Notice from the Ministry of Science and Technology, the National Development and Reform Commission, and the Ministry of Finance on Issuing the “Administrative Measures for the Acceptance of National Major Science and Technology Projects (Civil Sector)”

To the leading organizations of each major special project, relevant project management agencies, and all concerned units:
To further clarify the organizational management and work processes of national major science and technology projects and to promote their implementation, in accordance with the “Plan for Deepening the Reform of the Management of Central Government-Funded Science and Technology Programs (Special Projects, Funds, etc.)” (Guofa [2014 ]64 In accordance with the “Regulations on the Management of National Major Science and Technology Projects (Civil Sector)” (Guo Ke Fa Zhuan [2017] No. 145), the “Administrative Measures for Funds of National Major Science and Technology Projects (Civil Sector)” (Cai Ke Jiao [2017] No. 74), as well as relevant requirements stipulated in national science and technology management regulations, pertinent financial and accounting laws and regulations, and financial management systems, the Ministry of Science and Technology, the National Development and Reform Commission, and the Ministry of Finance have jointly conducted research and formulated the “Administrative Measures for the Acceptance of National Major Science and Technology Projects (Civil Sector).” These measures are now being circulated to you; please ensure strict compliance.

Ministry of Science and Technology, National Development and Reform Commission, Ministry of Finance
  2018 February 1st of the year

Administrative Measures for the Acceptance of National Key Science and Technology Projects (Civil Sector)
    
Chapter 1 General Provisions

    Article 1: In order to strengthen the management of the summary and acceptance of National Key Science and Technology Projects (hereinafter referred to as "Key Projects") and the acceptance of their sub-projects and topics, and to ensure the scientific rigor, standardization, and impartiality of the acceptance process, in accordance with the "Plan for Deepening the Reform of the Management of Central Government-Funded Science and Technology Programs (including Special Projects, Funds, etc.)" (Guofa [2014] This Regulation is formulated in accordance with Document No. 64, the “Regulations on the Management of National Major Science and Technology Projects (Civilian Sector)” (Guo Ke Fa Zhuan [2017] No. 145), the “Administrative Measures for Funds of National Major Science and Technology Projects (Civilian Sector)” (Cai Ke Jiao [2017] No. 74), as well as relevant regulations on national science and technology management, pertinent national financial and economic laws and regulations, and financial management systems.
Article 2: The acceptance of major special projects is an important component of their organizational management. It aims to objectively evaluate the overall status of the implementation of objectives and tasks, the generation of outcomes, and the use of funds for these major special projects and their individual projects (research topics). It also seeks to promote the application and industrialization of innovative achievements, enhance the efficiency of fund utilization, ensure the smooth implementation and successful achievement of goals for these major special projects, and better support national economic and social development.
Article 3: The summary and acceptance of major special projects shall be based primarily on the implementation plans, development plans, and relevant management regulations for major special projects that have been reviewed and approved by the State Council. The summary and acceptance process shall comprehensively assess such aspects as the target indicators of the major special projects, organizational implementation, use of funds, archival management, effectiveness and impact, transformation of research findings, and follow-up management.
Article 4: The acceptance of major special projects (subjects) shall be based primarily on the project (subject) task contract, the project (subject) budget approved by the relevant authorities, the management regulations pertaining to the major special program, as well as relevant national financial and accounting laws and financial management systems.
Project (subject) acceptance includes archival acceptance, task acceptance, and financial acceptance. Archival acceptance, task acceptance, and financial acceptance shall be coordinated and deployed in a unified manner. Archival acceptance shall be conducted prior to task acceptance and financial acceptance; in principle, task acceptance and financial acceptance shall be carried out concurrently. Archival acceptance shall be conducted in accordance with the "Regulations on Archival Management for National Key Science and Technology Special Projects (Civil Sector)" (Guo Ke Fa Zhuan [2017] No. 348), while financial acceptance shall be conducted in accordance with the "Measures for Financial Acceptance of National Key Science and Technology Special Projects (Civil Sector) – Projects (Subjects)" (Cai Ke Jiao [2017] No. 75).
Article 5: The acceptance of major special projects shall adhere to the principles of compliance with laws and regulations, objectivity and fairness, scientific rigor and standardization, and emphasis on quality and effectiveness, thereby ensuring the seriousness, scientific nature, and authority of the acceptance process.
Article 6: These Measures apply to the acceptance procedures for major special projects and their associated sub-projects (topics) involving civilian sectors.
    

