Suggestions on Improving and Strengthening the Administration of Scientific and Technological Funds Allotted by the Municipal Finance

上海市财政局、上海市科学技术委员会、上海市发展和改革委员会关于改进和加强本市财政科技经费管理的若干意见

Promulgating Institution: Shanghai Municipal Finance Bureau; Shanghai Municipal Science and Technology Commission; Shanghai Municipal Development and Reform Commission

Document Number: Hu Fu Fa [2008] Order No. 4

Promulgating Date: 02/24/2008

Effective Date: 02/24/2008

颁布机关: 上海市财政局; 上海市科学技术委员会; 上海市发展和改革委员会

文      号: 沪府办发[2008]4号

颁布时间: 02/24/2008

实施时间: 02/24/2008

For the purpose of further normalizing the administration of scientific and technological funds allotted by finance, improving the efficiency of the funds use, in accordance with the spirit of the "Notice of the General Office of the State Council on Transmitting the 'Suggestions of the Ministry of Finance and the Ministry of Science and Technology on Improving and Strengthening the Administration of Scientific and Technological Funds Allotted by the Treasury of the Central Government'"(SC GO G [2006] NO. 56)and the "Notice of Shanghai Municipal People's Government on Implementing the Supporting Policies for the 'Program Outline of Shanghai Municipal for Medium- and Long-term Scientific and Technological Development (2006-2020)'" (SMPG GO G [2006] NO. 12), we hereby put forward the following suggestions on improving and strengthening the administration of scientific and technological funds allotted by the municipal finance:

    为进一步规范财政科技经费的管理，提高财政科技经费的使用效益，根据《国务院办公厅转发财政部科技部〈关于改进和加强中央财政科技经费管理的若干意见〉的通知》（国办发〔2006〕56号）和《上海市人民政府关于实施〈上海中长期科学和技术发展规划纲要（2006—2020年）〉若干配套政策的通知》（沪府发〔2006〕12号）精神，现就改进和加强本市财政科技经费管理提出以下若干意见:

I. Perfect the Decision-making Mechanism and the Overall Plan and Coordination for the Configuration of Scientific and Technological Resources

1. Perfect the decision-making mechanism for this Municipality's major scientific and technological matters. In the light of the actual circumstances of this Municipality, the municipal science and technology commission and the municipal finance bureau shall, jointly with the municipal development and reform commission, make an overall plan over this Municipality's major scientific and technological matters, of which, the matters concerning national economy, social development and national safety shall, on the basis of scientific proving, be reported to the Municipal People's Government for decision.

2. Establish the sharing mechanism for scientific and technological information. All competent administrative (budget) departments in this Municipality shall realize the information sharing of the scientific and technological projects funded by public finance through Shanghai R&D public service platform so as to avoid the repetition, dispersing and waste in using scientific and technological funds allotted by public finance. 

3. Strengthen the contract with relevant departments under the central authorities and the guidance and coordination over districts/county. All competent departments shall strengthen the contact with relevant departments under the central authorities in term of the configuration of scientific and technological resources and the administration of scientific and technological funds, carry out cooperation among departments, give full play to advantages of local resources and undertake major national scientific and technological tasks actively. It is necessary to strengthen the guidance and coordination over district/county people's governments in the configuration of scientific and technological resources and the administration of scientific and technological funds, strengthen the linkage between municipality and districts/county to promote the implementation of relevant major scientific and technological projects.

       一、完善科技资源配置的决策机制和统筹协调

    (一)完善本市重大科技事项的决策机制。根据本市实际情况,由市科委、市财政局会同市发展改革委对全市重大科技事项进行统筹,其中涉及国民经济、社会发展和国家安全的重大科技事项,要在科学论证的基础上,上报市政府决策。

    (二)建立科技信息共享机制。本市各行政(预算)主管部门对以财政经费资助的科技项目,要通过上海市研发公共服务平台,实现科技项目信息的资源共享,避免财政科技经费使用的重复、分散和浪费。

    (三)加强与中央有关部门的联系和对区县的指导协调。各主管部门要加强与中央有关部门在科技资源配置和科技经费管理方面的联系,开展部市合作,发挥地方资源优势,积极承担国家重大科技项目任务。加强对区县政府在科技资源配置和科技经费管理上的指导与协调,加强市、区县联动,推动有关重大科技项目的实施。

II. Increase Government Investment in Science and Technology, and Optimize the Structure of Government Investment in Science and Technology

4. Steadily raise the proportion of the municipal and district/county government investment in science and technology in financial expenditure. By the end of the "Eleventh Five-year Plan" period, the special investment of the Municipal People's Government in science and technology shall account for not less than 7% of that year's financial expenditure, and the average proportion of total investment of district/county governments shall account for 5% of that year's financial expenditure. 

