Opinions on Further Improving the Fund Management of Research Projects Supported by Central Finance issued by General Office of the Central Committee and General Office of the State Council
2016-11-24
Xinhua News Agency Beijing July 31 Recently, General Office of the Central Committee and General Office of the State Council issued the Opinions on Further Improving the Fund Management of Research Projects Supported by Central Finance and required departments of all regions to implement it considering their practical conditions.
The full text of Opinions is shown as follows.
Since the issuance of Opinions of the CPC Central Committee and the State Council on Deepening the Reform of Systems and Mechanisms to Accelerate the Implementation of Innovation-driven Development Strategies and Opinions of the State Council on Improving and Strengthening Administration of Scientific Research Projects and Funds Supported by Central Finance, the innovation and creation vitality is greatly motivated and the development of scientific and technological career is promoted. However, there are some problems because of weak implementation of reform measures and imperfect fund management of scientific research project. To implement the requirements for deepening reform and innovation and forming vital science and technology management and operational mechanism made by the central government and to further improve the policies of fund management of research projects supported by central finance, the following opinions are currently proposed.
I. Overall Requirements
Fully implement the spirits of the 18th CPC National Congress, the Third, Fourth and Fifth Plenary Session of the 18th Central Committee of the CPC and the national scientific and technological innovation conference; deeply learn and implement the spirit of import speech addressed by General Secretary Xi Jinping under the guidance of Deng Xiaoping Theory, the important thought of "Three Represents" and Scientific Outlook on Development; firmly set up and implement the development principles of innovation, coordination, green, openness and sharing according to the decision deployment of Party Central Committee and State Council; deeply implement the innovation-driven development strategy, promote public entrepreneurship and innovation; further facilitate streamline administration and power delegation, combination between power delegation and regulation strengthening, as well as service reform optimization; reform and create utilization and management methods of scientific research funds, form vital science and technology management and operational mechanism, and motivate the enthusiasm of researchers by deepening reform.
- Insist on people-oriented. Take mobilizing the enthusiasm and creativity of researchers as the starting point and finishing point, strengthen incentive mechanism, increase incentive strength and motivate the innovation and creation vitality.
- Insist on following rules. Improve management policies, optimize management process, enhance management modes and adapt to the actual demand of scientific researches in accordance with scientific research rules and fiscal budget management.
- Insist on combination of "power delegation, regulation and service". Further promote streamline administration and power delegation, combination between power delegation and regulation strengthening, as well as service reform optimization; expand the management right of colleges and universities, scientific research institutions in scientific research project funds, travel and conference expenses, basic construction, procurement of research instrument and equipment; create a good environment for researchers to engage in scientific research. Meanwhile, strengthen supervision during and after a matter, and strictly investigate and punish illegal and undisciplined issues.
- Insist on implementation of policies. Detail and implement policy regulations, intensify supervision and inspection, vigorously promote the implementation, break through "block points" in the enforcement of policies, and enhance the sense of achievement and gain of researcher in reform.
II. Improve the Fund Management of Research Projects Supported by Central Finance
(I) Simplify budgeting, and transfer the adjustment right to a lower level. Improve the budgeting method, implement project funds pre-appropriation system before the budget approval, and ensure the researchers to use the project funds in time according to the rules and characteristics of scientific researches. Transfer budget adjustment right to a lower level, and transfer the right for adjusting the direct expenses, including material expenses, processing expenses for tests and experiments, fuel and power cost, expenses for publication / literature / information spreading / intellectual properties, and other expenditures to the unit undertaking a project. Simplify the budgeting entries and items, consolidate conference expense, travel expense, international cooperation and communication expense, let researchers prepare budget and use the funds as required considering the practical scientific researches; there is no need to provide budgeting basis for expenses within 10% of direct expenses.
(II) Raise the proportion of indirect expenses and increase performance incentive strength. The R&D projects adopting open competition in central fiscal science and technology plan (special project, funds, etc.) must set indirect expenses, and the verified proportion can be raised to an extent of direct expenses deducting equipment procurement expense: The funds under RMB 5 million account for 20%, RMB 5 million - 10 million account for 15%, and RMB 10 million above account for 13%. Intensify incentive strength to researchers, and cancel proportion limit of performance expenditure. The unit undertaking a project should properly handle the relationship of reasonable apportionment of indirect costs and incentive to researchers during the allocation of indirect expenses. The performance expenditure should be linked up with the actual contribution of researchers in projects.
