Notice of the Communist Chinese Ministry of Justice on Printing and Distributing the "Regulations on the Work of Prison Scoring and Assessment of Criminals"

 

Sigui [2021] No. 3

The judicial departments (bureaus) of all provinces, autonomous regions and municipalities directly under the Central Government, and the Prison Administration Bureau of Xinjiang Production and Construction Corps:

The "Regulations on the Work of Prison Scoring and Assessment of Criminals" have been approved by the Central Political and Legal Committee. It is hereby issued to you, please implement it conscientiously.

For important information on implementation, please report it to the Prison Administration of the Ministry of Justice in a timely manner.

Ministry of Justice

August 24, 2021

Provisions on the Work of Prison Scoring and Assessment of Criminals

Chapter 1 General Provisions

Article 1　In order to correctly execute the punishment and standardize the work of prison scoring and assessment of criminals, these regulations are formulated in accordance with the "Prison Law of the People's Republic of China" and other relevant regulations and in light of the actual situation.

Article 2　Scoring and evaluating criminals is an important task for prisons to evaluate criminals' daily performance on the basis of daily scoring and grade assessment in accordance with management and reformation requirements. basic means.

Article 3 The　work of prison scoring and assessment of criminals shall adhere to the Party's absolute leadership over prison work, adhere to the prison work policy of combining punishment and reform with the purpose of reforming people, adhere to strict norms in accordance with the law, adhere to fairness, impartiality and openness, and adhere to the direct and direct control of the prison people's police. A combination of assessment and collective evaluation.

Article 4 The　score-based assessment shall be implemented from the day the criminal is admitted to prison. The daily score of 600 is divided into an assessment cycle, and the grade assessment shall be carried out in the month following the end of an assessment cycle.

Article 5　Prisons shall give convicts praise, material rewards or no rewards based on the results of the score-based assessment, and use the score-based assessment results as an important basis for implementing graded punishments for criminals and applying for commutation and parole in accordance with the law.

Article 6　Prisons shall establish a scoring and assessment working group, with the prison director as the team leader, the deputy prison director in charge of prison administration as the deputy team leader, and the heads of relevant departments as members, responsible for the organizational leadership of the scoring and assessment of criminals and research on major issues . The supervision area has established a scoring and assessment working group, with the head of the supervision area as the team leader and all the police in the supervision area as members, responsible for the specific implementation of the scoring and assessment of criminals.

The prison administration department of the prison is responsible for the daily work of the scoring and assessment working group, the full-time policemen designated by the prison district are responsible for the daily work of the scoring and assessment working group, and the supervision and education police are responsible for the daily scoring of criminals and making recommendations for rating.

Article 7 The work of 　prison scoring and assessment of criminals shall implement the assessment work responsibility system. "Whoever assesses is responsible, whoever signs is responsible, and whoever is in charge is responsible." Responsible for life.

The judicial departments (bureaus) of provinces, autonomous regions, and municipalities directly under the Central Government shall be responsible for guiding the work of scoring and evaluating criminals, and the Prison Administration Bureau shall be responsible for supervision and management.

Article 8 The　work of prison scoring and evaluating criminals shall be subject to the supervision of discipline inspection and supervision organs, people's procuratorates, social organizations and the general public in accordance with the law.

Chapter 2 Contents and Standards of Daily Scoring

Article 9　The daily score is a quantitative evaluation of a criminal's daily reform performance, consisting of three parts: basic score, daily deduction, and special bonus. According to the content and standards of scoring, basic points are given to those who meet the standards. Those who fail to meet the standards or violate the regulations will be deducted on the basis of basic points, those with outstanding performance will be given extra points, and those who meet the special bonus points will be given special bonus points.

Article 10 The　content of daily scoring is divided into three parts: supervision reform, education and cultural reform, and labor reform. The monthly basic score is 100 points, and the daily bonus points of each part shall not exceed 50% of the basic score. And the scores of each part shall not be substituted for each other.

Article 11 If　the performance of criminal supervision and reform meets the following standards, 35 points will be given as basic points for the month:

(1) Abide by laws and regulations, supervisory rules and disciplines and codes of conduct;

(2) Subject to the management of the prison people's police, and truthfully report the situation of reform;

(3) Establish a correct sense of serving a sentence and identity, and have a correct attitude to reform;

(4) Care for public property and public health, pay attention to personal hygiene and civility;

(5) Practicing economy, opposing waste, and developing good habits such as saving water and food;

(6) Other circumstances of compliance with supervisory regulations and disciplines.

Article 12 If the　performance of criminal education and cultural reform meets the following standards, 35 basic points will be awarded for the month:

(1) Obey the judgment of the court and confess guilt and repent;

(2) Receive ideological and political education and education on the rule of law, and understand the harm of crime;

(3) Accept the socialist core values ​​and the Chinese excellent traditional culture education;

(4) Participate in cultural, vocational and technical studies, and pass the examination results;

(5) Receive mental health education and cooperate with psychological tests;

(6) Participate in socialization activities such as family support and education, warning education organized by prisons;

(7) Participate in cultural and sports activities and establish a positive transformation mentality;

(8) Other situations of actively accepting education and cultural transformation.

Article 13 If the 　performance of the criminal's reform through labor meets the following standards, 30 basic points will be awarded for the month:

(1) Accept labor education, master labor skills, and consciously establish a correct labor concept;

(2) Obey the assignment of labor positions and participate in labor on time;

(3) Conscientiously perform labor duties, complete labor tasks on time, and meet labor quality requirements;

(4) Comply with labor disciplines, operating procedures and production safety regulations;

(5) Take care of labor tools and products and save raw materials;

(6) Other circumstances of actively accepting labor reform.

Article 14:　Criminals who have one of the following circumstances, which are verified to be true but not enough to be considered meritorious or major meritorious deeds, shall be given special bonus points:

(1) Reporting or exposing others' illegal or criminal acts or providing valuable clues for solving cases;

(2) timely reporting or stopping criminals from committing illegal and criminal acts on the spot;

(3) Reporting, exposing, or preventing criminals from self-injury and self-mutilation, suicide, or premeditated escape or murder;

(4) Reporting or exposing criminals for privately storing or using contraband;

(5) Discovering and reporting major safety hazards in a timely manner to avoid safety accidents;

(6) Being active in resisting natural disasters or dealing with safety accidents;

(7) Those who have made outstanding achievements in technological innovation or teaching labor production technology;

(8) The prison administration of the province, autonomous region, or municipality directly under the Central Government determines that there are other outstanding reform behaviors.

In principle, the total amount of special bonus points per year for criminals shall not exceed 300 points, and the single-time bonus points shall not exceed 100 points. Those who have the above-mentioned first to fifth situations are not subject to the total amount of annual bonus points.

Article 15 Where　criminals receive warnings, demerits, or confinement punishments, their assessment points will be deducted by 100, 200, and 400 points respectively. If the assessment points are negative after the deduction, the negative points will be retained. Those who are punished by confinement will receive 0 points for the basic assessment during the confinement period.

Article 16　For criminals whose labor has been suspended due to force majeure, etc., the prison shall give points for reform through labor based on the actual situation and in light of their performance in reform through labor before the suspension.

Article 17　For criminals who have the ability to work but are unable to participate in labor due to hospitalization and rehabilitation, 0 points will be deducted from labor reform during the hospitalization and rehabilitation period. For those who are unable to participate in labor, the prison shall give them points for reform through labor based on their average points for reform through labor for the three months prior to their injury.

Article 18　Basic points are not given to criminals during their incarceration and education, but if there are situations where points are added or deducted, they should be recorded truthfully, and the corresponding points will be included in the first assessment cycle.

Prisons shall, according to the appraisal provided by the detention center, incorporate the performance of the criminal during the detention in the detention center into the bonus points and deductions during the prison education period, and include it in the first assessment cycle.

Article 19: The　following criminals shall be scored strictly, the items for bonus points shall be strictly limited, and the total amount of bonus points shall be strictly controlled:

(1) Offenders of duty-related crimes;

(2) Disrupting the financial management order and criminals of financial fraud;

(3) Organizing, leading, participating in, sheltering, and condoning criminal criminals organized by underworld organizations;

(4) criminals endangering national security;

(5) Criminals who commit terrorist activities;

(6) Leaders of drug crime groups and repeat offenders;

(7) Repeat offenders;

(8) Criminals sentenced to fixed-term imprisonment of not less than 10 years, life imprisonment or death sentences with suspension for intentional homicide, rape, robbery, kidnapping, arson, explosion, throwing dangerous substances or organized violent crimes;

(9) Criminals who should be strictly enforced by laws and regulations.

Article 20　For criminals who have been identified as incapable of working, such as old age, physical disability, serious illness, etc., the performance of labor reform will not be assessed, and the monthly basic score will be 100 points, including 50 points for supervision and reform, and 50 points for education and cultural reform. 50 points.

Chapter 3 Grade Evaluation

Article 21　: Grading is the comprehensive evaluation of prisoners' reformation performance in a period of assessment on the basis of daily scoring, and is divided into three levels: positive, qualified, and unqualified.

The grading results are reviewed by the grading and assessment working group and reported to the grading and assessment working group for approval. The percentage of positive grades is determined by the grading and assessment working group, and shall not exceed 15% of the total number of prisoners participating in the grading assessment in the current period.

Article 22　A criminal who falls under any of the following circumstances within an assessment cycle shall not be rated as positive:

(1) A single deduction of more than 10 points for violations of regulations and disciplines;

(2) Any part of the monthly assessment score is lower than its basic score;

(3) Those who were rated as unqualified in the previous assessment cycle;

(4) Those who have the ability to perform but fail to perform or not fully perform the property judgment in the effective judgment;

(5) Circumstances where the prison administration bureau of the province, autonomous region, or municipality directly under the Central Government clearly cannot be rated as a positive grade.