5. Ensure that government investment in science and technology shall be used to support the pubic scientific and technological activities, for which resources can not be effectively allocated through market mechanism, such as fundamental research, frontier technological research, research for public welfare, key technological research and development with common nature as well as innovative environment construction, etc. At the same time, it is necessary to rationally allocate the originally innovative and the integrated innovative resources as well the innovative resources recreated after introduction, digestion and absorption. 

6. Optimize the structure of government funds investment in science and technology. It is necessary to clearly define the function orientation of all types of funds, carry out classified administration to avoid repetition and overlap. In accordance with the regular pattern of scientific and technological activities, the characteristics of scientific and technological tasks and the requirements of financial budget administration, government investments in science and technology shall mainly be classified into the following six categories: 

(1)this Municipality's planned funds for science and technology. The funds shall be mainly used for the research and development of science and technology that are important for realizing national strategy, safeguarding national safety and promoting social and economic development and scientific and technological development in this Municipality. 

(2) the operation funds for scientific research institutions. The funds shall be mainly used for guaranteeing the operation of the institutions engaging in fundamental research, research for public welfare, research and development management and support, etc.; combined with the reform on administrative and operative system, the funding scope of scientific research institutions shall be clearly defined and the funding level shall be gradually raised.   

(3) scientific research funds for industries of pubic welfare nature. The funds shall be mainly used for supporting the industries and departments with relatively heavy scientific research tasks of public welfare nature, organizing to carry out the scientific research tasks that are emergent, educational and fundamental in the very industries. 

(4) funds for creating scientific research conditions. The funds shall be mainly used for supporting the construction, maintenance of scientific research infrastructures, the purchase of scientific research instruments and facilities and the construction of R&D public service platform. 

(5) special complementary funds for major scientific and technological projects. The funds shall be mainly used for providing complementary supports to national major scientific and technological projects implemented in this Municipality. 

(6) funds for creating the environment for regional scientific and technological innovation. The funds shall be mainly used for directing the scientific and technological plan of all types innovated by enterprises groups, as well as the creation of regional scientific and technological innovation environment.

       二、加大财政科技投入力度,优化财政科技投入结构(四)稳步提高市和区县两级政府科技投入占财政支出的比例。到“十一五”期末,市级财政科技专项投入总量占当年财政支出的比例不低于7%,区县级财政科技专项投入总量占当年财政支出的平均比例达到5%。

    (五)确保财政科技投入主要用于支持市场机制不能有效配置资源的基础研究、前沿技术研究、社会公益研究、重大共性关键技术研究开发以及创新环境建设等公共科技活动。同时,合理配置原始创新、集成创新和引进消化吸收再创新的资源。

    (六)优化财政科技经费投入结构。要明确各类经费的功能定位,实行分类管理,避免重复交叉。根据科研活动规律、科技工作特点和财政预算管理要求,政府公共财政科技投入主要分为以下六类:

    1.市科技计划经费。主要用于对实现国家战略、保障国家安全,促进本市经济社会发展和科技发展具有重要作用的科学技术研究与开发。

    2.科研机构运行经费。主要用于从事基础研究、社会公益研究、科研管理和科研服务等机构的运行保障,并结合科研机构管理体制和运行机制改革,明确保障范围,逐步提高保障水平。

    3.公益性行业科研经费。主要用于支持公益性科研任务较重的行业部门,组织开展本行业应急性、培育性、基础性科研工作。

    4.科研条件建设经费。主要用于支持科研基础设施建设、维修和科研仪器设备购置、研发公共服务平台建设等。

    5.重大科技专项配套经费。主要用于为国家在本市实施的重大科技专项提供配套支持。

    6.区域科技创新环境经费。主要用于引导企业集群创新的各类科技计划,以及区域科技创新环境建设。

III. Innovate the Supportive Way of Financial Funds, and Promote the Combination of Production, Learning and Research

7. Establish and perfect the new mechanism of combining multi-ways of production, learning and research. Relevant government planned scientific and technological projects shall further reflect major scientific and technological demands, and in the field with clear market application prospects, enterprises, institutions of higher learning and scientific research institutes shall be invited to participate in the implementation. It is necessary to urge scientific research institutes and institutions of higher learning to provide services to satisfy the demands of enterprises in making technical innovation so as to motivate enterprises to improve their self-innovation capacity.

