Notice of Issuing the Administrative Measures of Zengcheng District for Sci-tech Innovation Support Funds (Revision)
Township governments, subdistrict offices, departments and agencies of the District Government, and departments of the Development Zone:
The Administrative Measures of Zengcheng District for Sci-tech Innovation Support Funds (Revision) have been approved by the District Government and the Administrative Committee of the Development Zone, and are hereby issued to you for your earnest implementation. Problems encountered during the implementation shall be reported directly to the Scientific and Technological Innovation Bureau of the Development Zone.
Scientific and Technological Innovation Bureau of Zengcheng Economic and Technological Development Zone
August 15, 2023
(Contact: Tang Zhihua, 32893283)
Administrative Measures of Zengcheng District for Sci-tech Innovation Support Funds
(Revision)
Chapter I General Provisions
Article 1 [Basis of the Document] These Measures are formulated for the purpose of standardizing and strengthening the management of sci-tech innovation support funds and projects in the district, further improving the management and efficiency of sci-tech innovation activities, and enhancing the effectiveness of fund utilization. The Measures are developed in accordance with applicable documents such as the Notice of Guangzhou Municipal Science and Technology Bureau on Issuing the Administrative Measures of Guangzhou for Science and Technology Projects (Sui Ke Gui Zi [2023] No. 1), and the Notice of Guangzhou Municipal Science and Technology Bureau on Issuing the Administrative Measures of Guangzhou for Science and Technology Project Funds (Sui Ke Gui Zi [2023] No. 2), and in consideration of the actual conditions in the district.
Article 2 [Scope of Application] For the purpose of these Measures, “sci-tech innovation support funds” refer to the financial funds arranged by the District Finance Bureau, managed by the Scientific and Technological Innovation Bureau of Zengcheng Economic and Technological Development Zone (hereinafter referred to as “Development Zone Scientific and Technological Innovation Bureau”), and used to support various types of sci-tech activities and projects in the district, including sci-tech innovation, development of the Dream Incubator of Overseas Chinese, and projects of leading teams (talents) in innovation and entrepreneurship.
Article 3 [Major Principles] The use of sci-tech innovation support funds shall follow the principles of scientific demonstration, open and transparent procedures, optimization of allocation, support for key areas, emphasis on effectiveness, and dedicated use.
The use of sci-tech innovation support funds shall emphasize guiding enterprises to increase investment in science and technology, further consolidating the leading role of enterprises in sci-tech innovation.
Article 4 [Performance Objectives] The performance objectives of sci-tech innovation support funds are to incentivize and motivate enterprises to innovate, promote the deep integration of the innovation chain and industrial chain, continuously optimize the innovation and entrepreneurship environment, and attract innovation and entrepreneurship talents. These will help enhance the overall efficiency of the district’s innovation system, and make innovation a powerful driving force for promoting high-quality economic and social development in the district.
Chapter Ⅱ Recipients and Methods of Sci-tech Innovation Support Funds
Article 5 [Scope of Use] Sci-tech innovation support funds mainly support the following activities or projects:
(1) Projects supported by the district’s support measures for promoting sci-tech innovation and development, with specific details outlined in the application guidelines, work instructions, or management regulations as officially published.
(2) Projects supported by the administrative measures for Dream Incubator of Overseas Chinese sub-parks and their resident projects, with specific details outlined in the application guidelines, work instructions, or management regulations as officially published.
(3) Projects such as leading teams (talents) in innovation and entrepreneurship in the district, with specific details outlined in the application guidelines, work instructions, or management regulations as officially published.
(4) Entrusted services such as demonstration, evaluation, auditing, and legal services provided by various professional organizations, as well as scientific management, soft science research, and other relevant activities conducted for the purpose of implementing these Measures.
(5) Educational and training sessions, cooperative exchanges and other activities organized at universities and sci-tech demonstration sites in advanced areas for sci-tech management personnel as well as representatives from enterprises and public institutions, for the purpose of learning new knowledge and experience for innovative development.
(6) Other technological expenditures approved by the District Government and the Administrative Committee of the Development Zone.