Article 23　A criminal who falls under any of the following circumstances within an assessment cycle shall be rated as unqualified:

(1) Words and deeds that violate the Constitution regarding the leadership of the Communist Party of China and the system of socialism with Chinese characteristics;

(2) Words and deeds that endanger ethnic unity or national unity;

(3) Words and deeds that distort or smear the fine traditional Chinese culture, revolutionary culture and advanced socialist culture;

(4) Advocating violent terrorist activities or religious extremism;

(5) Those who promote or practice Falun Gong and other cults;

(6) Opposing the management of the prison people's police by means of insults, threats, self-harm and self-mutilation, and the warning is invalid;

(7) Received two or more warnings or demerit punishments;

(8) Being punished by confinement;

(9) There are more than three monthly assessment scores below 60;

(10) Circumstances in which the prison administration bureau of the province, autonomous region, or municipality directly under the Central Government clearly should be rated as unqualified.

Article 24　The criminals listed in Article 19 of these regulations shall be strictly controlled in terms of positive rating.

Chapter 4 Assessment Procedures and Rules

Article 25　When the score-based assessment working group and score-based assessment working group study the assessment matters, the decision made shall be approved by more than two-thirds of the members.

Dissenting opinions should be truthfully recorded and confirmed by the person themselves.

Article 26　"Daily records, weekly reviews, and monthly summaries" are implemented for daily scoring. The disciplinary police in the supervision area record the addition and deduction of criminals' reformation behaviors on a daily basis. The scoring and assessment working group reviews the criminals' reformation performance and assessment every week, and summarizes the assessment scores every month.

Article 27: When　adding or deducting points for criminals, the police in the supervision area shall base on facts, make suggestions in accordance with laws and regulations, and report to the scoring and assessment working group for research and decision.

For criminals who violate regulations and disciplines with clear facts and conclusive evidence, and a deduction of less than 2 points is applied for a single time, the supervision and education police can make a decision on the spot and report it to the scoring and assessment working group for the record.

For a single application of the extra points of 5 points or more, the deduction of points of more than 10 points, and the special extra points, the scoring and assessment working group shall report to the scoring and assessment working group for approval.

Article 28:　Where a criminal falls under the same circumstance for multiple points addition or deduction, points shall be added or deducted according to the highest point value, and points shall not be added or deducted repeatedly.

Article 29 Where a　criminal obtains assessment points by taking advantage of personal influence and social relations, providing false certification materials, bribery and other improper means, the score shall be cancelled, and points shall be deducted or punished according to the seriousness of the circumstances.

Article 30 If　a criminal commits another crime while serving a sentence in prison, the existing assessment points and rewards shall be cancelled, and the assessment shall be re-assessed from the date when the judgment takes effect or when he is admitted to prison. Continue to check from today.

Article 31　: Convicts are temporarily suspended for the period of time serving outside prison, and the assessment will be continued from the day they are admitted to prison. The original assessment points and rewards are valid. If a person is admitted to prison for violating the regulations on the supervision and administration of temporary execution outside prison, the existing assessment points and rewards will be cancelled, and the assessment will be re-assessed from the date of admission; if the assessment points are negative, the negative points will be retained and the assessment will continue from the date of admission. .

Article 32 If a 　criminal is admitted to prison for violating the supervision and management regulations during the period of parole, the existing assessment points and rewards shall be cancelled, and the assessment shall be re-assessed from the date of admission.

Article 33:　Where a criminal is placed on file for investigation on suspicion of a crime, the scoring and assessment shall be suspended during the investigation period. If it is verified that there are illegal or criminal acts, the basic points of the assessment during the investigation period will be deducted 0 points; if it is verified that there is no criminal act, the assessment points of the criminal during the investigation period shall be calculated according to the average assessment score of the criminal 3 months before filing the case and combined with the performance during the investigation period; If the previous assessment is less than 3 months, the daily average score will be calculated.

Where criminals are investigated in isolation due to suspected violations of regulations and disciplines, refer to implementation.

Article 34 If a 　criminal needs to be returned to investigation, prosecution or trial due to the handling of the case by the case-handling organ, and the people's court finds that a crime is constituted, the existing assessment points and rewards shall be cancelled, and the assessment shall be re-assessed from the date of admission to prison; the assessment points are: Negative points, keep the negative points. However, if the criminal voluntarily confesses the crime of omission, the people's procuratorate lodges a protest due to the improper sentencing of the people's court, or the case is dismissed because the case was not settled before entering the prison, the existing assessment points and rewards shall be retained, and the assessment shall be continued from the date of admission.

If the case-handling organ or the people's court finds that a crime does not constitute a crime, the sentence is changed to a lighter sentence after retrial, or the case-handling organ is revoked due to reasons such as testimony, the existing assessment points and rewards shall be retained and calculated based on the average assessment score of the 3 months prior to the retrial. The assessment score during the revocation period; if the assessment is less than 3 months before the revocation, the daily average score will be calculated.

Article 35　Except for cases that are not suitable for publicity, such as reporting violations of laws and disciplines, providing valuable clues for solving cases, etc., the criminals' bonus points, deductions, monthly scores and grade evaluation results shall be publicized in the prison area in a timely manner, and the publicity time shall not be less than 3 working days.

Article 36 If a 　criminal has any objection to the addition, deduction, monthly score and grade assessment results, he may submit a written review to the scoring and assessment working group within 3 working days from the date when the disciplinary police in the supervision district makes a decision or makes it public Application; if it is really difficult for me to write, someone else can write it on my behalf, and I will sign it and press my fingerprint to confirm it. The scoring and assessment working group shall conduct a review, make a written review opinion within 5 working days, and submit a copy to the scoring and assessment working group.

If a criminal has any objection to the review opinions of the scoring and assessment working group, he may submit a written application for review to the scoring and assessment working group within 3 working days from the date of receiving the review opinion; Make a written review opinion within working days, and send a copy to the people's procuratorate in a timely manner. The review opinion of the scoring and assessment working group is the final decision.

Article 37 Where a 　criminal is transferred, the transfer-out prison shall hand over the relevant materials for scoring and assessment to the receiving prison at the same time, and the receiving prison shall continue the scoring-based assessment.

Chapter 5 Application of Assessment Results

Article 38 At the　end of an assessment cycle, the scoring assessment working group shall report to the scoring assessment working group for approval according to the scoring assessment results and in accordance with the following principles:

(1) Those who are rated as positive will be praised, and may be given material rewards at the same time;

(2) Those who are rated as qualified and whose monthly assessment scores are not lower than the basic score shall be commended;

(3) Material rewards will be given to those who are rated as qualified but with any monthly assessment score lower than the basic score;

(4) Those who are rated as unqualified shall not be rewarded and shall be given criticism and education.

At the end of an assessment period, 600 points will be deducted from the assessment points, and the remaining assessment points will be transferred to the next assessment period.

Article 39 If the 　prison decides to give praise, material reward, not reward, or cancel the assessment points and rewards, it shall be publicized in the prison area in a timely manner, and the publicity time shall not be less than 3 working days. sent to the People's Procuratorate.

Article 40　: Prisons may, in addition to rewarding or not rewarding criminals according to the results of the score-based assessment, may, in accordance with relevant regulations, give criminals different treatment in terms of scope of activities, meetings and correspondence, living conditions, cultural and sports activities, etc.

Article 41　: The results of the prison's scoring and assessment of criminals, the corresponding commendation decisions, and relevant evidence materials shall be submitted to the people's court and the people's procuratorate when applying for commutation or parole in accordance with the law.

Chapter VI Assessment Discipline and Supervision

Article 42: If the 　prison people's police and relevant staff have any of the following circumstances in the work of scoring and evaluating criminals, they shall be dealt with in accordance with discipline and law; if a crime is constituted, criminal responsibility shall be investigated according to law:

(1) Fabricating facts, forging materials, accepting property or accepting food and beverages;

(2) Greeting and interfering or exerting pressure, and intervening in the pre-assessment assessment;

(3) Scoring and assessing criminals beyond the scope of duties or without a collective research decision;

(4) Concealing or destroying the materials reported by criminals and objections;

(5) Loss or damage of the scoring and assessment ledger or materials due to intentional or gross negligence;

(6) Deliberately delaying registration, making wrong records, or tampering with the scoring and assessment ledger or materials;

(7) Violating the rules of procedure for scoring and assessment, and individuals or a few people decide the matters of scoring and assessment;

(8) Refusing to implement or changing the matters decided by the collective without authorization;

(9) Conducting criminal scoring assessments in violation of regulations in the name of collective research;

(10) Other violations of laws and regulations.

Article 43　In the work of scoring and evaluating criminals, the prison area shall strictly implement various rules and regulations, and hold at least one work meeting for scoring and evaluating criminals every month to summarize the scoring and evaluation work, evaluate the work of disciplinary police, and standardize and improve work behaviors. . The proceedings of the meeting shall be reported to the prison in a timely manner.

Article 44:　Prisons shall conduct regular or irregular inspections on the work of scoring and evaluating criminals, hold at least one work meeting for scoring and evaluating criminals every quarter, listen to the work report of the scoring and evaluation working group, and summarize and improve the scoring and evaluation work. The meeting shall be reported to the Prison Administration in a timely manner. In case of major or common problems, they should analyze and judge, put forward opinions and suggestions, and ask for instructions or report to the Prison Administration.

Article 45 The　prison administrations of provinces, autonomous regions, and municipalities directly under the Central Government shall strengthen the supervision and management of the work of scoring and evaluating criminals in prisons, and promptly study and solve major policies and problems that are strongly reflected in the work of scoring and evaluating criminals, and conduct at least once every six months. Spot check and urge rectification of hidden problems. Major work situations should be promptly requested or reported to the Justice Department (Bureau).

Article 46 The　judicial departments (bureaus) of provinces, autonomous regions, and municipalities directly under the Central Government shall strengthen the guidance on the work of prison scoring and assessment of criminals, and listen to special reports from the Prison Administration Bureau at least once a year.