8. Focus on key points of financial support. Financial support for enterprises' self-innovation shall be in conformity with the regulations of WTO and the principles of public finance, and focus shall be laid on supporting the research and development of techniques with common characters and key techniques. It is necessary to make comprehensive use of non-reimbursable financing, discount loans, venture capital and other input methods to enhance the support for enterprises, institutions of higher learning and scientific research institutes in combining production, learning and research.

       三、创新财政经费支持方式,推动产学研结合(七)建立健全产学研多种形式结合的新机制。政府有关科技计划项目要更多地反映重大科技需求,在具有明确市场应用前景的领域,由企业、高等院校、科研院所共同参与实施。要促进科研院所与高等院校围绕企业技术创新需求服务,推动企业提高自主创新能力。

    (八)聚焦财政支持的重点。财政对企业自主创新的支持要符合WTO的规则和公共财政的原则,重点支持共性技术和关键性技术的研发。要综合运用无偿资助、贷款贴息、风险投资等多种投入方式,加大对企业、高等院校、科研院所开展产学研合作的支持力度。

IV. Improve the Scientificalness, Normativeness and Rationality in Scientific Research Project Authorization and Budget Approval

9. Gradually establish the management mechanism for scientific research project bank according to the requirements of budget management. In future, government funds shall, in principle, only support the projects in the project bank. According to the characteristics of various scientific research projects, it is necessary to establish and perfect the project approval mechanism characterized by experts consultation and government decision-making and the system for the draw up and assessment of the budget for scientific research project, and actively introduce the third-party appraisal system, and upgrade the management of scientific research project bank and the budget assessment and appraisal system. 

10. Perfect the mechanism of scientific research project management and budget management featuring experts' participation. It is necessary to establish the corresponding accreditation experts bank, perfect the selection, challenge, credit and accountability system for accreditation experts. 

11. Improve the transparence of the management of scientific research projects. On the premise of conforming to the State security provisions, it is necessary to gradually carry out online report and appraisal and the system of public announcement and notification relating to scientific research projects. 

12. Establish Shanghai Municipality's scientific research project data bank. On the premise of conforming to the State security provisions, it is necessary to bring the information about scientific research projects supported by government finance into Shanghai Municipality's scientific research project data bank for public sharing so as to avoid and reduce the occurrence of repeated report and approval of scientific research projects.

       四、提高科研项目立项及预算核定的科学性、规范性和合理性

    (九)根据预算管理的要求,逐步建立科研项目的项目库管理机制。今后,政府资金原则上只对纳入项目库的项目予以支持。

    根据不同科研项目的特点,建立健全专家咨询、政府决策的立项机制,以及科研项目预算的编制与评审制度,积极引入第三方评估,健全科研项目库管理及预算评审评估制度。

    (十)完善专家参与科研项目管理及预算管理的机制。建立相应的评审专家库,完善评审专家的遴选、回避、信用和问责制度。

    (十一)提高科研项目管理的透明度。在符合国家保密规定的前提下,逐步实行科研项目网上申报、网上评审和公告、公示制度。

    (十二)建立上海市科研项目数据库。在符合国家保密规定的前提下,将财政资助的科研项目信息纳入上海市科研项目数据库,提供给社会共享,避免或减少科研项目的重复申报、重复立项等现象。

V. Strengthen the Supervision and Management over the Use of Funds for Scientific Research Projects

13. Establish and perfect the management system for funds planned for scientific researches of all kinds. It is necessary to strictly implement the State's provisions regarding the spending scope and standards for funds for scientific research projects, and emphasis shall be laid on normalizing the management of expenditure for personnel, conference, travel, international cooperation and exchange, etc. 