Article 6 [Allocation Methods] Sci-tech innovation support funds are provided in the following ways:
(1) Pre-subsidy: After the approval of the project, funds will be directly disbursed to the project implementing unit according to the project’s budget plan.
(2) Post-subsidy: The project implementing unit invests upfront, and a subsidy will be given after corresponding results or service performance are achieved and verified or assessed according to prescribed procedures. Post-subsidies may include pre-approval and post-subsidy, policy-based post-subsidy, and performance-based post-subsidy, among others.
(3) Sci-tech Finance: This refers to leveraging technology and finance through methods such as credit risk compensation, guiding funds, equity investments, and debt investments, thereby amplifying the role of sci-tech finance in leveraging financial funds and guiding social capital to increase support for enterprises and industries in sci-tech innovation.
(4) Rewards: Recognizing and rewarding enterprises, public institutions, and individuals that have made outstanding contributions in the areas of research and development, sci-tech achievements, and patent transformation, which benefit sci-tech innovation, technological progress, industrial development, and the overall innovation ecosystem in the district.
(5) Other methods approved by the District Government and the Administrative Committee of the Development Zone.
Chapter Ⅲ Management Responsibilities and Division of Work
Article 7 [Development Zone Science and Technology Bureau] The Development Zone Scientific and Technological Innovation Bureau is responsible for preparing the annual budget for sci-tech innovation support funds, proposing plans for fund allocation and utilization, overseeing fund management, and handling the application review and approval as well as fund disbursement. The bureau also has the authority to supervise and inspect the use of sci-tech innovation support funds.
Article 8 [District Finance Bureau] The District Finance Bureau is responsible for reviewing and approving the annual budget for sci-tech innovation support funds and providing guidance for project budget performance management. The bureau may conduct key performance evaluations of project budgets as necessary.
Article 9 [Project Organizing Units] Project organizing units are responsible for coordinating the application process for sci-tech innovation support fund projects in the district, reviewing and recommending application materials, assisting the Development Zone Scientific and Technological Innovation Bureau in the supervision and management of sci-tech innovation support funds, and providing guidance to project implementing units on the proper use of project funds. Project organizing units typically refer to district-level industry regulatory departments and local township or subdistrict offices.
Article 10 [Project Implementing Units] Project implementing units are responsible for the management and use of project funds. They are required to establish and maintain sound internal financial management systems for project funds, use project funds reasonably and in compliance with regulations, and willingly participate in and accept financial management supervision and inspections. Project leaders within these units are directly responsible for the use of project funds and share responsibility for the compliance, reasonableness, accuracy, and relevance of fund utilization.
Chapter IV Management of Sci-tech Innovation Support Fund Projects
Article 11 [Application Methods] The sci-tech innovation support funds adhere to the principles of independence, objectivity, fairness, and scientific rigor. Depending on the application and evaluation methods, the funds may be granted either through automatic allocation or by application.
Article 12 [Automatic Allocation] The “automatic allocation” approach is applicable to policy-based rewards (subsidies) and other projects that are clearly defined within the scope of support, have clear evaluation criteria and complete comparison data, and do not require project approval.
Article 13 [Application Process] Except for projects eligible for automatic allocation, other projects are subject to the following procedures for project solicitation, project approval, and fund allocation:
(1) Application. The Development Zone Science and Technology Bureau formulates annual project application guidelines for Zengcheng District sci-tech innovation support funds based on the district’s sci-tech development plan, key objectives of the District Government (Administrative Committee of the Development Zone), and the district’s sci-tech innovation policies, and issues application notices. Enterprises, public institutions, and other organizations should prepare and submit materials for application according to the project categories, conditions, and application requirements outlined in the application guidelines.
(2) Review and Recommendation. Project organizing units review the application materials and recommend eligible projects.
(3) Review (Evaluation). The Development Zone Scientific and Technological Innovation Bureau reviews the projects recommended through the application process and, if necessary, may engage sci-tech service departments to organize expert evaluations in accordance with provincial, municipal, and district regulations.
