(Unofficial translation, original text appears below)
Notice of the Ministry of Finance and the Ministry of Science and Technology on Issuing the Interim Administrative Measures for the Sino-EU SME Energy Conservation and Emission Reduction Scientific Research Collaboration Fund
(No.226 [2011] of the Ministry of Finance)
The public finance departments (bureaus) and the departments (commissions and bureaus) of science and technology of all provinces, autonomous regions, municipalities directly under the Central Government and cities under separate state planning; the Public Finance Bureau and the Bureau of Science and Technology of Xinjiang Production and Construction Corps,
To regulate and strengthen the administration of the Sino-EU SME (small and medium enterprise) Energy Conservation and Emission Reduction Scientific Research Collaboration Fund, and improve the efficient use of the Fund, the Ministry of Finance and the Ministry of Science and Technology formulated the Interim Administrative Measures for the Sino-EU SME Energy Conservation and Emission Reduction Scientific Research Collaboration Fund, which are hereby issued to you for your compliance and implementation.
Annex: Interim Administrative Measures for the Sino-EU SME Energy Conservation and Emission Reduction Scientific Research Collaboration Fund
August 8, 2011
Annex:
Interim Administrative Measures for the Sino-EU SME Energy Conservation and Emission Reduction Scientific Research Collaboration Fund
Chapter I General Provisions
Article 1These Measures are formulated in accordance with the relevant provisions of the Budget Law of the People's Republic of China and other laws and regulations for purposes of regulating and strengthening the administration of the Sino-EU SME Energy Conservation and Emission Reduction Scientific Research Collaboration Fund, and improving the efficient use of the Fund.
Article 2The Sino-EU SME Energy Conservation and Emission Reduction Scientific Research Collaboration Fund (hereinafter referred to as the “Sino-EU Energy Conservation Fund”) refer to the capital which is appropriated by the central fiscal budget and is earmarked to support domestic SMEs, in collaboration with EU enterprises and research entities, etc. (hereinafter referred to as the “EU partners”), in carrying out scientific research collaboration in related areas of energy conservation and emission reduction such as joint research and development (R&D), introduction, digestion, absorption and re-innovation of technologies, and transformation of achievements, so as to accelerate the development of China's energy conservation and emission reduction technologies.
Article 3 The standards for classification of SMEs shall be governed by the relevant current provisions of China.
Article 4 The Sino-EU Energy Conservation Fund shall be administered on the principle of openness, transparency, earmarked expenditure, scientific management and intensified supervision to ensure a specified, safe and efficient use of the Fund.
Article 5 The Ministry of Finance shall be responsible for managing the budget of Sino-EU Energy Conservation Fund, allocating the project funding and transferring the funding, as well as overseeing and inspecting the use of funding.
The Ministry of Science and Technology shall be responsible for preparing a Sino-EU energy conservation and emission reduction technological collaboration development plan, conducting negotiations with relevant European Commission agencies for the matter of collaboration, determining annual support directions and focuses of the Sino-EU Energy Conservation Fund, drafting out a work guide jointly with the Ministry of Finance, issuing funding application notices, evaluating the application projects, as well as overseeing and inspecting the implementation of projects.
Chapter II Contents and Methods of Support
Article 6 The Sino-EU Energy Conservation Fund shall mainly be used for supporting the following:
(1) Supporting domestic SMEs and EU partners in their joint R&D of the most advanced international technologies of energy conservation and emission reduction. Focus of support will be given to the R&D projects that will help domestic SMEs track the international technological developments , master key and core technologies, and fill the blank of domestic technology;
(2) Guiding domestic SMEs to transform Sino-EU advanced technological collaboration achievements in energy conservation and emission reduction. Focus of support will be given to the R&D projects whereby domestic SMEs make use of Sino-EU joint R&D achievements, carry out technology extension research, small- and medium-scale trial activities, etc., and promote the industrialization of technological achievements;
(3) Encouraging domestic SMEs to introduce, digest and absorb advanced international technologies of energy conservation and emission reduction from EU partners. Focus of support will be given to the R&D projects whereby domestic SMEs introduce advanced technologies suitable for the situation of China, digest, absorb, re-innovate or make localized transformation of such technologies, and enhance China's technological R&D level and China's popularization and application ability; and
(4) Promoting domestic SMEs and EU partners in strengthening their technological exchanges and collaboration in energy conservation and emission reduction. Focus of support will be given to domestic SMEs in participating in such exchange programs as international conferences, study tours and visits which are organized by the EU partners and related to the technology of energy conservation and emission reduction.