Chapter 2: Acceptance Organization

    Article 7: The Ministry of Science and Technology, together with the National Development and Reform Commission and the Ministry of Finance (hereinafter referred to as the “Three Departments”), shall be responsible for organizing and conducting the final evaluation and acceptance of major special projects, and for providing guidance and oversight on the acceptance of projects (topics).
Article 8: Under the guidance of the three departments, each leading organization for major special projects (hereinafter referred to as the "leading organization") shall be responsible for preparing implementation reports for their respective special projects and submitting applications for final acceptance and evaluation. The leading organizations shall also cooperate with the three departments in carrying out the final acceptance and evaluation of the special projects, and shall guide and supervise the specialized agencies responsible for managing major special projects (hereinafter referred to as the "specialized agencies") in conducting project (subject) acceptance work.
Article 9: Under the leadership of the leading organizing unit, specialized agencies shall be specifically responsible for the organization and implementation of project (subject) acceptance, prepare the project (subject) acceptance report, and cooperate in carrying out the special summary and acceptance work. For major special projects for which specialized agencies have not yet been designated, the responsibilities shall be assumed by the Special Project Implementation and Management Office (hereinafter referred to as the “Special Project Office”).
Article 10: The entities undertaking major special projects (sub-projects) — hereinafter referred to as “undertaking entities,” including the lead undertaking entity and participating entities — shall fully fulfill their legal responsibilities, cooperate with the specialized agencies in carrying out the acceptance procedures for the projects (sub-projects), be responsible for preparing the self-evaluation reports and other acceptance documentation for their respective projects (sub-projects), and bear responsibility for the authenticity, accuracy, and completeness of such documentation.
    

Chapter 3: Summary and Acceptance of Major Special Projects

    Article 11: The leading organizing unit shall prepare an implementation report based on the completion of specific task objectives and the acceptance status of projects (research topics), and submit a request for overall acceptance to the three departments, along with the relevant summary and acceptance materials.
In principle, the acceptance application should be submitted within six months before the special project is about to reach its implementation deadline or after the implementation deadline has expired. If the organization and implementation proceed smoothly and the project’s objectives are achieved ahead of schedule, an early acceptance application may be submitted.
Article 12: After receiving the acceptance application, the three departments shall conduct a formal review of the summary and acceptance materials for major special projects and formulate review opinions. The review opinions shall include two categories: “Pass” and “Rectification Required.”
Article 13: For major special projects that have passed the review, the three departments shall, based on the review comments and the specific implementation conditions of the project, organize the development of a summary and acceptance plan, a work schedule, and establish an expert panel. They shall then carry out the summary and acceptance work for the project and prepare a project acceptance report and summary acceptance opinions. For major special projects requiring rectification, the leading organizing unit shall, upon receipt of the notification, complete the rectification within 30 days. Complete and refine the summary and acceptance materials within the day, then submit the summary and acceptance application to the three departments once again. In principle, each special project is entitled to one opportunity for rectification.