(4) Decision: Based on the review (evaluation) results, the Development Zone Scientific and Technological Innovation Bureau conducts administrative decision-making and determines the proposed list of approved projects (for rewards and subsidies).
(5) Public Announcement: The Development Zone Scientific and Technological Innovation Bureau publishes the proposed list of approved projects (for rewards and subsidies) on the District Government website for seven days. Objections raised during the public announcement period shall be handled according to the guidelines outlined in the Notice of Guangzhou Municipal Science and Technology Bureau on Issuing the Administrative Measures of Guangzhou for Science and Technology Projects.
(6) Project Approval. For projects that have been confirmed to be approved, a sci-tech project task contract should be jointly signed by the relevant responsible units. Projects are considered approved upon contract signing. Failure to sign the contract without valid reasons can result in automatic withdrawal of the project. However, it should be noted that policy-based reward (subsidy) projects may not require a project contract in some cases.
(7) Disbursement. The Development Zone Scientific and Technological Innovation Bureau provides the necessary documentation and the application materials for fund disbursement according to departmental budget approvals, and the District Finance Bureau disburses project funds or rewards (subsidies) in accordance with relevant regulations. Disbursement may occur in a lump sum or in installments.
Article 14 [Management of Approved Projects] The implementation of sci-tech innovation support fund projects is primarily self-managed by the project implementing units. The project implementing units are responsible for fulfilling the relevant obligations and duties as stipulated in the project contract and ensuring project completion according to the schedule.
Article 15 [Mid-term Inspection of Projects] Projects with a duration of over 2 years and receiving district financial support of 500,000 yuan or above must undergo mid-term inspections. The inspections primarily cover project contract progress and the utilization of project funds, among other aspects. Inspection results may include “passed”, “requiring rectification within a specified period”, or “failed”. Projects requiring rectification must complete the necessary actions within three months. Projects that fail the inspection will be terminated.
Article 16 [Project Amendments] During the project implementation period, changes to the project implementing unit, project name, research direction, and expected outcomes are generally not permitted. Changes due to restructuring, renaming, mergers, or adjustments that do not affect project implementation are not considered project implementing unit changes.
(1) Significant changes, such as changing the project leader or collaboration partners, must be applied for three months before the project’s completion and require a written request from the project implementing unit after a self-assessment. The request must be confirmed by the Development Zone Scientific and Technological Innovation Bureau.
(2) Minor changes, including changes to project participants, technical routes, and project duration, require a written request from the project implementing unit and confirmation by the Development Zone Scientific and Technological Innovation Bureau. Minor changes must be applied for one month before the project’s completion. Generally, only one minor change is allowed during the project implementation period, and the extension, if any, should not exceed one year.
(3) When there are changes to the contact information, registered address, or other basic information of the project implementing unit or project leader, they should be promptly communicated to the Development Zone Scientific and Technological Innovation Bureau.
Article 17 [Project Acceptance and Conclusion] Project implementing units are required to submit a request for acceptance within three months after the project’s completion. Projects failing to do so without valid reasons may be terminated by the Development Zone Scientific and Technological Innovation Bureau. Project acceptance evaluations shall be conducted based on the project contract. Project implementing units shall make a request for acceptance and prepare relevant materials. The requests and materials will be reviewed by the project organizing unit before submission to the Development Zone Scientific and Technological Innovation Bureau. The Bureau will organize expert meetings to conduct acceptance evaluations on the projects and issue the evaluation results based on expert opinions.
Article 18 [Acceptance Evaluation Results] Acceptance evaluation results may be “passed” or “failed”. Passed projects can use the remaining funds for their research activities. Failed projects must return the remaining funds.
(1) Projects that meet all the objectives of the project contract, or exceed the primary objectives and achieve breakthroughs or additional outcomes, and are not found to violate any relevant regulations, will receive a “passed” result. Project implementing units must complete the archiving of evaluation documents within one month after the acceptance evaluation.