Article VII EU-China energy conservation funds to take unpaid subsidy. The same year, the unit can only select one of each item measures under Article VI of the contents of this application support.
R & D project by project investment amount does not exceed 40% of the proportion of grant funding, the maximum subsidy for each project no more than 3 million yuan.
No more than an exchange program in accordance with international travel actually occurred (including the only international transportation fees, conference fees) 50% of the proportion of grant funding, the maximum subsidy for each SME is not more than 300,000 yuan.
Chapter III project funding applications
Article VIII apply for EU-China energy-saving funds for SMEs shall meet the following conditions:
(A) legally registered in the territory, a legal person;
(B) sound financial management system, the information is accurate and complete accounting, tax credit and bank credit is good;
(C) by the provincial people's government department in charge of science and technology high-tech enterprises, or research personnel with college education accounted for the proportion of the total number of enterprise employees not less than 30% of the enterprise;
(Four) is principally engaged in the development of high-tech products related to energy conservation, development, production and services, the proportion of its revenues enterprises with annual revenues of not less than 50%;
(Five) have established a formal partnership with the EU partner institutions in terms of energy saving technology, to declare support for the project in line with this approach content and direction and focus of the annual support and other financial period did not get financial support;
Good (six) results of operations, the management team has a strong sense of innovation, market development capability and high management level.
Article IX of SMEs to apply for EU-China energy-saving funds should provide the following materials:
(A) funding application documents;
(B) the project feasibility report;
(C) research and development projects and investment financing program completion or international travel exchange program expenditures;
(Iv) production and management or business development situation;
(Five) on an annual accounting statements and audit reports audited by certified public accountants (copy and stamped with the official seal);
Enterprise (six) undertake the project legal person license and a copy of the articles of association (copy and stamped with the official seal);
(Seven) with the EU partner institutions signed cooperation agreement (copy and stamped with official seal);
(Viii) Other information to be provided.
Approval and implementation of Chapter IV project
Article X of experts in the relevant fields of Science and Technology to hire an expert advisory committee to study the proposed EU-China cooperation in energy saving technology development proposals.
Article XI of Science and Technology in conjunction with the Ministry of Finance on the recommendation of an expert advisory committee, combined with EU cooperation outcome of the negotiations to determine the annual EU-China energy conservation funds to support the direction and support key, issued the annual declaration files.
Article XII of the provincial science and technology department in conjunction with the provincial finance department to apply for project funding organizations working openly within the scope of the region, and in accordance with the requirements of this approach to annual reporting requirements and the working paper on the applicant's qualifications and relevant information first instance.
Article XIII provincial finance department in conjunction with the provincial department in charge of science and technology within the specified time, the first instance qualified project and related information submitted to the Ministry of Finance and the Ministry of Science.
Article XIV of Science and Technology in conjunction with the Ministry of Finance to establish an expert review system, organize experts to review the project application and proposed project plans and funding recommendations based on expert review comments and budgetary arrangements for the year, after approval by the Ministry of Science and two financial Ministry website publicity to the community for two weeks.
Article XV of the project challenged the publication period of the project, the Ministry of Finance in conjunction with the organization promptly investigate and verify.
After the announcement of the end of the project, the ministry would have no objection to the publication period items and after investigation and verification of the project as the project is no problem projects planned use of funds to the Ministry of Finance.
Article XVI Ministry of Finance planned use of funds for validation, it will reach the provincial finance department under the project expenditure budget targets, and timely disbursement of funds in accordance with budget-EU energy-saving regulations.
Article 17 The Central Europe after receipt of saving money, according to "Corporate Finance General" (Ministry of Finance Decree No. 41) and other relevant provisions of Article XX financial processing.