Article 47 The　party committee (party group) of the judicial department (bureau) of the province, autonomous region, and municipality directly under the Central Government, the party committee of the prison administration, the party committee of the prison, and the party organization of the prison district shall include the work of scoring and evaluating criminals into the important agenda, strengthen leadership and supervision, and conduct discipline inspections. Supervision departments perform their supervisory responsibilities, make good use of the "four forms" of supervision and discipline, and investigate responsibilities according to discipline and law.

Article 48:　Prisons shall regularly notify the people's procuratorate of the regulations and work progress of the system for scoring and evaluating criminals, and invite the people's procuratorate to send staff to participate in the work conference for scoring and evaluating criminals to listen to opinions and suggestions.

Article 49:　Prisons shall immediately investigate and verify if the people's procuratorate finds in the procuratorial work that there are violations of laws and regulations in the work of scoring and evaluating criminals.

If there is no objection to the correction opinion, it shall be corrected within 5 working days and the result of correction shall be notified to the people's procuratorate in writing; if there is any objection to the correction opinion, the situation or reasons shall be explained to the people's procuratorate in writing.

Article 50　: Prison discipline inspection departments shall set up reporting mailboxes in prison interview rooms and prison areas to promptly accept points and assessment issues reported by prisoners and their relatives or guardians.

Article 51　: Prisons shall, in accordance with the relevant provisions on the disclosure of prison affairs, disclose to the general public the content and work procedures of the score-based assessment, and to the relatives or guardians of the criminals the status of the criminals' assessments and the methods for handling objections to the results.

Prisons shall, by employing social supervisors, convening representative meetings of relatives or guardians of criminals, etc., announce the scoring and assessment work, listen to opinions and suggestions, and consciously accept social supervision.

Prisons should focus on the role of criminals in mutual education and mutual supervision, and through individual conversations and other means to understand the situation and listen to opinions and feedback.

Article 52　Prisons shall, in accordance with the relevant regulations on archives management, maintain all kinds of ledger materials of criminals for scoring and assessment, ensure that the criminals are left with traces throughout the work of scoring and assessment, prevent tampering, loss or damage, and ensure that special personnel are in charge of them. file for reference.

Article 53 The　judicial departments (bureaus), prison administrations, and prisons of provinces, autonomous regions, and municipalities directly under the Central Government shall, in accordance with the law, ensure the proper performance of their duties by the prison people's police in scoring and assessing criminals. The people's police shall investigate and clarify in a timely manner, and hold relevant personnel accountable in accordance with the law; the prison people's police with outstanding work performance shall be commended and rewarded in a timely manner.

Article 54 If the 　judicial departments (bureaus), prison administrations, prisons and their staff of provinces, autonomous regions and municipalities directly under the Central Government violate these regulations in the work of scoring and assessing criminals, they shall, according to the seriousness of the circumstances, punish the relevant responsible persons in accordance with discipline. deal with according to law; if a crime is constituted, criminal responsibility shall be investigated according to law.

Chapter VII Supplementary Provisions

Article 55 The　judicial departments (bureaus) of provinces, autonomous regions and municipalities directly under the Central Government shall, in accordance with these regulations and in light of the local conditions, formulate detailed rules for scoring and assessment work, and report them to the Ministry of Justice for the record.

Article 56　The term "above" and "below" in these regulations includes the present number; the term "dissatisfaction" does not include the present number.

Article 57　These regulations shall come into force on October 1, 2021. The Ministry of Justice's "Regulations on Scoring and Examining Criminals" (Si Fa Tong [2016] No. 68) shall be repealed at the same time.

司法部关于印发《监狱计分考核

罪犯工作规定》的通知

司规〔2021〕3号

各省、自治区、直辖市司法厅（局），新疆生产建设兵团监狱管理局：

《监狱计分考核罪犯工作规定》已经中央政法委审批同意。现印发你们，请认真贯彻执行。

贯彻执行中的重要情况，请及时报司法部监狱管理局。

司　法　部

2021年8月24日

监狱计分考核罪犯工作规定

第一章　总　　则

第一条　为正确执行刑罚，规范监狱计分考核罪犯工作，根据《中华人民共和国监狱法》等有关规定，结合实际，制定本规定。

第二条　计分考核罪犯是监狱按照管理和改造要求，以日常计分为基础、等级评定为结果，评价罪犯日常表现的重要工作，是监狱衡量罪犯改造质量的基本尺度，是调动罪犯改造积极性的基本手段。

第三条　监狱计分考核罪犯工作应当坚持党对监狱工作的绝对领导，坚持惩罚与改造相结合、以改造人为宗旨的监狱工作方针，坚持依法严格规范，坚持公平公正公开，坚持监狱人民警察直接考核和集体评议相结合。

第四条　计分考核自罪犯入监之日起实施，日常计分满600分为一个考核周期，等级评定在一个考核周期结束次月进行。

第五条　监狱应当根据计分考核结果给予罪犯表扬、物质奖励或者不予奖励，并将计分考核结果作为对罪犯实施分级处遇、依法提请减刑假释的重要依据。

第六条　监狱成立计分考核工作组，由监狱长任组长，分管狱政管理的副监狱长任副组长，有关部门负责人为成员，负责计分考核罪犯工作的组织领导和重大事项研究。监区成立计分考核工作小组，由监区长任组长，监区全体民警为成员，负责计分考核罪犯工作的具体实施。

监狱的狱政管理部门承担计分考核工作组日常工作，监区指定的专职民警负责计分考核工作小组日常工作，监区管教民警负责罪犯日常计分和提出等级评定建议。

第七条　监狱计分考核罪犯工作实行考核工作责任制，“谁考核谁负责、谁签字谁负责、谁主管谁负责”，监狱人民警察及相关工作人员在职责范围内对计分考核罪犯工作质量终身负责。

省、自治区、直辖市司法厅（局）对计分考核罪犯工作承担指导责任，监狱管理局承担监督管理责任。

第八条　监狱计分考核罪犯工作应当依法接受纪检监察机关、人民检察院、社会团体和人民群众的监督。

第二章　日常计分的内容和标准

第九条　日常计分是对罪犯日常改造表现的定量评价，由基础分值、日常加扣分和专项加分三个部分组成，依据计分的内容和标准，对达到标准的给予基础分，达不到标准或者违反规定的在基础分基础上给予扣分，表现突出的给予加分，符合专项加分情形的给予专项加分，计分总和为罪犯当月考核分。

第十条　日常计分内容分为监管改造、教育和文化改造、劳动改造三个部分，每月基础总分为100分，每月各部分日常加分分值不得超过其基础分的50%，且各部分得分之间不得相互替补。

第十一条　罪犯监管改造表现达到以下标准的，当月给予基础分35分：

（一）遵守法律法规、监规纪律和行为规范；

（二）服从监狱人民警察管理，如实汇报改造情况；

（三）树立正确的服刑意识和身份意识，改造态度端正；

（四）爱护公共财物和公共卫生，讲究个人卫生和文明礼貌；

（五）厉行节约，反对浪费，养成节约用水、节约粮食等良好习惯；

（六）其他遵守监规纪律的情形。

第十二条　罪犯教育和文化改造表现达到以下标准的，当月给予基础分35分：

（一）服从法院判决，认罪悔罪；

（二）接受思想政治教育和法治教育，认识犯罪危害；

（三）接受社会主义核心价值观和中华优秀传统文化教育；

（四）参加文化、职业技术学习，考核成绩合格；

（五）接受心理健康教育，配合心理测试；

（六）参加监狱组织的亲情帮教、警示教育等社会化活动；

（七）参加文体活动，树立积极改造心态；

（八）其他积极接受教育和文化改造的情形。

第十三条　罪犯劳动改造表现达到以下标准的，当月给予基础分30分：

（一）接受劳动教育，掌握劳动技能，自觉树立正确劳动观念；

（二）服从劳动岗位分配，按时参加劳动；

（三）认真履行劳动岗位职责，按时完成劳动任务，达到劳动质量要求；

（四）遵守劳动纪律、操作规程和安全生产规定；

（五）爱护劳动工具和产品，节约原材料；

（六）其他积极接受劳动改造的情形。

第十四条　罪犯有下列情形之一，经查证属实且尚不足认定为立功、重大立功的，应当给予专项加分：

（一）检举、揭发他人违法犯罪行为或者提供有价值破案线索的；

（二）及时报告或者当场制止罪犯实施违法犯罪行为的；

（三）检举、揭发、制止罪犯自伤自残、自杀或者预谋脱逃、行凶等行为的；

（四）检举、揭发罪犯私藏或者使用违禁品的；

（五）及时发现和报告重大安全隐患，避免安全事故的；

（六）在抗御自然灾害或者处置安全事故中表现积极的；

（七）进行技术革新或者传授劳动生产技术成绩突出的；

（八）省、自治区、直辖市监狱管理局认定具有其他突出改造行为的。

罪犯每年度专项加分总量原则上不得超过300分，单次加分不得超过100分，有上述第一至五项情形的不受年度加分总量限制。

第十五条　罪犯受到警告、记过、禁闭处罚的，分别扣减考核分100分、200分、400分，扣减后考核积分为负分的，保留负分。受到禁闭处罚的，禁闭期间考核基础分记0分。

第十六条　对因不可抗力等被暂停劳动的罪犯，监狱应当根据实际情况并结合其暂停前的劳动改造表现给予劳动改造分。

第十七条　对有劳动能力但因住院治疗和康复等无法参加劳动的罪犯，住院治疗和康复期间的劳动改造分记0分，但罪犯因舍己救人或者保护国家和公共财产等情况受伤无法参加劳动的，监狱应当按照其受伤前3个月的劳动改造平均分给予劳动改造分，受伤之前考核不满3个月的按照日平均分计算。

