| Announcement of the Shenzhen Finance Bureau on Issuing the Rules for the Management of the Use of Shenzhen Municipal Fiscal Funding for Scientific Research in Hong Kong and Macao (for Trial Implementation) | | 深圳市财政局关于印发《深圳市财政科研资金在港澳地区使用管理规程（试行）》的公告 |
| All relevant entities: | | 各相关单位： |
| For the purposes of implementing the spirit of the Central Government and the provincial government on promoting the Mainland, Hong Kong and Macao in maximizing their respective scientific and technological advantages and strengthening scientific and technological cooperation, encouraging scientists in Shenzhen, the Hong Kong Special Administrative Region and the Macao Special Administrative Region to play a bigger role in the building of Guangdong-Hong Kong-Macao Greater Bay Area into an international center for science and technology innovation, and strengthening and regulating the cross-border management of Shenzhen municipal fiscal funding for scientific research, the Shenzhen Finance Bureau has developed the Rules for the Management of the Use of Shenzhen Municipal Fiscal Funding for Scientific Research in Hong Kong and Macao (for Trial Implementation), which, upon approval by the Municipal Government, are hereby issued for your compliance and implementation. | | 为贯彻落实中央、省关于促进内地与香港、澳门发挥各自科技优势、加强科技合作的精神，鼓励深圳和港澳特区科学家在粤港澳大湾区国际科技创新中心建设中发挥更大作用，加强和规范深圳市财政科研资金跨境管理，我局制定了《深圳市财政科研资金在港澳地区使用管理规程（试行）》，经市政府同意，现予以印发，请遵照执行。 |
| | 特此通知。 |
| Annex: Rules for the Management of the Use of Shenzhen Municipal Fiscal Funding for Scientific Research in Hong Kong and Macao (for Trial Implementation) | | 附件：深圳市财政科研资金在港澳地区使用管理规程（试行） |
| Shenzhen Finance Bureau | | 深圳市财政局 |
| October 12, 2019 | | 2019年10月12日 |
| Annex: | | 附件： |
| Rules for the Management of the Use of Shenzhen Municipal Fiscal Funding for Scientific Research in Hong Kong and Macao (for Trial Implementation) | | 深圳市财政科研资金在港澳地区使用管理规程（试行） |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 These Rules are developed in accordance with the Several Provisions on Encouraging Institutions of Higher Learning and Scientific Research Institutions in the Hong Kong Special Administrative Region and the Macao Special Administrative Region to Participate in the Organization and Implementation of Central Government-Funded Science and Technology Programs (Special Projects and Funds, among others) (for Trial Implementation) (No. 43 [2018], Ministry of Science and Technology), the Several Policies and Measures for Further Promoting Scientific and Technological Innovations (No. 1 [2019], People's Government of Guangdong Province), the Several Provisions on the Participation of Institutions of Higher Learning and Scientific Research Institutions in the Hong Kong Special Administrative Region and the Macao Special Administrative Region in the Organization and Implementation of Guangdong Province-Funded Science and Technology Programs (Special Projects and Funds, among others) and other policy documents, and in light of the actual circumstances, for the purposes of strengthening and regulating the management of the use of Shenzhen municipal fiscal funding for scientific research in Hong Kong and Macao, and improving the use efficiency of fiscal funding. | | 第一条 为加强和规范深圳市财政科研资金在港澳地区使用管理，提高财政资金的使用效益，根据《关于鼓励香港特别行政区、澳门特别行政区高等院校和科研机构参与中央财政科技计划（专项、基金等）组织实施的若干规定（试行）》（国科发资〔2018〕43号）、《关于进一步促进科技创新若干政策措施》（粤府〔2019〕1号）、《关于香港特别行政区、澳门特别行政区高等院校和科研机构参与广东省财政科技计划（专项、基金等）组织实施的若干规定（试行）》（粤科合字〔2019〕13号）等政策文件，结合实际，制定本规程。 |
| Article 2 For the purpose of these Rules, “fiscal funding for scientific research” means the funds which are arranged by the public finance at the municipal level for funding scientific research activities, are appropriated after project initiation by the scientific research fund department to institutions of higher learning and scientific research institutions in the Hong Kong Special Administrative Region (including Hong Kong region of the Shenzhen-Hong Kong Science and Technology Innovation Cooperation Zone) and the Macao Special Administrative Region (hereinafter referred to as “Hong Kong and Macao”) for use, and are subject to the contract system management. | | 第二条 本规程所称财政科研资金，是指市本级财政安排用于资助科学研究活动并由科研资金主管部门立项后拨付至香港特别行政区（含深港科技创新合作区港方区域）、澳门特别行政区（以下简称港澳地区）高等院校和科研机构使用并实行合同制管理的资金。 |
| Article 3 The arrangement and use of fiscal funding for scientific research shall follow the principle of win-win cooperation, and be allocated in a reasonable manner and be subject to accounting under special accounts, and the management of fund use shall be governed by the specifications for the use of scientific research funds in Hong Kong and Macao. | | 第三条 财政科研资金的安排和使用应遵循合作共赢原则，合理配置、专账核算，使用管理应适用港澳地区科研资金使用规范。 |
| Chapter II Division of Duties | | 第二章 职责分工 |
| Article 4 The department of Shenzhen Municipality in charge of project initiation in science and technology cooperation with Hong Kong and Macao is the competent department of scientific research funds (hereinafter referred to as “fund department”), and shall assume the following specific duties: | | 第四条 我市负责港澳科技合作中项目立项的部门为科研资金主管部门（以下简称资金主管部门），具体职责如下： |
| (1) It shall take charge of establishing and improving its specific management system for cross-border use of fiscal funding for scientific research, develop templates of cooperation agreements or contracts as well as audit and acceptance check reports, and support the municipal finance department in developing municipal rules for the management of cross-border use of fiscal funding for scientific research. | | （一）负责建立健全本部门财政科研资金跨境使用具体管理制度，制定合作协议书或合同、审计验收报告模板，配合市财政部门制定市级财政科研资金跨境使用管理规程； |