Article XVIII-EU energy efficiency fund R & D projects undertaken during project implementation units before the end of January, and a month after the completion of the project within the provincial science and technology departments and provincial finance departments submit project progress and the use of special funds annually , the project can not be completed on schedule, the need for timely written instructions can not be completed on schedule and the reasons for expected completion date.
Chapter V Supervision and Inspection
Article XIX financial departments at all levels on a regular or irregular use of EU-China energy-saving funds supervision and inspection, if necessary, may entrust the social intermediary organizations to audit or assessment. Science and technology departments at all levels on a regular or irregular implementation of the project management and supervision.
Diershitiao provincial science and technology authorities should progress of the project in the region and SMEs use in conjunction with the provincial finance departments in each of the general situation of China-EU energy efficiency funds were summarized and reported to the Ministry of Science at the end of the year, the Ministry of Finance within two months.
Twenty-one EU-China energy-saving funds must be earmarked for use in violation of regulations, conduct fraudulent funds, the Ministry of Finance according to the "financial penalties for illegal disposal regulations" (State Council Decree No. 427) for processing.
Chapter VI Supplementary Provisions
Twenty-two of this approach by the Ministry of Finance in conjunction with the Ministry of Science and responsible for the interpretation.
Article XXIII of this approach since the date of promulgation.
财政部 科技部关于印发《中欧中小企业节能减排
科研合作资金管理暂行办法》的通知
财企〔2011〕226号
各省、自治区、直辖市、计划单列市财政厅（局）、科技厅（委、局），新疆生产建设兵团财务局、科技局：
为规范和加强中欧中小企业节能减排科研合作资金管理，提高资金使用效率，财政部、科技部研究制定了《中欧中小企业节能减排科研合作资金管理暂行办法》。现印发给你们，请遵照执行。
财 政 部
科 技 部
二○一一年八月八日
中欧中小企业节能减排科研合作资金管理暂行办法
第一章 总 则
第一条 为规范和加强中欧中小企业节能减排科研合作资金管理，提高资金使用效率，根据《中华人民共和国预算法》等法律、法规的有关规定，制定本办法。
第二条 中欧中小企业节能减排科研合作资金（以下简称中欧节能资金）是指由中央财政预算安排的，专门用于支持国内中小企业与欧盟企业、研究单位等（以下简称欧方合作机构）在节能减排相关领域开展联合研发、技术引进消化吸收再创新、成果转化等科研合作，推动我国节能减排技术加快发展的资金。
第三条 中小企业的划分标准，按照国家现行有关规定执行。
