinions on the dynamic adjustment of science and technology plans (special projects, funds, etc.) based on the results of performance evaluation and supervision and inspection and the recommendations of relevant departments. The completion of the expected goals or the attainment of the set time limit shall be automatically terminated; if it is necessary to continue the implementation, or if a new scientific and technological plan (special item, fund, etc.) and key special items are established, the Ministry of Science and Technology and the Ministry of Finance shall organize and demonstrate the proposal with the relevant departments. Suggest. After the above opinions and suggestions were considered by the joint meeting, they were submitted for approval according to the procedures.

(6) Improve the national science and technology management information system.

Through a unified information system, information management is required for the collection of requirements for scientific and technological plans (special funds, funds, etc.), guidelines for publication, project declaration, project establishment and budgetary arrangements, supervision and inspection, final acceptance, and so on. Confidential information, subject to public supervision. The project information scattered in the relevant departments and not yet incorporated into the national S&T management information system should be included as soon as possible, and the already-concluded projects should be promptly incorporated into a unified national science and technology reporting system. If it is not submitted and incorporated according to regulations, it may not apply for a science and technology plan (special item, fund, etc.) funded by the central government.

Third, optimize the layout of science and technology plans (special projects, funds, etc.)

According to the national strategic needs, government's scientific and technological management functions, and scientific and technological innovation laws, the science and technology plans (special projects, funds, etc.) managed by the central government departments will be integrated into five types of science and technology plans (special projects, funds, etc.).

(1) National Natural Science Foundation of China.

Funding basic research and scientific frontier exploration, supporting talents and team building, and enhancing source innovation capabilities.

(II) Major national science and technology projects.

Focus on national major strategic products and major industrialization goals, give full play to the advantages of the nationwide system, and conduct integrated collaborative research within a set time limit.

(3) National key R&D plans.

It is a major social welfare research that needs long-term evolution in the areas of agriculture, energy resources, ecological environment, and health that affect the national economy and people’s livelihood, as well as the strategic, fundamental, and forward-looking issues concerning the core competitiveness of the industry, the overall capacity for independent innovation, and national security. Major scientific issues, major common key technologies and products, and major international scientific and technological cooperation are organized and implemented in accordance with key special projects. Cross-sector, cross-industry, and cross-regional R&D arrangements and collaborative innovations are strengthened to provide continuity for major areas of national economy and social development. Support and lead.

(4) Technical innovation guidance special projects (funds).

Through the use of risk compensation, post-subsidization, venture capital guidance, etc., we can leverage the role of fiscal funds, use market mechanisms to guide and support technological innovation activities, and promote the transfer, transformation, capitalization, and industrialization of scientific and technological achievements.

(e) Base and talent specialization.

Optimize the layout, support the construction of scientific and technological innovation bases and capacity enhancement, promote the open and sharing of scientific and technological resources, support scientific research of innovative talents and excellent teams, and improve the conditions and guarantee capabilities of China's scientific and technological innovation.

The above-mentioned five types of scientific and technological plans (special projects, funds, etc.) must all be incorporated into a unified national science and technology management platform for management, and the investigation of the project should be strengthened to avoid double reporting and repeated funding. The central government must increase its support for science and technology plans (special projects, funds, etc.) and strengthen the stable support for independent research activities of scientific research institutions and universities at the central level.

IV. Integrate existing technology plans (special items, funds, etc.)

The optimization and integration work is aimed at all scientific and technological plans (special projects, funds, etc.) that implement open competition methods, and does not include special funds for the stable support of central-level scientific research institutes and universities. Through the withdrawal, merger, transfer, etc. of existing technology plans (special funds, funds, etc.) in accordance with the new five categories to significantly reduce the number of science and technology plans (special funds, funds, etc.).

(I) Integration to form a national key R&D plan.

Focusing on national major strategic tasks, following the rules and characteristics of R&D and innovation activities, focusing on the national key basic research and development plan managed by the Ministry of Science and Technology, the national high-tech research and development plan, the national science and technology support plan, and the international science and technology cooperation and exchange program, the National Development and Reform Commission The funds for industrial technology research and development managed by the Ministry of Industry and Information Technology, and the specialized research projects of the public welfare industries managed by the relevant departments shall be consolidated and consolidated to form a national key R&D plan. Based on the major needs of the national economy and social development and the priority areas of science and technology development, the plan consolidates a number of key projects with clear goals and clear boundaries, and carries out full-chain innovation design and integrated organization from basic frontiers, major common key technologies to application demonstrations.

(b) Classification and integration of technological innovation and guidance projects (funds).

In accordance with the needs of different stages of corporate technological innovation activities, venture capital funds for emerging industries managed by the National Development and Reform Commission and the Ministry of Finance, policy guidance programs managed by the Ministry of Science and Technology, guidance funds for scientific and technological achievements conversion, Ministry of Finance, Ministry of Science and Technology, industry and information technology The special funds for the development of small and medium-sized enterprises in the Ministry of Commerce and the Ministry of Commerce jointly support the scientific and technological innovation, and other special funds (funds) to guide and support enterprises' technological innovation, further clarify the functional positioning and classify and integrate them, avoid duplication, and effectively exert leverage. The role is to guide social capital and financial capital into the field of technological innovation through market mechanisms, and form government support methods such as angel investment, venture capital, and risk compensation. The government must intensify support through indirect measures, implement and improve generalist policies that support technological innovation such as tax incentives and government procurement, encourage enterprises to increase their investment in science and technology, and truly develop into the main body of technological innovation.

(III) Adjusting and optimizing bases and talent special projects.