第十八条　罪犯入监教育期间不给予基础分，但有加分、扣分情形的应当如实记录，相应分值计入第一个考核周期。

监狱应当根据看守所提供的鉴定，将罪犯在看守所羁押期间的表现纳入入监教育期间的加分、扣分，并计入第一个考核周期。

第十九条　对下列罪犯应当从严计分，严格限制加分项目，严格控制加分总量：

（一）职务犯罪罪犯；

（二）破坏金融管理秩序和金融诈骗犯罪罪犯；

（三）组织、领导、参加、包庇、纵容黑社会性质组织犯罪罪犯；

（四）危害国家安全犯罪罪犯；

（五）恐怖活动犯罪罪犯；

（六）毒品犯罪集团的首要分子及毒品再犯；

（七）累犯；

（八）因故意杀人、强奸、抢劫、绑架、放火、爆炸、投放危险物质或者有组织的暴力犯罪被判处十年以上有期徒刑、无期徒刑以及死刑缓期执行的罪犯；

（九）法律法规规定应当从严的罪犯。

第二十条　对老年、身体残疾、患严重疾病等经鉴定丧失劳动能力的罪犯，不考核劳动改造表现，每月基础总分为100分，其中监管改造基础分50分，教育和文化改造基础分50分。

第三章　等级评定

第二十一条　等级评定是监狱在日常计分基础上对罪犯一个考核周期内改造表现的综合评价，分为积极、合格、不合格三个等级。

等级评定结果由计分考核工作小组研究意见，报计分考核工作组审批，其中积极等级的比例由计分考核工作组确定，不得超过监狱本期参加等级评定罪犯总人数的15%。

第二十二条　罪犯在一个考核周期内，有下列情形之一的，不得评为积极等级：

（一）因违规违纪行为单次被扣10分以上的；

（二）任何一部分单月考核得分低于其基础分的；

（三）上一个考核周期等级评定为不合格的；

（四）确有履行能力而不履行或者不全部履行生效裁判中财产性判项的；

（五）省、自治区、直辖市监狱管理局明确不得评为积极等级的情形。

第二十三条　罪犯在一个考核周期内，有下列情形之一的，应当评为不合格等级：

（一）有违背宪法关于中国共产党领导、中国特色社会主义制度言行的；

（二）有危害民族团结或者国家统一言行的；

（三）有歪曲、抹黑中华优秀传统文化、革命文化和社会主义先进文化言行的；

（四）有鼓吹暴力恐怖活动或者宗教极端思想言行的；

（五）宣传、习练法轮功等邪教的；

（六）以辱骂、威胁、自伤自残等方式对抗监狱人民警察管理，经警告无效的；

（七）受到两次以上警告或者记过处罚的；

（八）受到禁闭处罚的；

（九）有三次以上单月考核分低于60分的；

（十）省、自治区、直辖市监狱管理局明确应当评为不合格等级的情形。

第二十四条　对本规定第十九条所列罪犯，在积极等级评定上应当从严掌握。

第四章　考核程序及规则

第二十五条　计分考核工作组、计分考核工作小组研究考核事项时，作出的决定应当经三分之二以上组成人员同意后通过。

对不同意见，应当如实记录在案，并由本人签字确认。

第二十六条　日常计分实行“日记载、周评议、月汇总”。监区管教民警每日记载罪犯改造行为加分、扣分情况，计分考核工作小组每周评议罪犯改造表现和考核情况，每月汇总考核分，不足月的按日计算。

第二十七条　对罪犯加分、扣分，监区管教民警应当以事实为依据，依法依规提出建议，报计分考核工作小组研究决定。

对罪犯违规违纪行为事实清楚、证据确凿，且单次适用分值2分以下的扣分，监区管教民警可以当场作出决定，并报计分考核工作小组备案。

对单次适用分值5分以上的加分、10分以上的扣分和专项加分，由计分考核工作小组报计分考核工作组审批。

第二十八条　罪犯同一情形符合多项加分、扣分情形的，应当按照最高分值给予加分、扣分，不得重复加分、扣分。

第二十九条　罪犯通过利用个人影响力和社会关系、提供虚假证明材料、贿赂等不正当手段获得考核分的，应当取消该项得分，并根据情节轻重给予扣分或者处罚。

第三十条　罪犯在监狱服刑期间又犯罪的，取消已有的考核积分和奖励，自判决生效或者收监之日起重新考核；考核积分为负分的，保留负分，自判决生效或者收监之日起继续考核。

第三十一条　罪犯暂予监外执行期间暂停计分考核，自收监之日起继续考核，原有的考核积分和奖励有效。因违反暂予监外执行监督管理规定被收监执行的，取消已有的考核积分和奖励，自收监之日起重新考核；考核积分为负分的，保留负分，自收监之日起继续考核。

第三十二条　罪犯在假释期间因违反监督管理规定被收监的，取消已有的考核积分和奖励，自收监之日起重新考核。

第三十三条　罪犯因涉嫌犯罪被立案侦查的，侦查期间暂停计分考核。经查证有违法犯罪行为的，侦查期间的考核基础分记0分；经查证无犯罪行为的，按照罪犯立案前3个月考核平均分并结合侦查期间的表现计算其侦查期间的考核分；立案前考核不满3个月的按照日平均分计算。

罪犯因涉嫌违规违纪被隔离调查的，参照执行。

第三十四条　罪犯因办案机关办理案件需要被解回侦查、起诉或者审判，经人民法院审理认定构成犯罪的，取消已有的考核积分和奖励，自收监之日起重新考核；考核积分为负分的，保留负分。但罪犯主动交代漏罪、人民检察院因人民法院量刑不当提出抗诉或者因入监前未结案件被解回的，保留已有的考核积分和奖励，自收监之日起继续考核。

办案机关或者人民法院认定不构成犯罪、经再审改判为较轻刑罚或者因作证等原因被办案机关解回的，保留已有的考核积分和奖励，并按照解回前3个月考核平均分计算其解回期间的考核分；解回前考核不满3个月的按照日平均分计算。

第三十五条　除检举违法违纪行为、提供有价值破案线索等不宜公示的情形外，罪犯加分、扣分、每月得分和等级评定结果应当及时在监区内公示，公示时间不少于3个工作日。

第三十六条　罪犯对加分、扣分、每月得分和等级评定结果有异议的，可以自监区管教民警作出决定或者公示之日起3个工作日内向计分考核工作小组提出书面复查申请；本人书写确有困难的，可由他人代为书写，本人签名、按捺手印予以确认。计分考核工作小组应当进行复查，于5个工作日内作出书面复查意见，并抄报计分考核工作组。

罪犯对计分考核工作小组的复查意见有异议的，可以自收到复查意见之日起3个工作日内向计分考核工作组提出书面复核申请；计分考核工作组应当进行复核，于5个工作日内作出书面复核意见，并及时抄送人民检察院。计分考核工作组的复核意见为最终决定。

第三十七条　罪犯转押的，转出监狱应当同时将计分考核相关材料移交收押监狱，由收押监狱继续计分考核。

第五章　考核结果运用

第三十八条　一个考核周期结束，计分考核工作小组应当根据计分考核结果，按照以下原则报计分考核工作组审批：

（一）被评为积极等级的，给予表扬，可以同时给予物质奖励；

（二）被评为合格且每月考核分均不低于基础分的，给予表扬；

（三）被评为合格等级但有任何一个月考核分低于基础分的，给予物质奖励；

（四）被评为不合格等级的，不予奖励并应当给予批评教育。

一个考核周期结束，从考核积分中扣除600分，剩余考核积分转入下一个考核周期。

第三十九条　监狱决定给予罪犯表扬、物质奖励、不予奖励或者取消考核积分和奖励的，应当及时在监区内公示，公示时间不得少于3个工作日，同时应当及时将审批决定抄送人民检察院。

第四十条　监狱根据计分考核结果除给予罪犯奖励或者不予奖励外，可以依照有关规定在活动范围、会见通信、生活待遇、文体活动等方面给予罪犯不同的处遇。

第四十一条　监狱对罪犯的计分考核结果和相应表扬决定及有关证据材料，在依法提请减刑、假释时提交人民法院和人民检察院。

第六章　考核纪律和监督

第四十二条　监狱人民警察及相关工作人员在计分考核罪犯工作中有下列情形之一的，依纪依法给予处理；构成犯罪的，依法追究刑事责任：

（一）捏造事实、伪造材料、收受财物或者接受吃请的；

（二）打招呼说情或者施加压力，干预计分考核的；

（三）超越职责范围或者未经集体研究决定，为罪犯计分考核的；

（四）隐匿或者销毁罪犯检举揭发、异议材料的；

（五）因故意或者重大过失导致计分考核台账或者资料遗失、损毁的；

（六）故意延迟登记、错误记录或者篡改计分考核台账或者资料的；

（七）违反计分考核议事规则，个人或者少数人决定计分考核事项的；

（八）拒不执行或者擅自改变集体决定事项的；

（九）借集体研究之名违规办理罪犯计分考核的；

（十）其他违反法律法规的情形。

第四十三条　监区在计分考核罪犯工作中应当严格执行各项制度规定，每月至少召开一次计分考核罪犯工作会议，总结计分考核工作，评价管教民警工作，规范和改进工作行为。会议情况应当及时报告监狱。

第四十四条　监狱应当定期或者不定期开展计分考核罪犯工作检查，每季度至少召开一次计分考核罪犯工作会议，听取计分考核工作组工作汇报，总结和改进计分考核工作。会议情况应当及时报告监狱管理局。遇有重大或者共性问题，应当分析研判、提出意见建议，向监狱管理局请示或者报告。

第四十五条　省、自治区、直辖市监狱管理局应当加强对监狱计分考核罪犯工作的监督管理，及时研究解决计分考核罪犯工作中的重大政策和群众反映强烈的问题，每半年至少开展一次抽查检查，督促整改问题隐患。重大工作情况应当及时向司法厅（局）请示或者报告。