第四条 中欧节能资金的管理应当遵循公开透明、定向使用、科学管理、加强监督的原则，确保资金使用规范、安全和高效。
第五条 财政部负责中欧节能资金的预算管理、项目资金分配和资金拨付，并对资金的使用情况进行监督检查。
科技部负责编制中欧节能减排技术合作发展规划，与欧盟委员会所属相关机构的合作谈判，确定中欧节能资金的年度支持方向和支持重点，会同财政部拟定工作指南，下发申报通知，对申报的项目进行评审，并对项目实施情况进行监督检查。
第二章 支持内容和方式
第六条 中欧节能资金支持内容主要包括：
（一）支持国内中小企业与欧方合作机构联合研究开发国际尖端节能减排技术。重点支持有利于国内中小企业追踪国际技术发展方向，掌握关键核心技术，填补国内技术空白的研发项目。
（二）引导国内中小企业转化中欧节能减排先进技术合作成果。重点支持国内中小企业应用中欧联合研发成果，开展技术延伸研究及小试、中试等活动，推动技术成果产业化的研发项目。
（三）鼓励国内中小企业从欧方合作机构引进消化吸收国际先进节能减排技术。重点支持国内中小企业引进适合我国国情的先进技术，进行消化吸收再创新或本土化改造，提升我国技术研发水平与推广应用能力的研发项目。
（四）促进国内中小企业与欧方合作机构加强节能减排技术交流与合作。重点支持国内中小企业参加欧方合作机构组织的与节能减排技术相关的国际会议、考察、访问等交流项目。
第七条 中欧节能资金采取无偿资助方式。同一年度，每个项目单位只能选择本办法第六条规定的一项内容申请支持。
研发项目按不超过项目投资额40%的比例给予资助，每个项目最高资助额不超过300万元。
交流项目按照不超过实际发生的国际差旅费（仅包括国际交通费、会议费）50%的比例给予资助，每个中小企业最高资助额不超过30万元。
第三章 项目资金的申请
第八条 申请中欧节能资金的中小企业应当具备下列条件：
（一）在境内依法登记注册，具有企业法人资格；
（二）财务管理制度健全，会计信息准确完整，纳税信用和银行信用良好；
（三）经省级以上人民政府科技主管部门认定的高新技术企业，或具有大专以上学历的科研人员占企业职工总数的比例不低于30%的企业；
（四）主要从事节能减排相关高新技术产品的研制、开发、生产和服务，其业务收入占企业年营业收入的比例不低于50%；
（五）已与欧方合作机构在节能减排技术方面建立正式合作关系，申报项目符合本办法的支持内容及年度支持方向和重点，且同期未获得其他财政资金支持；
（六）经营业绩良好，管理团队具有较强的创新意识、较高的市场开拓能力和经营管理水平。
第九条 中小企业申请中欧节能资金应当提供如下材料：
（一）资金申请文件；
（二）项目可行性报告；
（三）研发项目资金筹措方案及投资完成情况或交流项目国际差旅费支出情况；
（四）生产经营情况或业务开展情况；
（五）经注册会计师审计的上一年度会计报表和审计报告（复印件并加盖单位公章）；
（六）承担项目的企业法人执照副本及章程（复印件并加盖单位公章）；
（七）与欧方合作机构签署的合作协议书（复印件并加盖单位公章）；
（八）其他需提供的资料。
第四章 项目的审批与执行
第十条 科技部聘请有关领域专家组成专家咨询委员会，研究提出中欧节能减排技术合作发展规划建议。
第十一条 科技部会同财政部根据专家咨询委员会的建议，结合中欧合作谈判结果，确定中欧节能资金年度支持方向和支持重点，下发年度申报工作文件。
第十二条 省级科技主管部门会同省级财政部门在本地区范围内公开组织项目资金的申请工作，并根据本办法的规定及年度申报工作文件的要求，对申请企业的资格条件及相关资料进行初审。
第十三条 省级财政部门会同省级科技主管部门在规定时间内，将初审合格的项目及相关资料上报财政部和科技部。
第十四条 科技部会同财政部建立专家评审制度，组织专家对申请项目进行评审，并根据专家评审意见和当年预算安排情况提出项目计划和资金支持建议，经两部批准后在科技部和财政部网站向社会公示两周。
第十五条 对项目公示期内提出异议的项目，科技部应会同财政部及时组织调查核实。
项目公示期结束后，科技部将公示期内没有异议的项目和经调查核实没有问题的项目列为立项项目，向财政部提出资金使用计划。
第十六条 财政部对资金使用计划进行审定，将项目支出预算指标下达到省级财政部门，并根据预算管理规定及时拨付中欧节能资金。
第十七条 企业收到中欧节能资金后，按照《企业财务通则》（财政部令第41号）第二十条等相关规定进行财务处理。
第十八条 中欧节能资金研发项目承担单位在项目执行期内每年1月底前，及项目完成后1个月内向省级科技主管部门和省级财政部门报送项目进展情况及专项资金的使用情况，不能按期完成的项目，需及时书面说明不能按期完成的理由和预计完成日期。
第五章 监督检查
第十九条 各级财政部门定期或不定期对中欧节能资金的使用情况进行监督检查，必要时可委托社会中介机构进行审计或评估。各级科技主管部门定期或不定期对项目实施情况进行管理和监督。
第二十条 省级科技主管部门应会同省级财政部门每年对本地区项目进展情况和中小企业使用中欧节能资金的总体情况进行总结，并于年度终了2个月内上报科技部、财政部。
第二十一条 中欧节能资金必须专款专用，对于违反规定使用、骗取资金的行为，财政部将按照《财政违法行为处罚处分条例》（国务院令第427号）进行处理。
第六章 附 则
第二十二条 本办法由财政部会同科技部负责解释。
第二十三条 本办法自公布之日起施行。