(2) If a project fails its first acceptance evaluation, an assessment shall be made on whether the project implementing unit and the project leader have fulfilled their obligations and duties diligently and responsibly. If they have not done so or any violations of relevant regulations are found during the inspection, the final result will be “failed”.
(3) If a project fails its first acceptance evaluation but the project implementing unit and the project leader have fulfilled their obligations and duties diligently and responsibly, the project implementing unit may request a second evaluation. Projects that complete rectifications within six months may reapply for acceptance evaluation. If a reapplication is not made in time or the project fails the reevaluation, the final result will be “failed”.
Research results directly related to the project formed after the release of the project application guidelines may be included as research results of the project.
Article 19 [Project Termination] A project shall be terminated if it cannot continue for reasons beyond control. The termination procedure is initiated when any of the following conditions are met:
(1) The project cannot continue due to force majeure, is no longer necessary, or cannot achieve the expected objectives of the contract.
(2) The project implementing unit or project leader refuses supervision inspections, fails the inspection again after rectification, or refuses to cooperate with project acceptance procedures.
(3) The project implementing unit or project leader fails to submit a request for acceptance within three months of the project’s completion without valid reasons.
(4) The project implementing unit has moved out of the district, ceased business operations, or has been deregistered.
(5) Any unlawful, irregular, fraudulent activities, or violations of relevant regulations are discovered during the project application or implementation process.
(6) Other reasons that render the project unable to be carried out normally or required to be terminated.
Article 20 [Project Termination Process] Project termination may be initiated by the project implementing unit or the project organizing unit, or it may be enforced by the Development Zone Scientific and Technological Innovation Bureau. For projects proposed for termination that require professional judgment, the Development Zone Scientific and Technological Innovation Bureau will organize experts to evaluate and form a project termination evaluation opinion. For projects that have used financial funds, the project implementing unit must provide a dedicated account book for project funds. The Development Zone Scientific and Technological Innovation Bureau will verify or commission a specialized audit by a service agency. Projects proposed for termination must be subject to public announcement for a period of seven days, and if there are no objections during the public announcement period, the Development Zone Scientific and Technological Innovation Bureau will approve the termination application or issue a project termination notice.
Article 21 [Handling of Funds for Terminated Projects] For terminated projects, funds that have been disbursed must be returned by the project implementing unit. Funds that have not been disbursed will not be disbursed.
Article 22 [Handling of Violations] For individuals or entities responsible for projects that fail the acceptance evaluation or are terminated due to a failure to fulfill their obligations and duties diligently and responsibly or violations of relevant regulations, they will have their qualifications to apply for district-level sci-tech projects revoked for five years. Those with serious research dishonesty will be handled in accordance with relevant regulations. In cases where acceptance evaluation failure or project termination is attributable to uncontrollable factors, but the project implementing unit or the project leader has fulfilled their obligations and duties diligently and responsibly, it will not affect their qualifications for future applications.
Article 23 [Information Disclosure] Information regarding approved projects, policy-based rewards (subsidies), project evaluation results, and terminated projects should be disclosed to the public on the District Government website. Information that involves secrecy, sensitivity, or other reasons that make it inappropriate for public disclosure may be withheld from public disclosure, after review by the Development Zone Scientific and Technological Innovation Bureau.
Article 24 [Other Project Management] For projects that have received funding or rewards from higher-level government authorities in recognition of sci-tech achievements or as financial support, their application, management, and acceptance will follow the regulations and requirements outlined in the relevant documents of higher-level government authorities.
Chapter V Fund Supervision, Management and Accountability
Article 25 [Expenditure Scope 1] For projects that receive pre-subsidy and those that receive pre-approval and post-subsidy, project implementing units must separately account for project funds and self-raised funds. Expenditure within the scope of project funds, as well as the management of project funds, should follow the provisions outlined in the Notice of Guangzhou Municipal Science and Technology Bureau on Issuing the Administrative Measures of Guangzhou for Science and Technology Project Funds. For projects that fall under the category of basic research and application-oriented basic research in the general projects of economic and social science and technology, the “lump sum system” for project funds may be implemented in accordance with the Work Plan for Project Fund ‘Lump Sum System’ Piot Reform of Guangzhou Science and Technology Projects.