14. Strengthen the management for scientific research projects expenditure. The spending of the funds for scientific research projects shall be strictly carried out in accordance with the budget approved, and it is strictly prohibited to break rules to regulate the budge on one's own and misappropriate the funds for scientific research projects, to make spending by exceeding the prescribed spending scope and standards, to transfer the funds for scientific research projects and break rules to outsource scientific research tasks. The accounting system for the funds for scientific research projects shall be explored to be established and the direct disbursement of research projects expense by national treasury shall be implemented progressively. 

15. Strengthen the internal management of the funds for scientific research projects. Each unit that undertakes the scientific research project shall perfect the internal management system of the funds for scientific research projects in accordance with relevant State's financial provisions. Units that undertake scientific research projects shall clearly define the duties and authorities of scientific research department and finance department as well as person in charge of the project in the use and management of the funds for scientific research projects. The funds for scientific research projects shall be brought into the finance of the unit for unified management with separate accounting and special funds earmarked for special purposes. The balance of funds for scientific research projects shall be handled strictly according to relevant financial system of the State and this Municipality and provisions of finance department on surplus funds management. 

16. Strengthen the supervision and check over the funds for scientific research projects. The supervision system for scientific and technological funds allotted by government finance with the joint participation of the departments of auditing, finance, science and technology as well as social intermediary agencies shall be established and the financial auditing system and the financial acceptance system for scientific research projects shall be established. 

17. The good faith system in the field of scientific research shall be established and perfected. Units and individual persons that violate laws and financial disciplines shall be punished by retrieving financial appropriation, rescinding their qualification for applying for scientific research projects for years and sending off a social notice about the matter. At the same time, relevant departments are suggested to give disciplinary sanction to units and individual persons thereof; if the wrongful act constitutes a crime, the wrongdoer shall be transferred to judicial organ to be prosecuted for criminal liability as provided by law. 

18.Gradually establish the performance evaluation system for the funds for scientific research projects. For scientific research projects of different type, the corresponding performance target shall be clearly defined so as to conduct graded performance evaluation in the implementation process and for the implementation results. The results of the graded performance evaluation shall be taken as the important basis for further projects application and approval for units and individual persons.

Shanghai Municipal Finance Bureau

Shanghai Municipal Science and Technology Commission

Shanghai Municipal Development and Reform Commission

January 22, 2008

ENGLISH TRANSLATION BY SHANGHAI INSTITUTE OF ADMINISTRATIVE LAW.

LICENSED FOR USE AS OF SEPTEMBER 2009.

       五、强化科研项目经费使用的监督管理

    （十三）建立和完善各类科技计划经费管理制度。严格执行国家对科研项目经费开支范围与开支标准的规定，重点规范人员经费、会议费、差旅费、国际合作与交流费、协作研究费等支出的管理。

    （十四）加强科研项目经费支出的管理。科研项目经费支出要严格按照批准的预算执行，严禁违反规定自行调整预算和挤占挪用科研项目经费，严禁各项支出超出规定的开支范围和开支标准，严禁层层转拨科研项目经费和违反规定将科研任务外包。探索建立科研项目经费报账制度。对科研项目经费逐步实施国库直接拨付。

    （十五）强化科研项目经费的内部管理。各科研项目承担单位要按照国家有关财务制度的规定，健全科研项目经费内部管理制度。科研项目承担单位要明确科研、财务等部门及项目负责人在科研项目经费使用与管理中的职责与权限。科研项目经费必须纳入单位财务统一管理，实行单独核算，专款专用。科研项目结余经费应严格按照国家和本市有关财务制度和财政部门有关结余资金管理的规定执行。

    （十六）加强科研项目经费的监督检查。建立包括审计、财政、科技等部门和社会中介机构在内的财政科技经费监督体系，建立对科研项目的财务审计与财务验收制度。

    （十七）建立健全科研诚信体系。对违反法律和财经纪律的单位和个人，要给予追回财政拨款等处罚，取消其以后若干年度申请科研项目的资格，并向社会公告。同时，建议有关部门给予单位和个人纪律处分;构成犯罪的，依法移送司法机关追究刑事责任。

    （十八）逐步建立科研项目经费的绩效评价制度。对不同类型的科研项目，要明确相应的绩效目标，并对其执行过程与执行结果进行分类绩效评价。分类绩效评价的结果，要成为单位和个人今后申请立项的重要依据。

    上海市财政局

    上海市科学技术委员会

    上海市发展和改革委员会

    二○○八年一月二十二日