    Article 14: The expert panel for the summary and acceptance of major special projects shall cover the key areas involved in the project and shall be composed jointly of experts from technical, management, financial, economic, and policy fields. In principle, the total number of experts shall be no fewer than 15. A team leader shall be designated. Members of the expert panel should possess considerable authority, representativeness, and broad-based expertise; have a solid understanding of the implementation of major special projects; demonstrate strong strategic thinking and decision-making advisory capabilities; and enjoy a good reputation and significant influence within the domestic and international industry. For special projects that do not involve national security, selected renowned overseas experts may be invited to join the expert panel. Based on the summary and acceptance plan as well as relevant requirements, the expert panel shall conduct the summary and acceptance work independently, objectively, and impartially, and shall formulate and submit its recommendations for the summary and acceptance review.
Management personnel and members of the overall team involved in the major special project being evaluated may not serve as evaluation experts in the summary and acceptance work for this particular project.
Article 15: The main contents of the summary and acceptance of major special projects include: the degree to which project objectives and indicators have been achieved; the organization, implementation, and management status (including archival management); the use of funds and their effectiveness; the implementation results and impact; as well as arrangements for the transformation, application, and subsequent management of the outcomes from these major special projects.
Article 16: The summary and acceptance opinions for major special projects shall be categorized into two types: “Pass” and “Fail.” Any of the following circumstances will result in a “Fail” rating.
(1) Failure to meet the key technical and economic indicators specified in the implementation plans and development plans for major special projects;
(2) The landmark achievements obtained through implementation, along with their associated impacts, do not align with the strategic positioning, strategic objectives, and national investment of the major special projects.
(3) The main project (subject) or core task has not passed acceptance inspection or the acceptance inspection has not been completed.
Article 17: Based on the acceptance reports and summary acceptance opinions for major special projects, the three departments shall formulate overall acceptance conclusions and implementation summary reports for each major special project, and promptly submit these reports to the Party Central Committee and the State Council.
Article 18: Within six months after the completion of the summary and acceptance inspection, the leading organizing unit shall complete the acceptance inspection of all projects (research topics), as well as the organization, preservation, filing, and handover of special archives.
    

Chapter 4: Procedures for Acceptance of Project (Research Topic) Tasks

    Article 19: All projects (research topics) that have been approved for inclusion in the management of major special programs shall undergo acceptance testing. Projects (research topics) that have been approved for termination or withdrawal prior to acceptance testing shall not be included in the acceptance scope. The acceptance testing of projects (research topics) shall be completed within six months after the expiration of the task contract.
Projects (research topics) that cannot complete their target tasks on schedule must, 90 days before the task contract expires, ... Recently, a request for extension was submitted to the professional agency, along with an explanation of the reasons for the extension and the proposed extension period. After the professional agency approves the request and submits it to the leading organizing unit for approval, it will then be filed with the three relevant departments. In principle, the extension period shall not exceed one year.
Article 20: Professional institutions shall, based on the completion status of tasks and relevant requirements, make overall arrangements for the project (subject) acceptance process, develop an acceptance work plan, and submit it for filing with the leading organizing unit and the Ministry of Science and Technology.
For projects (topics) requiring synchronized acceptance, the specialized agency shall effectively organize and coordinate the participating entities and the acceptance expert panel, as well as arrange the schedule, to ensure that the acceptance process proceeds smoothly and in an orderly manner.
Article 21: The leading undertaking unit of a project (or subject) shall, within 60 days after the completion date specified in the task contract, submit to the specialized agency an application for project (or subject) acceptance (see Appendix 1 for the format). At the same time, it must also submit the following acceptance documentation and materials.
(1) Certificate of Approval for Archive Acceptance.
(2) Self-evaluation Report for the Project (Subject) (see Appendix 2 for the format). The report shall primarily cover the following aspects: an overview of the project (subject), implementation status, application of research outcomes and their socio-economic benefits, financial expenditure and management, organizational and managerial arrangements, follow-up plans, existing problems, and recommendations. It should also include the form for key researchers, the table on the financial revenue and expenditure performance of the project (subject), the overview table of major achievements, the achievement information table, and the overview table of constructed production lines, pilot test lines, platform bases, and demonstration sites (projects). Supporting documentation such as product (achievement) testing reports or inspection reports, and user feedback reports, shall be provided.
(3) Report on the financial revenue and expenditure performance of the project (subject), and explanation of the balance of funds remaining from the project (subject).
The acceptance documents and materials for the project (research topic) must be stamped with the official seal of the unit undertaking the project (research topic). For projects (research topics) jointly undertaken by multiple units, the participating units shall, under the unified organization of the lead undertaking unit, cooperate in preparing the relevant acceptance materials.
Article 22: Upon receipt of the acceptance application and relevant documents and materials, the specialized agency shall conduct a formal review within 30 days and notify the leading implementing unit of its decision on whether to approve the acceptance.
Article 23: For acceptance applications that have passed the formal review, the specialized agency shall, in accordance with the acceptance work plan, coordinate with the leading implementing entity to determine the specific schedule for the acceptance inspection and issue a notice of organization for the acceptance inspection, simultaneously sending a copy to the leading organizing entity.
For acceptance applications that have not passed the formal review, the specialized agency shall promptly notify the leading implementing unit to supplement or revise the acceptance materials within a specified time limit.
Article 24: Based on reviewing documentation, watching demonstrations, conducting on-site tests (including tests commissioned to third-party organizations), carrying out field inspections, and listening to reports, the task acceptance experts shall carefully examine and ask probing questions, complete the “Evaluation Form for Task Acceptance of Major Special Projects (Subjects)” (see Appendix 3 for the format), and discuss to formulate the task acceptance opinion for the project (subject).
Article 25: Based on the acceptance results of project (subject) tasks and financial audits, the specialized agency shall formulate an acceptance conclusion, complete the “Acceptance Conclusion Report for Major Special Projects (Subjects)” (see Appendix 4 for the format), submit it to the leading organizing unit for filing, and send a copy to the three relevant departments. The specialized agency is responsible for delivering the “Acceptance Conclusion Report for Major Special Projects (Subjects)” to the leading implementing unit.
The three departments may conduct supervision and inspection of the procedures, content, quality, and conclusions of project (subject) acceptance through spot checks, re-examinations, and other methods.
Article 26: The acceptance of classified projects (research topics) shall be carried out strictly in accordance with the requirements of relevant national confidentiality laws and regulations.
    