第四十六条　省、自治区、直辖市司法厅（局）应当加强对监狱计分考核罪犯工作的指导，每年至少听取一次监狱管理局的专题汇报。

第四十七条　省、自治区、直辖市司法厅（局）党委（党组）、监狱管理局党委和监狱党委以及监区党组织应当将计分考核罪犯工作纳入重要议事日程，加强领导和监督，纪检监察部门履行监督责任，用好监督执纪“四种形态”，依纪依法追究责任。

第四十八条　监狱应当定期向人民检察院通报计分考核罪犯制度规定及工作开展情况，邀请人民检察院派员参加计分考核罪犯工作会议，听取意见建议。

第四十九条　监狱对人民检察院在检察工作中发现计分考核罪犯工作有违法违规情形提出口头或者书面纠正意见的，应当立即调查核实。

对纠正意见无异议的，应当在5个工作日内予以纠正并将纠正结果书面通知人民检察院；对纠正意见有异议的，应当采取书面形式向人民检察院说明情况或者理由。

第五十条　监狱纪检部门应当在监狱会见室和监区设置举报信箱，及时受理罪犯及其亲属或者监护人反映的计分考核问题。

第五十一条　监狱应当根据狱务公开有关规定，向社会公众公开计分考核内容和工作程序，向罪犯亲属或者监护人公开罪犯考核情况及对结果有异议的处理方式。

监狱应当通过聘请社会监督员、召开罪犯亲属或者监护人代表会等形式，通报计分考核工作，听取意见建议，自觉接受社会监督。

监狱应当注重发挥罪犯互相教育、互相监督作用，通过个别谈话等方式，了解掌握情况，听取意见反映。

第五十二条　监狱应当按照档案管理有关规定，固定保全计分考核罪犯的各类台账资料，确保计分考核罪犯工作全程留痕，防止篡改、丢失或者损毁，做到专人专管、专档备查。

第五十三条　省、自治区、直辖市司法厅（局）、监狱管理局和监狱应当依法保障监狱人民警察在计分考核罪犯工作中的正当履职行为，对受到恶意举报、污蔑、诽谤的监狱人民警察，应当及时调查澄清，并依法追究相关人员责任；对工作实绩突出的监狱人民警察，应当及时给予表彰奖励。

第五十四条　省、自治区、直辖市司法厅（局）、监狱管理局和监狱及其工作人员在计分考核罪犯工作中有违反本规定行为的，应当视情节轻重，对相关责任人员依纪依法进行处理；构成犯罪的，依法追究刑事责任。

第七章　附　　则

第五十五条　省、自治区、直辖市司法厅（局）应当根据本规定，结合本地区情况，制定计分考核工作细则，并报司法部备案。

第五十六条　本规定所称“以上”、“以下”，包括本数；所称“不满”，不包括本数。

第五十七条　本规定自2021年10月1日起施行。司法部《关于计分考核罪犯的规定》（司发通〔2016〕68号）同时废止。

Notice of the Communist Chinese Energy Administration on Printing and Distributing the "Management Specifications for New Energy Storage Projects (Interim)"

 Guonengfa Science and Technology Regulation [2021] No. 47

The energy bureaus of all provinces (autonomous regions and municipalities directly under the Central Government), the Development and Reform Commissions of relevant provinces (autonomous regions and municipalities) and Xinjiang Production and Construction Corps, all dispatched agencies, State Grid Corporation of China, China Southern Power Grid Co., Ltd., and Inner Mongolia Electric Power (Group) Co., Ltd.:

In order to standardize the management of new energy storage projects, promote the active, stable, healthy and orderly development of new energy storage, promote the construction of new power systems with new energy as the main body, and support the realization of carbon peaking and carbon neutrality goals, we organized the compilation of "New Energy Storage". Project Management Specifications (Interim)" is hereby issued to you, please implement it carefully.

Please inform our bureau (Department of Science and Technology) of the implementation situation and suggestions in a timely manner.

Energy Board

September 24, 2021

Management Specifications for New Energy Storage Projects (Interim)

Chapter 1 General Provisions

Article 1　In order to regulate the management of new energy storage projects, promote the orderly, safe and healthy development of new energy storage, and support the construction of a new power system with new energy as the main body, in accordance with the Electricity Law of the People's Republic of China and the Administrative License of the People's Republic of China This specification is formulated in accordance with laws and regulations such as the Law, the Regulations on Electric Power Supervision, the Regulations on the Administration of the Approval and Filing of Enterprise Investment Projects, and the Guiding Opinions on Accelerating the Development of New Energy Storage.

Article 2　This specification is applicable to energy storage projects that export electricity as the main form and provide external services except pumped storage energy.

Article 3 The　management of new-type energy storage projects adheres to the principles of safety first, standardized management, active and prudent, including planning and layout, filing requirements, project construction, grid connection, dispatching operation, monitoring and supervision and other links.

Article 4 The competent energy department of 　the State Council is responsible for the planning, guidance, supervision and management of new energy storage projects nationwide; local energy competent departments, under the guidance of the energy competent department of the State Council, establish and improve the management system of new energy storage projects in their regions, and are responsible for new energy storage projects in their regions Development and supervision and management; the agency dispatched by the National Energy Administration is responsible for supervising the implementation of new energy storage policies, grid-connected scheduling, market transactions and operation management in the region.

Chapter 2 Planning and Guidance

Article 5 The　competent energy department of the State Council is responsible for formulating the national new energy storage development plan. According to the national energy development plan, power development plan, renewable energy development plan, energy technology innovation plan and other relevant documents, on the basis of demonstrating the development foundation, development needs and the economics of new energy storage technologies, actively and steadily determine the national new energy storage technology Development goals, overall layout, etc.

Article 6 The　provincial energy authorities shall, in accordance with the national new energy storage development plan, in accordance with overall planning, adapting measures to local conditions, leading by innovation, leading by demonstration, leading the market, and developing in an orderly manner, based on the principles of safety and standardized management, study the key tasks of the region and guide The development of new energy storage in the region.

Article 7 The　provincial energy authorities shall organize and carry out research on the development scale and layout of new energy storage related to the safe and efficient operation of the power system in their region, and guide the construction of new energy storage projects scientifically and rationally.

Chapter 3 Record-filing Construction

Article 8 The　local energy authorities shall implement record-filing management for new energy storage projects in their regions in accordance with relevant investment laws, regulations and supporting systems, and send a copy of the record-filing of the projects to the offices of the National Energy Administration.

Article 9　The filing contents of a new energy storage project shall include: basic information of the project unit, project name, construction site, construction scale, construction content (including technical route, application scenarios, main functions, technical standards, environmental protection and safety, etc.), total project investment Amount, the project complies with the industrial policy statement, etc.

Article 10 After the 　completion of the filing of a new energy storage project, various construction conditions shall be promptly implemented, and construction shall be started in time after completing other relevant construction procedures required by laws and regulations.

Article 11　For a new-type energy storage project that has been put on record, if the legal person of the project changes, the project construction site, scale, or content changes significantly, or the project construction is abandoned, the project unit shall promptly notify the project filing authority and revise the relevant information.

Article 12　The construction of new energy storage projects shall comply with relevant management regulations and standards and requirements, and the units undertaking project design, consultation, construction and supervision shall have the corresponding qualifications stipulated by the state.

Article 13 The　main equipment of new-type energy storage projects shall meet the requirements of relevant standards and specifications, and shall pass the testing and certification of corresponding qualified institutions, and network-related equipment shall meet the relevant technical requirements for safe operation of the power grid.

Article 14　Relevant units of new energy storage projects shall strictly perform project safety, fire protection, environmental protection and other management procedures in accordance with the requirements of relevant laws, regulations and technical specifications, and implement safety responsibilities.

Article 15 To build a 　new power battery cascade utilization energy storage project, the concept of the full life cycle must be followed, and a battery consistency management and traceability system must be established. The built and new power battery cascade utilization energy storage projects must establish an online monitoring platform to monitor battery performance parameters in real time, conduct regular maintenance and safety assessments, and make emergency plans.

Chapter 4 Grid-connected Operation

Article 16　Power grid enterprises shall, according to the new energy storage development plan, coordinate the planning and construction of supporting power grids. The supporting power grid project should be coordinated with the construction of new energy storage projects. Energy authorities at all levels are responsible for coordination.

Article 17　Grid enterprises shall provide grid access services for new energy storage projects in a fair and non-discriminatory manner. Power grid companies should establish and improve the grid connection procedures for new energy storage projects in accordance with the principles of active service, simplicity and efficiency, and provide grid connection services for new energy storage projects that have been filed.

Article 18 Before a 　new energy storage project is connected to the grid and commissioned, relevant procedures shall be completed in accordance with the relevant national regulations on quality, environment and fire protection. Power grid companies should clarify the grid-connected commissioning and acceptance procedures in accordance with relevant standards and specifications, and actively cooperate with the grid-connected commissioning and acceptance of new energy storage projects.

Article 19　Power grid enterprises shall, in accordance with the requirements of laws, regulations and technical specifications, take systematic measures to optimize the dispatching operation mechanism, give priority to the deployment in a scientific manner, ensure the utilization rate of new energy storage systems, and give full play to the role of new energy storage systems.

Article 20　New-type energy storage project units shall, in accordance with relevant standards and specifications, be equipped with necessary communication information systems, upload operating information to the power grid dispatching department according to procedures, and accept dispatching instructions.

Article 21 The　project unit shall do a good job in monitoring the operation status of new energy storage projects, monitor the operation conditions of the energy storage system in real time, and organize demonstration evaluation and evaluation in a timely manner when the project reaches the design life or the safe operation status does not meet the relevant technical requirements. Correction work. If the relevant requirements are still not met after rectification, the project unit shall take decommissioning measures in a timely manner and report to the original filing authority and other relevant units in a timely manner.

Chapter V Monitoring and Supervision

Article 22　The energy department of the State Council is responsible for building a national new energy storage management platform, realizing the information management of new energy storage projects across the country, and taking the actual construction and operation of new energy storage projects as the basis for formulating industrial policies and improving industry norms and standard systems. important basis.