The national (key) laboratories managed by the Ministry of Science and Technology, the National Engineering Technology Research Center, the science and technology infrastructure platform, the national engineering laboratories managed by the National Development and Reform Commission, and the National Engineering Research Center, etc. should be reasonably merged to further optimize the layout and classify by functional positioning. Improving the evaluation mechanism and strengthening the interface with the major national science and technology infrastructure. Improve the openness and sharing of scientific research facilities in universities and research institutes, revitalize stock resources, encourage openness and sharing of national science and technology infrastructure platforms and provide technical services, promote the opening of major national scientific research infrastructure and large-scale scientific research instruments to the society, and realize cross-institutional and trans-regional Open operation and sharing. Relevant talent plans should strengthen top-level design and interface with each other. On this basis, relevant financial special funds will be adjusted.

(4) Major national science and technology projects.

We must persist in doing something well, increase focus on adjustments, accurately grasp the technical line and direction, and more focus on product and industrialization goals, further improve and strengthen the organizational promotion mechanism, control the number of special projects, and concentrate on the implementation of major issues. Pay more attention to the division of labor and convergence with other scientific and technological plans (special projects, funds, etc.) and avoid redundant deployment and repeated investment.

(5) National Natural Science Foundation.

We must focus on basic research and scientific frontiers, pay attention to cross-disciplines, cultivate outstanding scientific research personnel and teams, increase funding, and deliver innovative knowledge and talent teams to key national research fields.

(6) Special funds to support the development of a certain industry or sector.

To further focus on industry and field development, the contents related to supporting technology research and development should be incorporated into the optimized and integrated national science and technology plan (special projects, funds, etc.), and based on the needs of industry and field development, the central government's financial science and technology budget will provide overall support.

The funds that support scientific and technological innovation through state-owned capital operating budgets and government-funded budget arrangements must be gradually incorporated into the central government's public financial budgeting arrangements to support technological innovation.

V. Program Implementation Progress and Work Requirements

(i) Identify timelines and actively and steadily push forward implementation.

The optimization and integration work will be carried out in accordance with the principles of overall design, piloting and gradual progress.

In 2014, the national science and technology management platform was launched, a database of central government scientific research projects was initially established, a national science and technology report system was basically completed, and on the basis of improving the inter-departmental inspection mechanism, several scientific and technological plans (special items, funds, etc.) were selected according to the conditions. The new five categories will be optimized and integrated, and 5-10 key projects will be piloted in the key areas related to national economy, people's livelihood, and future development, and will be reflected in the 2015 budget.

From 2015 to 2016, in accordance with the requirements of innovation-driven development strategy top-level design and the key tasks of the “13th Five-Year Plan” for technological development, we will promote the optimization and integration of various types of scientific and technological plans (special projects, funds, etc.) for technological projects originally approved by the State Council ( Special projects, funds, etc., which have been submitted to the State Council for approval and implementation, have basically completed the work of optimizing and integrating science and technology plans (special projects, funds, etc.) in accordance with the new five categories, reforming and forming new management mechanisms and organizational implementation methods; The national science and technology management platform realizes the overall coordination of the arrangement of science and technology plans (special funds, funds, etc.) and budget allocation, and establishes a unified national science and technology management information system, which is open to the society.

In 2017, after a three-year transitional period of reforms, all five types of technological plans (special projects, funds, etc.) have been fully optimized and operated, and the funding channels for science and technology projects (special funds, funds, etc.) prior to the optimization and integration are no longer maintained. China has continuously deepened reforms, revised or formulated scientific and technological plans (special projects, funds, etc.) and fund management systems to create a good environment for innovation. Each project undertaking unit and professional institution establishes and improves internal control system, and conducts scientific research activities and management business according to law.

(B) unify thinking, pay close attention to implementation, to ensure that the reform has achieved substantial results.

The management reform of science and technology plans (special projects, funds, etc.) is a breakthrough in the implementation of innovation-driven development strategies and the deepening of reforms in the science and technology system. The tasks are heavy and difficult. The Ministry of Science and Technology and the Ministry of Finance should play a good role in coordinating overall planning, take the lead in reforms, and set a good example, and strengthen communication and consultation with relevant departments. Relevant departments should unify their thinking, strengthen overall awareness and responsibility, actively cooperate with each other, take the initiative to reform, and work together to implement the program in the spirit of "nail."

(c) Coordinate advancement of related work.

Accelerate the reform of the use, disposal, and income management of scientific and technological achievements in institutions, promote the revision of the S&T achievements transformation law, improve the incentive mechanism for the conversion of scientific and technological achievements, and strengthen the integration of science and technology policies with policies on finance, taxation, finance, economy, government procurement, and assessment, and implement them well. R&D Expenses plus deductions and other incentives for innovative and inclusive taxation policies; Accelerating the reform of classification and reform of research institutes and the reform of income distribution systems; Improving the evaluation system for scientific research personnel; Creating environmental conditions encouraging encouraging research; Promoting the integration of science and technology and finance to promote compliance Innovation of financial products with the characteristics of scientific and technological innovation; the inclusion of technical standards in industrial and economic policies, the formation of innovative force-reversing mechanisms for industrial restructuring and economic transformation and upgrading; the integration of government procurement of technological innovation activities into science and technology plans, and the active use of first-order purchases, ordering, etc. Government procurement policies support the promotion and application of technological innovation products; actively promote the interactive sharing of military and civilian scientific and technological resources, and promote the integration of military and civilian development.

All provinces (autonomous regions and municipalities) shall, in accordance with the spirit of this program, take into consideration the national strategy for the development of science and technology and local realities, deepen the management reform of local science and technology plans (special funds, funds, etc.), optimize the integration of resources, and increase the efficiency of the use of funds for local economic and social development. Provide strong technical support.

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