(III) Define expenditure range of labor expenses, and do not set any proportion limit. Postgraduates, postdoctoral, visiting scholars participating in project research and researchers, assistants and other persons employed for the project must be paid by the labor expenses. The expenditure standards for labor expenses of personnel employed for the projects should be subject to the average wage level of local scientific researchers and technology service employees. The labor expenses should be determined according to tasks undertaken by researchers in project research, and the social insurance subsidies should be included into the labor expenses. No proportion limit will be set on labor expense budget, and the budget should be prepared by the unit undertaking a project and researchers.
(IV) Improve the disposal method of surplus funds. During the implementation of a project, the annual surplus funds can be carried forward to the next year. After the task goals of a project are finished and accepted, the surplus funds will be reserved by the unit undertaking a project, and can be used for direct expenses by unit undertaking a project within 2 years. The funds not used up after 2 years will be taken back.
(V) Standardize and manage horizontal funds independently. The unit undertaking a project obtains the horizontal funds by market entrust. The funds are included into the unified management of unit finance and utilized by the unit undertaking a project according to the requirements of the entrusting party or contract provisions.
III. Perfect Travel and Conference Expenses Management of Central Colleges and Universities and Scientific Research Institutions
(I) Improve the management of travel and conference expenses for teaching researchers in central colleges and universities and scientific research institutions. The central colleges and universities and scientific research institutions can formulate management methods of the expenses and determine the vehicle level and accommodation standard of teaching researchers reasonably according to the actual demand of teaching, research and management work on the principle of simplification, high efficiency and economy. For the conditions when invoices for accommodation expenses are difficult to be obtained, the central colleges and universities and scientific research institutions should reimburse transportation fee between cities and issue food subsidies and local transportation fee on the premise of ensuring the reality.
(II) Improve conference expense management of central colleges and universities and scientific research institutions The business conferences held by central colleges and universities and scientific research institutions due to teaching and scientific researches (e.g., academic conference, seminar, review conference, forum, debate, etc.), the frequency, days and number of participants of business conference, as well as the range and standard of conference expenses can be determined independently by the central colleges and universities and scientific research institutions on the principle of reality, simplification, high efficiency and economy. Transportation fee between cities generated by conference representatives when they attend the conference should, in principle, be reimbursed by their units as travel expenses; The transportation fee between cities and international travel fee actually generated by inviting domestic or oversea experts, scholars and related personnel to participate in a conference due to work demands can be reimbursed by the organizer as conference expenses or other expenses.
IV. Improve the Management on Procurement of Research Instrument and Equipment by Central Colleges and Universities and Scientific Research Institutions
(I) Improve the management on procurements of central colleges and universities and scientific research institutions and government. The central colleges and universities and scientific research institutions can purchase research instruments and equipment, and choose review experts by themselves. The Ministry of Finance is required to simplify the approval procedures for project budget adjustment of government procurement and change of government procurement mode. The central colleges and universities and scientific research institutions need to prepare monitoring management of equipment procurement to realize open, transparent and traceable procurement.
(II) Optimize purchasing service of imported instrument and equipment. Keep a record system management for the imported instruments and equipment purchased by central colleges and universities and scientific research institutions. Continue to carry out tax exemption policies for imported research and teaching supplies.
V. Perfect the Management on Basic Construction Project of Central Colleges and Universities and Scientific Research Institutions
(I) Expand the management right of central colleges and universities and scientific research institutions on basic construction project. The projects supported by the self-owned funds of central colleges and universities and scientific research institutions or not applying for governmental investment and construction should be decided by themselves independently, and reported to competent departments for records, saving the approval link. National Development and Reform Commission and the competent departments of central colleges and universities and scientific research institutions should intensify their guidance and supervising inspection of basic construction project undertaken by them.
(II) Simplify approval procedures for basic construction projects of central colleges and universities and scientific research institutions. The competent departments of central colleges and universities and scientific research institutions should guide them to prepare five-year construction planning, and the project proposal of basic construction projects listed in the planning will not be necessary to be approved. Simplify the approval formalities for town and country planning, land use, environmental assessment and energy-saving assessment of basic construction projects to shorten the approval cycle.