Article 23　Local energy authorities, in conjunction with relevant departments, strengthen the construction of the monitoring and management system for new energy storage projects, and research and regularly announce the development scale and construction of new energy storage projects based on the filing, construction, operation, and market transactions of new energy storage projects in the region. Layout, dispatch and operation, etc., guide the scientific and rational investment and construction of new energy storage projects.

Chapter VI Supplementary Provisions

Article 24　The National Energy Administration is responsible for the interpretation of this specification.

Article 25　This specification shall be implemented from the date of promulgation.

Notice of the Communist Chinese Ministry of Finance and the Ministry of Science and Technology on Issuing the Measures for the Administration of Funds for National Key Research and Development Programs

 Caijiao [2021] No. 178

All ministries and commissions of the State Council and all institutions directly under the State Council, the finance departments (bureaus) and science and technology departments (commissions and bureaus) of all provinces, autonomous regions, municipalities directly under the Central Government, and cities under separate state planning, the Finance Bureau and Science and Technology Bureau of Xinjiang Production and Construction Corps, and relevant units:

In accordance with the relevant requirements of the Party Central Committee and the State Council on the reform of the management of scientific research funds and the "Several Opinions of the General Office of the State Council on Reforming and Improving the Management of Scientific Research Funds of the Central Government" (Guo Ban Fa [2021] No. 32), we have made a The Notice on Fund Management Measures for National Key R&D Programs (Cai Ke Jiao [2016] No. 113) has been revised. The revised "Administrative Measures for National Key Research and Development Program Funds" are hereby issued to you, please follow and implement.

Annex: Measures for the Administration of Funds for National Key R&D Programs

Ministry of Finance

Ministry of Science and Technology

September 29, 2021

Appendix

Measures for the Administration of Funds for National Key R&D Programs

Chapter 1 General Provisions

Article 1　In order to standardize the management and use of funds for national key R&D programs and improve the efficiency of fund use, according to the Notice of the General Office of the Central Committee of the Communist Party of China and the General Office of the State Council on Printing and Distributing Several Opinions on Further Improving the Management of Funds for Scientific Research Projects of the Central Government Notice of the State Council on Several Measures for Optimizing Scientific Research Management and Improving Scientific Research Performance (Guo Fa [2018] No. 25), Several Opinions of the General Office of the State Council on Reforming and Improving the Management of Central Financial Research Funds (Guo Ban Fa [2021] No. 32), etc. Documents, as well as relevant national financial regulations and financial management systems, and in light of the management characteristics of national key R&D plans, these Measures are formulated.

Article 2 The　national key research and development plan (hereinafter referred to as the key research and development plan) consists of a number of key special projects with clear goals and clear boundaries. Key special projects are set up, and projects can be set up according to their own characteristics and needs. Key special projects classes are subject to general budget management, and key special projects are subject to budget management.

Article 3 The funds of 　key R&D plans shall be invested in a diversified manner, and the sources of funds shall be divided into central financial funds and funds from other sources. Funds from other sources include local financial funds, self-raised funds by units, and funds obtained from other channels. The central financial fund support methods include pre-subsidy and post-subsidy, and the specific support methods will be clarified when compiling key special implementation plans and annual project declaration guidelines.

Article 4　These measures mainly regulate the key R&D plan funds arranged by the central government through the use of pre-subsidy methods, and the funds supported by post-subsidy methods shall be implemented in accordance with the relevant regulations on post-subsidy of the central government's science and technology plans. Local financial funds, self-raised funds by units and funds obtained from other channels shall be arranged and used in an overall manner in accordance with the relevant financial and accounting systems of the state and the specific use and management requirements of the relevant fund providers.

Among the key R&D plan projects supported by the former subsidy method, projects that implement new organizational mechanisms such as "revelation and horse racing", can adopt fund management methods such as the contract system according to the characteristics of the project.

Article 5 The　management and use of key R&D plan funds shall follow the following principles:

(1) Concentrate financial resources and highlight key points. The key R&D plan funds focus on key special R&D tasks, and focus on supporting public scientific and technological activities where the market mechanism cannot effectively allocate resources. Focus on strengthening overall planning to avoid scattered and repeated funding arrangements.

(2) Clarify powers and responsibilities, and combine delegating power with management. Government departments will no longer directly manage specific projects, and entrust professional project management institutions (hereinafter referred to as professional institutions) to carry out key special fund management; fully empower project lead units, subject undertaking units and subject participating units (hereinafter referred to as undertaking units) to manage and use scientific research project funds In terms of autonomy, the undertaking unit shall implement the legal person responsibility and improve the management service level.

(3) Follow the rules and pay attention to performance. The management and use of key research and development plan funds shall follow the laws of scientific research activities, and reflect the characteristics of key special projects and project organization and implementation. In accordance with the requirements of national financial laws and regulations, strengthen supervision during and after the event, and improve the information disclosure system. Adhere to performance orientation, strengthen classified performance evaluation and application of results, and improve the efficiency of capital use.

Article 6 The　funds for key R&D plans shall be managed and held accountable at different levels. The Ministry of Finance and the Ministry of Science and Technology are responsible for researching and formulating the fund management system for key R&D plans, and organizing the preparation and evaluation of key special budget estimates. The Ministry of Finance shall, in accordance with the fund management system, examine and approve the estimated budgets for key special projects. The Ministry of Finance, the Ministry of Science and Technology, the National Audit Office, and relevant competent departments shall, according to their responsibilities and division of labor, organize the supervision and performance evaluation of the funds for key R&D programs. Professional institutions are responsible for the management and supervision of key special funds, and are responsible for organizing the budget declaration, review, release and comprehensive performance evaluation of key special projects, and organizing and carrying out supervision of project funds. The undertaking unit is the main body responsible for the management and use of project funds, and is responsible for the daily management and supervision of project funds. The person in charge of the project is directly responsible for the use of project funds, and is responsible for the compliance, rationality, authenticity and relevance of the use of funds.

Chapter II Estimated Budget Management of Key Special Projects

Article 7　Estimates for key special projects refer to the pre-estimation of the total expenses required for the implementation of special tasks within the implementation period of special projects, and are an important basis for budget arrangements for key projects. Estimates for key special projects include the total budget and the annual budget.

Article 8　Professional institutions shall, according to the objectives and tasks of key special projects, compile and report the budget estimates for key special projects in accordance with the special implementation plan and relevant requirements, and report to the Ministry of Finance and the Ministry of Science and Technology.

Article 9　The budget estimates for key special projects shall be compiled at the same time as revenue estimates and expenditure estimates to ensure the balance of revenue and expenditure.

Estimates of key special income include the estimates of central government funds and other sources of funds.

Estimates of key special expenditures include total expenditure estimates and annual expenditure estimates. Professional institutions shall, on the basis of full demonstration and scientific and rational decomposition of key special tasks, and in accordance with the principles of task relevance, appropriate allocation and economic rationality, prepare expenditure estimates according to task levels and different R&D stages.

Article 10 The Ministry of 　Finance and the Ministry of Science and Technology shall entrust relevant agencies to evaluate the budget estimates for key special projects. According to the evaluation results, combined with possible financial resources, the Ministry of Finance will verify and approve the total budget and annual budget of the central financial funds for key special projects.

Article 11　Generally, the total budget of the central financial funds shall not be adjusted. If there is a major change in the objectives of key special tasks, etc., which leads to the need to adjust the total budget of the central financial funds, the professional institution shall, after performing the relevant tasks to adjust the examination and approval procedures, submit an application for adjustment, which shall be reviewed by the Ministry of Science and Technology and submitted to the Ministry of Finance for examination and approval according to the procedures. The total estimated budget remains unchanged. If the annual budget needs to be adjusted due to the adjustment of major tasks in key special projects during the year, an application shall be submitted by a professional institution, and after being reviewed by the Ministry of Science and Technology, it shall be submitted to the Ministry of Finance for approval according to the procedures.

Article 12　According to the approved budget estimates, and in light of the project task deployment, organization and implementation progress, and budget execution, professional institutions put forward proposals for annual key special budget arrangements, and submit them to the Ministry of Finance in accordance with departmental budget reporting procedures. Professional institutions without departmental budget reporting channels shall submit through the Ministry of Science and Technology. The sum of the budgets for each year of key special projects shall not exceed the total estimated budget. Strengthen the connection between budget arrangement and task implementation progress. On the premise that the overall budget and budget cycle remain unchanged, after the deployment of key special tasks is completed, the annual budget arrangement can be postponed for no more than two years.

Article 13 The Ministry of 　Finance shall, in light of the opinions of the Ministry of Science and Technology, issue budgets for key special central financial funds (excluding budgets for specific projects) to professional institutions in accordance with budget management requirements, and send a copy to the Ministry of Science and Technology.

Article 14 The　budgets of the central financial funds for key special projects are generally not subject to adjustment. If adjustment is necessary due to changes in estimates, etc., an application shall be submitted by a professional institution and submitted to the Ministry of Finance for approval in accordance with the procedures.

Article 15　During the implementation period of key special projects, the funds that the professional institution has not issued to the project lead unit in the current year due to the adjustment of annual tasks, etc., can be carried forward to the next year for continued use. Due to the termination of key special projects for some reason, the funds that have not been released by professional institutions shall be turned over to the central finance according to regulations.

Chapter 3 Scope of Project Fund Expenditure

Article 16　Funds for key special projects consist of direct expenses and indirect expenses.

Article 17　Direct costs refer to the costs directly related to the project implementation process. mainly includes:

(1) Equipment fee: refers to the expenses incurred in purchasing or trial-producing special instruments and equipment, upgrading existing instruments and equipment, and leasing instruments and equipment from outside units during the implementation of the project. Computational instruments and software tools can be listed in the equipment fee. The purchase of equipment should be strictly controlled, and open sharing, independent research and development, leasing of special equipment, and upgrading of existing equipment should be encouraged to avoid repeated purchases.