Chapter 5: Acceptance Methods and Content for Project (Research Topic) Tasks

    Article 27: The expert panel for the acceptance of project (subject) tasks shall be composed jointly of technical experts, management experts, and intellectual property experts, and in principle shall consist of no fewer than 9 members. People: Designate one team leader. For projects (research topics) with industrialization goals, user representatives must participate.
Personnel from the entity undertaking the project (subject) being evaluated and its collaborating entities may not serve as evaluation experts in the acceptance process.
Article 28: The acceptance of project (subject) tasks shall primarily be conducted through on-site inspections, field tests, functional demonstrations, conference reviews, and document reviews. As needed, one or more of these methods may be employed.
For projects (research topics) that have testing requirements or that are intended for wider promotion and demonstration, acceptance shall be conducted through on-site testing, field inspections, and other similar methods. For projects (research topics) requiring parallel testing or in cases where the expert panel has dissenting opinions, the specialized agency may entrust a third-party organization to carry out the testing.
For projects (research topics) whose results have already been applied, task acceptance opinions shall be formulated based on user reports or after thoroughly soliciting user feedback.
Article 29: For projects (topics) of the same type that have upstream-downstream relationships or strong correlations, acceptance shall be organized synchronously in the form of “project groups” or “topic groups.”
Article 30: For projects (topics) with both application and industrialization objectives, evaluation shall be conducted according to an outcome assessment approach that includes: “the downstream entity assesses the upstream entity, the system assesses the components, the application assesses the technology, and the market assesses the product.”
Article 31: The main contents of the acceptance of project (subject) tasks include: the completion status of the task plan stipulated in the project (subject) contract; the achievement of the objectives and evaluation indicators specified in the contract (including the completion, protection, and application of intellectual property targets); the extent to which the project (subject) has contributed to the overall objectives of the major special program; the level of achievements and their application status; the direct economic and social benefits generated; the status of talent development and team building; as well as the status of organizational management and mechanism innovation.
    