| (2) It shall take charge of accepting and examining specific project applications, approving project budges ad budget adjustments, signing cooperation agreements or contracts, handling the cross-border appropriation, recovery and liquidation of scientific research funds, organizing the acceptance checks of fund projects, tracking and checking the use of funds and project implementation, organizing the implementation of fund supervision and performance management, and supporting the municipal finance department in conducting performance evaluation of key projects. | | （二）负责受理并审核具体项目申报，批准项目预算及预算调整，签订合作协议书或合同，办理科研资金跨境拨付、回收和清算，组织资金项目验收，跟踪、检查资金的使用和项目实施情况，组织实施资金监督和绩效管理工作，并配合市财政部门开展重点项目绩效评价； |
| (3) It shall strengthen the administration of professional institutions, relevant intermediary organizations and experts, and develop corresponding punishment measures according to the law, so as to ensure the standardization of project review and fund security. | | （三）加强对专业机构、有关中介组织以及专家的管理，依法制定相应惩戒措施，确保项目评审规范、资金安全； |
| (4) Other work within the scope of its functions. | | （四）职能范围内的其他工作事项。 |
| Article 5 The municipal finance department shall assume the following specific duties: | | 第五条 市财政部门具体职责如下： |
| (1) It shall, in conjunction with the fund department, develop municipal rules for the management of cross-border use of fiscal funding for scientific research, and assist the fund department in developing the specific management systems of various departments for cross-border use of fiscal funding for scientific research. | | （一）会同资金主管部门制定市级财政科研资金跨境使用管理规程，协助资金主管部门制定各部门财政科研资金跨境使用具体管理制度； |
| (2) It shall assign quotas of cross-border fiscal funding for scientific research in a timely manner, and assist the fund department in handling the appropriation formalities as required. | | （二）及时下达跨境财政科研资金指标，协助资金主管部门按规定办理拨付手续； |
| (3) It shall organize and direct the fund budget performance management, and conduct key performance evaluation as needed. | | （三）组织指导开展资金预算绩效管理，根据需要开展重点绩效评价； |
| (4) Other work within the scope of its functions. | | （四）职能范围内的其他工作事项。 |
| Article 6 As entities undertaking scientific research fund projects (hereinafter referred to as “project undertaking entities”), the institutions of higher learning and scientific research institutions in Hong Kong and Macao are the parties responsible for the management of project funds, and shall assume the following specific duties: | | 第六条 港澳地区的高等院校和科研机构为科研资金项目承担单位（以下简称项目承担单位），是项目资金管理的责任主体，具体职责如下： |
| (1) They shall provide all materials for project application and fund appropriation as required. | | （一）按要求提供项目申报、资金拨付各项材料。 |
| (2) They shall conduct scientific research projects and implement the management of scientific research projects according to the municipal rules for the management of cross-border use of fiscal funding for scientific research, specific management systems, the cooperation agreements or contracts signed. | | （二）按照市级财政科研资金跨境使用管理规程、具体管理制度、签订的合作协议书或合同的规定开展科研项目，实施科研项目管理。 |
| (3) They shall establish and improve the internal management system for project funds, and manage under special accounts the scientific research project funds appropriated to special accounts or sub-accounts, conduct separate accounting of them and use them for designated purposes, and be responsible for the authenticity, legality and integrity of expenditures of the appropriated scientific research project funds. | | （三）建立健全项目资金内部管理制度，对拨付至专户或子账户的科研项目资金实行专账管理，单独核算，专款专用，并对拨付科研项目资金支出的真实性、合法性、完整性负责。 |
| (4) They shall strengthen project performance management, and provide as required the fund department with necessary supporting materials for project initiation, implementation, use of funds, and completion of performance objectives, among others. | | （四）加强项目绩效管理，按照要求向资金主管部门提供必要的项目立项、实施、资金使用情况、绩效目标达成等佐证材料。 |
| Article 7 Duties of other departments (entities): The municipal taxation department shall take charge of giving guidance on the tax-related matters with respect to cross-border funds and supporting the handling of matters concerning tax payment; the municipal foreign exchange administration department shall take charge of giving guidance on the matters concerning cross-border capital flow; and professional institutions authorized by the fund department, intermediary organizations, and institutions determined according to the law (statutory bodies), among others, shall perform duties according to agreements, and effectively conduct the work on security management and confidentiality of relevant information as required. | | 第七条 其他部门（单位）职责：市税务部门负责对跨境资金涉税事宜给予指导，配合纳税事项办理；市外汇管理部门负责对跨境资金流动事宜给予指导；受资金主管部门委托的专业机构、中介组织、依法确定的机构（法定机构）等，按约履责，并按规定做好相关信息的安全管理和保密工作。 |
| Chapter III Budgeting | | 第三章 预算编制 |
| Article 8 The fund department shall, according to the annual budgetary procedures and in light of project acceptance, performance objectives, and tasks and targets, incorporate cross-border fiscal funding for scientific research into its special fund budgeting. | | 第八条 资金主管部门应当按照年度预算编制程序，结合项目受理情况、绩效目标、任务目标，将跨境财政科研资金纳入本单位专项资金预算编报。 |
Article 9 The annual budgets of cross-border scientific research funds shall be adjusted according to the procedures for the adjustment of special fiscal fund budgets of this Municipality.
．．．．．． | | 第九条 跨境科研资金年度预算的调整，按照我市财政专项资金预算调整程序进行。
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