(2) Operational expenses: refers to the procurement, transportation, loading and unloading, sorting and other expenses of various materials, auxiliary materials and other low-value consumables consumed during the implementation of the project, as well as the expenses incurred in testing, laboratory processing, fuel power, publication/documentation, etc. /Information dissemination/Intellectual property affairs, conference/travel/international cooperation and exchange and other expenses, and other related expenses.

(3) Labor fees: refers to the labor fees paid to graduate students, postdoctoral fellows, visiting scholars, researchers employed by the project, scientific research assistants, etc. during the implementation of the project, as well as the fees paid to temporarily hired consultants, etc. .

The labor service expense standard of the personnel employed by the project shall be determined with reference to the average salary level of the employees in the local scientific research and technical service industry, and according to the work tasks they undertake in the project research.

The fees paid to the temporarily hired consultants shall not be paid to the relevant personnel involved in the research and management of this project and its subordinate projects, and its management shall be implemented in accordance with the relevant state regulations.

Article 18　Indirect expenses refer to the relevant expenses incurred by the undertaking unit in the process of organizing and implementing the project, which cannot be listed in the direct expenses. Mainly include: housing occupancy provided by the undertaking unit for project research, daily water, electricity, gas, heating, etc. consumption, subsidy expenditures related to management costs, and performance expenditures to motivate scientific researchers.

Chapter IV Project Budget Preparation and Approval

Article 19 The budget of 　key special projects consists of the revenue budget and the expenditure budget. The project budget is formed by summarizing the project budget.

(1) The revenue budget includes central financial funds and funds from other sources. For funds from other sources, the situation of each channel shall be fully considered, and the capital contribution commitment of the fund provider shall be provided, and assets other than monetary funds or other central financial funds shall not be used as the source of funds.

(2) The expenditure budget shall be compiled according to the scope of capital expenditure, and the main purpose of each expenditure and the reasons for its calculation shall be explained.

Article 20　The estimated budget for this batch of tasks may be published in the annual application guidelines for key special projects.

If the project implements two rounds of application, in the pre-application stage, the project application unit will put forward the total amount of the required capital budget; in the formal application stage, the professional organization will comprehensively consider the key special budget estimates, project task settings, pre-application situation and expert advice, etc., and organize and guide the project. The reporting unit prepares the budget.

If the project implements one round of declaration, the budget shall be organized and submitted in accordance with the requirements of the formal declaration link.

Article 21 The　project application unit shall formulate the budget scientifically, reasonably and truthfully in accordance with the principles of policy compliance, target relevance and economic rationality. The budget for equipment expenses, business expenses and labor service expenses shall be prepared according to the facts, and shall not be simply proportioned. prepared by. Focus on the purchase of instruments and equipment, the qualifications of participating units and the funds to be allocated, and state the existing implementation conditions and shared services that may be obtained from outside the unit. In the direct cost, except for the equipment cost of more than 500,000 yuan, other costs only provide basic calculation instructions, and do not need to provide details.

Article 22 Based　on the credit situation of the undertaking unit, the total amount of indirect expenses shall be controlled, and it shall be determined according to a certain proportion that does not exceed the direct expenses of the project after deducting the equipment purchase fee. The specific ratios are as follows:

(1) 30% for the portion of RMB 5 million and below;

(2) 25% of the portion exceeding RMB 5 million to RMB 10 million;

(3) 20% of the portion over RMB 10 million.

Article 23　Indirect expenses shall be arranged and used by the undertaking unit as a whole. The undertaking unit shall establish and improve internal management measures for indirect costs, use indirect costs in an open, transparent, compliant and reasonable manner, and properly handle the relationship between the allocation of indirect costs and incentives for scientific researchers. Performance expenditure arrangements should be linked to the actual contributions of researchers to project work. The undertaking unit can use all indirect costs for performance expenditures, and favor teams and individuals with outstanding innovation performance.

If there are multiple units in the project, the indirect costs will be allocated by the project undertaking unit and participating units through negotiation within the total amount. The undertaking unit shall not repeatedly withdraw or list related expenses in the project funds in any name in addition to the approved indirect expenses.

Article 24　Professional institutions combine project review and budget review, and conduct budget review simultaneously during project review, and shall not consider the level of detail in budget preparation as a factor in reviewing the budget, and shall not simply reduce the budget in proportion.

Article 25 The　budget review shall, in accordance with the normative procedures and requirements, adhere to the principles of independence, objectivity, impartiality and science, and review the policy compliance, target relevance and economic rationality of the project and project budget declaration. Review experts should meet the relevant recusal requirements.

Article 26　According to the evaluation results, professional institutions put forward suggestions on key special projects and budget arrangements.

Article 27　According to the key special budget issued by the Ministry of Finance and the review opinions of the Ministry of Science and Technology on the project arrangement proposal, the professional institution shall issue the key special project budget to the project lead unit, and sign the project task statement (including the budget) with the project lead unit.

The project task statement (including budget) is the basis for project and project budget execution, comprehensive performance evaluation and supervision and inspection. It should be based on the project declaration form, highlight performance management, clarify project assessment objectives, assessment indicators and assessment methods, and clarify the responsibilities of all parties. rights, and clarify the amount of funds of the units undertaking the project and participating units, including funds from other sources and other supporting conditions.

Article 28　Projects that implement the funding contract system do not need to prepare project budgets.

Chapter V Project Budget Execution and Adjustment

Article 29　Funds for key R&D plans shall be paid through fiscal authorization. Professional institutions shall, in accordance with the provisions of the national treasury centralized payment system, formulate a reasonable funding allocation plan according to the characteristics, research progress, and funding needs of different types of scientific research projects, and allocate the first project funds to the project lead unit within 30 days after the project task statement is signed. The proportion of the first fund allocation fully respects the opinions of the project leader, and is determined based on the annual budget of key special projects.

Article 30　The lead unit of the project shall timely allocate funds to the unit undertaking the project according to the opinions of the person in charge of the project. The project undertaking unit shall allocate funds to the project participating units in a timely manner according to the research progress. Project participating units are not allowed to transfer funds to the outside world.

When disbursing funds step by step, the project lead unit or the project undertaking unit shall not delay the disbursement of funds without any reason. For units in the above situation, professional institutions may take measures such as interviews and suspension of subsequent project funding.

Article 31　The undertaking unit shall strictly implement the relevant financial regulations and financial systems of the state, earnestly fulfill the responsibilities of a legal person in the management of scientific research project funds, correctly exercise the autonomy in the management and use of project funds, establish and improve the internal management system and reimbursement regulations for project funds, and clarify internal Manage authority and approval procedures, improve the construction of the internal control mechanism, strengthen the performance evaluation of fund use, improve the level of financial informatization, and ensure that the use of funds is safe, standardized and effective.

Article 32 The　undertaking unit shall fully implement the financial assistant system for scientific research. Each subject should have a relatively fixed scientific research financial assistant. The labor cost (including social insurance subsidy and housing provident fund) required for scientific research financial assistants can be solved by the undertaking unit through scientific research project funding and other channels according to the situation.

Scientific research financial assistants should be familiar with key R&D plan projects and fund management policies, as well as the scientific research management system and process of the undertaking unit, and provide professional services for scientific research personnel in project budget preparation and adjustment, fund reimbursement, and comprehensive project performance evaluation.

Article 33 The　undertaking unit shall include the funds of key R&D plan projects into the unified financial management of the unit, and separately account for the central financial funds and funds from other sources to ensure that the special funds are used exclusively. As promised, funds from other sources will be in place in a timely and full amount and used for this project.

Article 34 The　undertaking unit shall establish an information disclosure system, and publicly disclose the project establishment, main researchers, fund use (focus on indirect costs, external funds, surplus fund use, etc.), purchase of large-scale instruments and equipment, and project research results within the unit and other circumstances, subject to internal supervision.

Article 35 The　undertaking unit shall strictly implement the relevant state expenditure management system. Expenditures that should be settled by "official cards" shall be settled in accordance with the relevant regulations on the use of official cards for settlement of scientific research projects of the central government. For equipment, bulk materials, testing and laboratory processing, labor services, expert consultation and other expenses, in principle, it should be settled by bank transfer.

Article 36　During the implementation of the project, the undertaking unit invites domestic and foreign experts, scholars and relevant personnel to participate in the conference hosted by it due to the actual needs of scientific research activities. Reimbursement in conference fees and other expenses. For domestic travel expenses, meal subsidies, city transportation expenses and accommodation expenses for which it is difficult to obtain invoices can be implemented on a lump-sum basis. If invoices or financial bills cannot be obtained in scientific research activities such as field investigations and psychological tests, the reimbursement may be made according to the actual amount on the premise of ensuring the authenticity.

Article 37 The　following acts shall not be committed in the management and use of funds for key R&D projects:

(1) Compile and report false budgets;

(2) Failure to conduct separate accounting of the funds for key R&D plans;

(3) List expenses unrelated to the tasks of this project;

(4) Failing to implement and adjust the budget as required, or transferring funds for key R&D plans in violation of regulations;

(5) Falsely promising funds from other sources;

(6) Using false contracts, false bills, fictitious matters, falsely reporting personnel, etc., to transfer, arbitrage, and reimburse key research and development plan funds;

(7) Withholding, occupying or misappropriating funds for key R&D plans;

(8) Setting up off-book accounts, arbitrarily adjusting accounts to change expenditures, modifying accounting vouchers at will, providing false financial and accounting materials, etc.;

(9) Use project funds to list relevant expenses that should be borne by individuals and pay various fines, donations, sponsorships, investments, repay debts, etc.;

(10) Other acts that violate the national financial discipline.

Article 38 The　undertaking unit shall execute according to the assigned budget. During the research period of the project, the remaining annual funds will be carried over to the next year for continued use.