Chapter 6: Project (Research Topic) Acceptance Conclusion

    Article 32: The acceptance conclusion for project (subject) tasks shall be categorized into two types: “Pass” (including “Pass after rectification”) and “Fail.” Projects (subjects) falling under any of the following circumstances shall not pass acceptance.
(1) Failure to meet the key technical and economic indicators stipulated in the contract;
(2) The acceptance documents, materials, and data provided are not authentic;
(3) Unauthorized modification of the assessment objectives, content, technical approach, and other elements of the project (subject) task contract.
Article 33: In principle, each project (or research topic) is entitled to one opportunity for rectification. The rectification must be completed within three months of receiving the notice of rectification. A written report on the rectification status shall be submitted to the specialized agency, and a request for re-acceptance shall be made. For tasks that have been properly rectified, the acceptance conclusion will be “Pass after Rectification”; for tasks that have not been properly rectified, the acceptance conclusion will be “Fail.”
Article 34: The acceptance conclusion for a project (or research topic) shall be categorized into two types: “Pass” and “Fail.” If both the task acceptance and financial acceptance conclusions are “Pass” (including “Pass after rectification”), the overall acceptance conclusion for the project (or research topic) shall be “Pass.” If either one of these two conclusions is “Fail,” the overall acceptance conclusion for the project (or research topic) shall be “Fail.”
Article 35: Professional institutions shall, in accordance with the “Regulations on the Management of Archives for National Major Science and Technology Projects (Civilian Sector),” promptly organize and archive the documentation related to the acceptance of projects (research topics). Professional institutions and the Special Project Office shall, each year by June... At the end of the month and by the end of December, this special project (research topic) and its management files shall be transferred to the Office of Major Special Projects under the Ministry of Science and Technology and incorporated into the unified National Science and Technology Management Information System.
Article 36: After the annual project (subject) acceptance is completed, the specialized agency shall promptly prepare a “Summary Report on the Acceptance of Major Special Projects (Subjects)” and submit it, together with the acceptance conclusion reports for each project (subject), to the leading organizing unit, with a copy sent to the Ministry of Science and Technology.
   

Chapter 7: Responsibilities Related to Project (Research Topic) Acceptance

    Article 37: Any violation of regulations by the responsible parties during the acceptance process of projects (research topics) shall be dealt with strictly. The three departments, the leading organizing unit, and the specialized agencies shall, depending on the severity of the violation, take measures such as conducting interviews, issuing public criticism, recovering funds already disbursed, temporarily or permanently disqualifying the project (research topic) implementer from applying for future projects, and publicly disclosing the relevant outcomes through appropriate channels. In cases where criminal offenses are suspected, the matter shall be referred to the judicial authorities for handling.
The entities found to have engaged in serious violations of discipline and law, resulting in severe consequences or adverse impacts, will be included in the record of serious scientific misconduct and will have their cases more closely linked with other social credit systems, thereby triggering joint punitive measures.
Article 38: For projects (topics) that, upon expiration, fail to apply for acceptance without justifiable reasons, refuse to make rectifications, engage in false rectifications, or receive an “unapproved” acceptance conclusion, the specialized agency will no longer accept applications for major special projects (topics) submitted by the project leader and those directly responsible, and will also impose a five-year... No further project (or subject) applications will be accepted this year from leading organizations or participating organizations bearing direct responsibility for this major special project. Meanwhile, records and evaluations will be conducted in accordance with relevant credit management regulations.
Article 39: Any instances of falsification, dereliction of duty, misappropriation, diversion, encroachment, or fraudulent acquisition of funds discovered during the acceptance process of projects (research topics) will, once verified, result in the termination or revocation of the eligibility of the project (research topic) leader and the undertaking unit to continue participating in major special projects (research topics). Furthermore, the relevant units and individuals will be held accountable according to applicable national laws and regulations. In cases involving suspected criminal activities, the matter will be referred to the judicial authorities for prosecution.
Article 40: During the acceptance process of major special projects, if members of the acceptance expert panel are found to have engaged in illegal or disciplinary violations such as soliciting or accepting bribes, abusing their authority, neglecting their duties, or engaging in favoritism and corruption, their qualification to participate in any tasks and work related to these major special projects will be immediately terminated or revoked upon verification. At the same time, their conduct will be recorded and evaluated in accordance with relevant credit management regulations, and they will be held accountable according to applicable provisions. If their actions constitute a crime, the case will be referred to the judicial authorities for prosecution.
If any relevant institutions, their staff members, or relevant management personnel engage in illegal or disciplinary violations during the acceptance process—such as failing to review documents in accordance with applicable requirements, showing favoritism toward specific implementing entities, assisting implementing entities in falsifying information, committing serious audit errors, improperly participating in evaluation activities, interfering with the acceptance process and its outcomes, or soliciting or accepting bribes—they will, once verified, have their eligibility to participate in various tasks and projects under major special programs terminated or revoked, and will be held accountable according to relevant regulations. In cases involving suspected criminal offenses, the matter will be referred to the judicial authorities for prosecution.
Article 41: Any personnel involved in the acceptance of projects (research topics) who, without authorization, disclose, use, or provide to others the results of the accepted projects (research topics) shall, once verified, have their eligibility to participate in various tasks and activities under major special programs terminated or revoked. If such actions cause losses to the state, relevant organizations, or individuals, they shall be held accountable according to applicable regulations and laws. In cases involving state secrets, handling shall be governed by relevant laws and regulations.
    