V. Standardize Management, Improve Service
(I) Put more emphasis on responsibilities of legal person, and standardize funds management. The unit undertaking a project should implement related national policies earnestly, strengthen self-discipline and self-regulation according to the requirement of integration of power and responsibility to ensure a good management for projects undertaken. Formulate internal management methods, implement project budget adjustment, arranged use of indirect expenses, allocation management of labor expenses, use of surplus funds and other management right; Strengthen budget auditing, standardize financial expenditure, improve internal risk control mechanism, intensify performance evaluation of funds utilization, and ensure the safety, standardization and efficiency of funds utilization; Carry out internal open system, proactively publish project budget, budget adjustment, fund utilization (mainly involving the utilization of indirect expense, allocated funds and surplus funds), research achievements, etc.
(II) Intensity arrangement and coordination, simplify inspection and review. The Ministry of Science and Technology, the competent department of projects and the Ministry of Finance should strengthen arrangement and coordination among system standard, annual plan and achievement application of scientific research project funds supervision, and establish coordinated work mechanism with definite responsibilities. The Ministry of Science and Technology and the competent department of projects should accelerate to remove and standardize all kinds of inspections and reviews carried out by agent on scientific research projects, strengthen the application of related inspection results carried previously, promote common sharing of inspection results, reduce inspection quantity, improve inspection methods, and avoid repeated, redundant and excessive inspections.
(III) Create new service mode to ensure researchers to engage in scientific researches. The unit undertaking a project should establish and improve a financial assistant system for scientific research to provide professional services to researchers in the preparation and adjustment of project budget, fund expenditure, financial final cost and acceptance and other aspects. The required expenses for financial assistant can be settled by the unit undertaking a project through the scientific research project funds and other channels. Fully make use of information-based approaches, establish and improve the information platform shared by internal researchers, financial departments and project responsible person, and enhance management efficiency and convenience degree of scientific researches. Formulate internal remuneration regulations conference the actual demands of scientific researches, practically solve the problems about invoices or financial bills not available during field study, psychological test and other scientific researches as well as the problems about reimbursing expenses incurred by inviting foreign experts to participate in academic exchange in China.
VII. Intensify System Building and Work Supervision to Ensure the Implementation and Effect of Policies
(I) Issue a feasible implementation rule as soon as possible. The competent departments of projects should improve budgeting guideline, guide the unit undertaking a project and researchers to prepare project budget scientifically and reasonably; Formulate detailed review rules for budget evaluation, optimize evaluation procedures and methods, standardize evaluation acts, and establish and improve a mechanism for timely communication and feedback with project applicants; Prepare detailed rules for financial acceptance, and standardize the financial inspection carried out agent. The central colleges and universities and scientific research institutions should formulate and issue internal management methods for travel and conference expenses before September 1, 2016. And the competent department should strengthen the work guidance and arrangement; the competent department of projects should formulate and introduce relevant implementation rules, and the unit undertaking a project should formulate or modify the internal management methods and remuneration regulations for scientific research project funds before the end of 2016. The unit undertaking scientific research projects in future should formulate and issue relevant management methods and regulations in the current year.
(II) Intensify inspection and guidance to policy implementation. Ministry of Finance and Ministry of Science and Technology should organize and carry out supervision and inspection on the implementation of management rights for scientific research project funds, formulation of internal management methods, creation of service modes, establishment of internal control mechanism, internal disclosure of related matters of the unit undertaking a project at proper time. The supervision and inspection results should be announced by applicable methods, and included into credit management to link them up with verification of indirect expenses and reserve of surplus funds. The auditing agency should carry out auditing supervision for policy implementation and financial assets. The competent department of projects should urge and guide the unit undertaking a project to improve internal management to ensure the implementation of national policies.
The Ministry of Finance and the competent department of central-level social and scientific research projects should modify the management methods of social scientific research project fund as soon as possible by reference to the Opinion, considering rules and characteristics of social scientific researches.
All regions should accelerate to promote the reform of funds management of scientific research projects by reference to the Opinion and considering the practical conditions. (Source: Xinhua News Agency)