When it is really necessary to adjust the budget of the central financial funds, the relevant procedures shall be performed in accordance with the following adjustment scope and authority:

(1) Adjustment of the total project budget, the total project budget remains unchanged, the budget is adjusted between projects, and the project undertaking unit and project participating unit are changed. Approved in accordance with relevant regulations.

(2) If the total budget of the project remains unchanged and the budget is adjusted between the participating units, the project lead unit shall examine and approve it and report it to the professional institution for record; if the total budget of the project remains unchanged, and the budget for equipment costs is adjusted, the project leader or the participating units shall conduct research The person in charge of the task submits an application, and the unit where the unit belongs takes overall consideration of the existing equipment configuration and the actual needs of scientific research projects, and goes through the approval procedures in a timely manner.

(3) The adjustment of other direct expenses other than the equipment fee shall be arranged by the person in charge of the project or the person in charge of the research task of the participating unit according to the actual needs of scientific research activities. The undertaking unit shall improve the internal management system in accordance with the relevant provisions of the state.

(4) The total budget of the project indirect expenses shall not be increased. After consultation between the project undertaking unit and the person in charge of the project, it can be adjusted and reduced to direct expenses; if the total amount of project indirect expenses remains unchanged, and the transfer between project participating units, the project shall bear The unit and the participating units are negotiated and determined.

If the total amount of funds from other sources of the project remains unchanged and is transferred between different units, the project lead unit shall examine and approve the implementation on its own, and report it to the professional institution for the record.

Article 39 The　lead unit of the project shall submit the annual project implementation report (including financial implementation) after the summary and review to the professional institution before the end of November each year. The content of the report should be true and complete, and the accounts should be consistent. If the project has been implemented for less than 3 months, it can be reported together in the next year.

Article 40　For projects that implement the contracting system, the undertaking unit shall formulate internal management regulations, strengthen the management, guidance and supervision of the use of funds, and ensure the safe, standardized and effective use of funds. The person in charge of the project independently decides on the use of funds on the basis of promising to abide by the requirements of scientific research ethics and integrity, and that all funds will be used for expenditures related to the research work of this project. After the project execution period expires, the person in charge of the project shall prepare the final accounts of the project funds, which shall be reported to professional institutions after being reviewed by the undertaking unit.

Article 41　During the implementation of the project, the fixed assets formed by administrative institutions using central financial funds are state-owned assets and shall be implemented in accordance with the state's regulations on the management of state-owned assets. The fixed assets formed by enterprises using central financial funds shall be implemented in accordance with the "General Principles of Enterprise Finance" and other relevant rules and regulations.

The management of intangible assets such as intellectual property rights formed by the undertaking unit using central financial funds shall be implemented in accordance with relevant state regulations.

Large-scale scientific instruments and equipment, scientific data, natural scientific and technological resources, etc. formed using central financial funds shall be open and shared in accordance with regulations.

Article 42 When a　project or project is cancelled or terminated for any reason, the project lead unit or project undertaking unit shall clean up the accounts and assets in a timely manner, prepare financial reports and asset lists, and submit them to professional institutions. The professional organization organizes the inventory and processing, confirms and recovers the surplus funds, and makes overall plans for the follow-up expenditures of key R&D plans. Income from disposal of purchased materials, materials and equipment shall be implemented in accordance with relevant state regulations.

Chapter VI Project Comprehensive Performance Evaluation

Article 43 After the 　project execution period expires, the project lead unit shall promptly organize the project undertaking unit to clean up the accounts and assets, and truthfully prepare the project fund final accounts.

Article 44　A professional institution shall conduct a one-time comprehensive performance evaluation at the end of the project implementation period in strict accordance with the project assignment statement (including the budget).

Article 45 After the 　project implementation period expires, the project undertaking unit shall hire an accounting firm to carry out the project conclusion financial audit. The final financial audit report is an important basis for the comprehensive performance evaluation of the project.

After the undertaking unit with outstanding innovation ability and potential, outstanding innovation performance, and good scientific research integrity is identified according to the procedures, it can no longer carry out the final financial audit, and the project fund final account statement issued by it will be used as the basis for the comprehensive performance evaluation of the project. The undertaking unit shall be responsible for the authenticity, completeness and accuracy of the contents of the final account statement, and professional institutions shall organize random inspections in a timely manner.

Article 46 After the 　project lead unit organizes the project undertaking unit to complete the preparation of the project comprehensive performance evaluation materials, it will apply to the professional institution.

Article 47　Professional institutions shall organize comprehensive performance evaluation of projects in accordance with relevant regulations, verify the balance of central financial funds for each subject, and form comprehensive project performance evaluation conclusions. Among them, if the use of funds has serious violations of laws and regulations, it will be dealt with canceling the project evaluation qualification, withdrawing the project or project funds, and failing to pass the comprehensive performance evaluation of the project.

Article 48 The　project undertaking unit shall go through the financial settlement procedures in a timely manner within one month after the completion of the comprehensive performance evaluation of the project.

If the project completes the task objectives and passes the comprehensive performance evaluation of the project, the surplus funds will be retained for the use of the undertaking unit, and will be used for the direct expenditure of scientific research activities as a whole. The undertaking unit should give priority to the scientific research needs of the original project team, strengthen the management of surplus funds, improve the mechanism for revitalizing surplus funds, and speed up the progress of the use of funds.

If the project fails to complete the task objectives, or the project fails to pass the comprehensive performance evaluation, the remaining funds will be recovered by professional institutions and used as a whole for the follow-up expenditures of key R&D plans.

Chapter VII Supervision and Inspection

Article 49 The Ministry of 　Finance, the Ministry of Science and Technology, the National Audit Office, relevant competent departments, professional institutions and undertaking units shall, according to their responsibilities and division of labor, establish a fund supervision mechanism covering the entire process of fund management and use. Strengthen the coordination of audit supervision, financial and accounting supervision and daily supervision, strengthen the synergy of supervision, strengthen information sharing, and avoid overlapping and duplication.

Article 50　The Ministry of Science and Technology and the Ministry of Finance shall supervise the annual plans and implementation plans according to the funds of key R&D plans, and make full use of big data and other information technology means to carry out supervision through random inspections, reporting and verification, etc.; The standardization and effectiveness of the management of key special funds, the responsibility and internal control of the entity's legal person, the timeliness of project fund allocation, and the standardization, safety and effectiveness of project fund management and use are subject to spot checks.

Article 51 The　relevant competent departments shall urge the subordinate units to strengthen the construction of the internal control system and supervision and restriction mechanism, implement the responsibilities for the management of funds for key special projects, and cooperate with the Ministry of Finance and the Ministry of Science and Technology to carry out supervision, inspection and rectification work.

Article 52　Professional institutions shall organize and carry out supervision over the management and use of project funds; for projects with an implementation period of less than three years, self-management by the undertaking unit shall be the main priority, and process supervision shall generally not be carried out. For the undertaking units that have found more problems during the supervision, take warning, guidance and training to strengthen the prior risk warning and prevention and control of the undertaking units. Professional institutions shall summarize the management and supervision of key special funds for the year at the end of each year, and include them in the annual implementation report to the Ministry of Science and Technology.

Article 53 The　undertaking unit shall, in accordance with these Measures and relevant national financial regulations and financial management regulations, improve the supervision and restriction mechanism, dynamically supervise the use of funds and provide real-time early warning and reminders, strengthen the construction of supporting service conditions, improve the service level for scientific researchers, and establish The normalized self-examination and self-correction mechanism ensures the safety of project funds.

The leading unit of the project shall strengthen the guidance and supervision of the unit undertaking the project, and actively cooperate with the supervision and inspection of relevant departments and institutions.

Article 54 In the event 　that the undertaking unit, project leader, project leader, etc. have the circumstances related to Article 37, the Ministry of Science and Technology, the Ministry of Finance, and professional institutions shall, in accordance with relevant regulations, order rectification, interview, circulate criticism, Measures such as suspending project funding, terminating project implementation, recovering project balance funds, recovering allocated funds, phased or permanent restrictions on project applicants' qualifications for project application, and making relevant results public. If a crime is suspected, it shall be transferred to the relevant authorities for handling.

If important doubts and clues are found in the process of supervision, inspection and acceptance and need in-depth verification, the Ministry of Science and Technology and the Ministry of Finance may transfer them to the competent departments of the relevant units. The competent department shall conduct inspections in a timely manner in accordance with relevant regulations and requirements, and feed back the inspection results and handling opinions to the Ministry of Science and Technology and the Ministry of Finance.

Article 55　Subjects who have been formally dealt with as stipulated in Article 54 of these Measures, those responsible for violating regulations or laws and causing serious consequences or adverse effects shall be included in the management of credit records. Connect with other social credit systems and implement joint punishment.

Article 56 The　fund management of key R&D plans shall implement a system of retrospective investigation and accountability. The Ministry of Finance, the Ministry of Science and Technology and their relevant staff are in the review and release of key special budget estimates, professional institutions and their relevant staff are in the process of fund allocation for key special projects, and accounting firms, consulting and evaluation experts, etc. are in the final audit and evaluation. Those who violate the regulations by arranging funds or other violations of laws and regulations, such as abuse of power, neglect of duty, and favoritism, shall be ordered to make corrections in accordance with the law, and the responsible leaders and directly responsible personnel shall be punished in accordance with the law; if a crime is suspected, it shall be transferred to the relevant organs for handling according to law.

Article 57 The Ministry of 　Science and Technology and the Ministry of Finance shall, in accordance with the relevant provisions on credit management, record and evaluate the credit of professional institutions, undertaking units, project (project) leaders, accounting firms, consulting and evaluation experts, etc. that participate in the management and use of funds. And strengthen the application of credit results.

Chapter VIII Supplementary Provisions

Article 58　The key special projects whose management requirements are otherwise stipulated shall be implemented in accordance with the relevant regulations. The Ministry of Finance and the Ministry of Science and Technology are responsible for the interpretation of these Measures.

Article 59　These Measures shall come into force on the date of promulgation.