Chapter 8: Post-Acceptance Management

    Article 42: The undertaking unit shall strengthen the follow-up management of projects (research topics), make full use of the resources and capabilities developed through support from major special programs, enhance management of archives, research outcomes, intellectual property rights, open sharing, and other related aspects, and continuously carry out these tasks.
Article 43: Specialized agencies shall strengthen the organic integration of project (subject) acceptance with the management of special outcomes, intellectual property rights, and archives. For major tasks and key projects (subjects) involving national strategies, specialized agencies shall establish corresponding working mechanisms to promote the transfer and commercialization of research outcomes and the open sharing of resources.
Article 44: The leading organizing entity shall guide and supervise specialized institutions in carrying out follow-up management, conduct inspections and oversight of the implementation of the work, and fully coordinate and mobilize industry resources and social forces. It shall strengthen macro-management, strategic planning, and policy support, and actively create favorable environmental conditions.
Article 45: The three departments will strengthen overall coordination and macro-guidance for follow-up management, promote the consolidation, optimization, and shared utilization of major special research resources and capabilities, and facilitate the industrial application and dissemination of significant innovative achievements.
    

Chapter Nine: Supplementary Provisions

    Article 46: The leading organizations of each major special project shall, in accordance with these Measures and taking into account the specific characteristics of their respective major special projects, organize the formulation and revision of detailed implementation rules for the acceptance management of projects (topics), and submit them for filing with the three departments.
Article 47: The funds required for the summary and acceptance of major special projects and the acceptance of projects (topics) shall be strictly in accordance with the "Administrative Measures for Funds of National Major Science and Technology Special Projects (Civilian Sector)" and other relevant regulations.
Article 48: These Measures shall be interpreted by the three departments and shall take effect from the date of their promulgation. The “Provisional Measures for the Acceptance of National Key Science and Technology Special Projects (Subjects)” (Guo Ke Fa Zhuan [2011] [No. 314] is hereby repealed simultaneously.
    
    Attachment: 1. Application for Acceptance of National Key Science and Technology Special Project (Subject)
          2. Self-Evaluation Report for National Key Science and Technology Major Projects (Topics)
          3. Acceptance and Evaluation Form for National Key Science and Technology Major Project (Subject) Tasks
          4. Acceptance Conclusion Report for National Key Science and Technology Major Projects (Subjects)