Article 26 [Expenditure Scope 2] For policy-based reward (subsidy) projects, district financial funds provided should be managed and utilized autonomously by the user units in accordance with the needs of their research activities, unless otherwise stipulated by national, provincial, municipal, or district regulations or project contracts.
Article 27 [Financial Settlement] For projects that receive district financial funds of less than 500,000 yuan, no third-party audit report for special funds will be required for project acceptance. Instead, the project implementing unit’s financial department should prepare a financial settlement statement. The project implementing unit is responsible for the truth, completeness, and accuracy of the financial settlement statement. For projects that fail the acceptance evaluation or are terminated, the project implementing units should return the surplus funds as required. The specific amount will be determined through a special fund audit conducted by the Development Zone Scientific and Technological Bureau. If the project implementing unit does not possess the necessary conditions for audit or does not cooperate with the audit work, the unit must return all the disbursed district financial funds for the project.
Article 28 [Performance Evaluation] Performance evaluation, supervision, and accountability for sci-tech innovation support funds are as follows:
(1) The Development Zone Scientific and Technological Innovation Bureau will compile performance targets for funds during budget preparation, and these targets will serve as the basis for budget execution, project operation monitoring, and performance evaluation. In accordance with the requirements of the District Finance Bureau, project implementing units shall conduct self-assessments of performance, and cooperate with the District Finance Bureau in key evaluations. The evaluation results will serve as a critical basis for policy adjustments, budget applications, and management improvements.
(2) Project implementing units should willingly accept supervision and inspection of sci-tech innovation support funds by the Development Zone Scientific and Technological Innovation Bureau, the District Financial Bureau, and the District Audit Bureau, among others.
(3) If any relevant responsible officials from the Development Zone Scientific and Technology Bureau and the District Financial Bureau, or any relevant personnel and evaluation experts from other departments and service agencies, are found to have engaged in serious illegal or disciplinary conduct during the allocation and approval of sci-tech innovation support funds, they will be dealt with in accordance with relevant laws and regulations.
(4) Project implementing units or individuals that engage in illegal or irregular behavior such as falsification, fraud, embezzlement, diversion, or misappropriation during the application or execution of sci-tech innovation support funds, will be dealt with according to relevant laws and regulations, and shall return the sci-tech innovation support funds. In cases of serious violations, the individuals or units will face revocation of qualifications to apply for sci-tech innovation support funds for the next five years. If any individuals or units constitute a criminal offense, they will be transferred to the judicial authorities for prosecution.
Article 29 [Obligations] A commitment mechanism shall be established for project fund management. Enterprises that have cumulatively received funds of 1 million yuan or more in a year, or enterprises that have been rewarded for high-tech enterprise or R&D institution recognition after relocating to Zengcheng District from outside Guangzhou, should sign a commitment letter when applying for sci-tech innovation support funds. They must strictly abide by the provisions of the commitment letter to enjoy rights and fulfill obligations.
Article 30 [Principle of Non-repeated Policy Application] In cases where any matter is eligible for multiple district support policies of a similar nature or type, applicants may seek support at the highest available level in the district. Support benefits should not be accumulated, but applicants may request a supplemental grant (for the difference between support policies) if available. In principle, the same enterprise or parent and subsidiary companies should refrain from making duplicate applications for support regarding the same matter.
Chapter VI Supplementary Provisions
Article 31 [Support for Innovation] To encourage and promote technological innovation, if the guidelines, work directives, or detailed management rules for project applications are found to be inconsistent with these Measures, the Development Zone Scientific and Technological Innovation Bureau may assess and make adjustments based on principles favorable to project implementation.
Article 32 [Implementation Period] These Measures shall take effect upon issuance and remain valid for a period of three years. Subsequently, projects that have not undergone acceptance evaluations can be managed and accepted in accordance with the provisions of these Measures. Unless otherwise specified, during the transitional period from the expiration of the previous measures to the publication of these Measures, project applications, management, and acceptance may be carried out following these Measures.
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