1. General Rules
Article 1 In order to regulate the use and management of National Natural Science Funds, advance the efficiency in the use of National Natural Science Funds, promote the basic research, cultivate science and technology talent, and intensify the independent innovation ability, these Regulations are formulated in accordance with the Law of the People's Republic of China on Scientific and Technological Progress.
Article 2 The state establishes the National Natural Science Funds in order to subsidize the basic research as prescribed in the Law of the People's Republic of China on Scientific and Technological Progress.
Article 3 The National Natural Science Funds are mainly funded by the allocations of the central treasury, and any donation from natural persons, legal persons and other organizations is encouraged by the state.
The central treasury will incorporate the national natural science funds into the budget thereof.
Article 4 The grants made by the National Natural Science Funds shall comply with the principles of openness, justice and impartiality, as well as the guidelines of respecting science, developing democracy, advocating competition, improving cooperation, prompting innovations and guiding the future.
Article 5 When deciding the projects to be subsidized by National Natural Science Funds (hereinafter referred to as funded projects), the professionals shall be brought into full play, and the mechanism of macro-guidance, independent application, equal competition, evaluation by the experts working in the same field and selecting the best for support shall be adopted.
Article 6 The natural science fund management organ of the State Council (hereinafter referred to as fund management organ) shall have the responsibilities of managing the National Natural Science Funds and supervising the implementation of funded projects.
The competent authority of science and technology of the State Council shall have the responsibilities of the macro-administration and overall coordination of the work concerning National Natural Science Funds. The competent authority of finance of the State Council shall administrate and surveil the budget and finance of National Natural Science Funds. And the audit department shall surveil the use and management of National Natural Science Funds.
2. Organization and Planning
Article 7 A fund development plan and the annual directory of funded projects shall be formulated by the fund management organ in light of the plan for national economic and social development, the plan for scientific and technological development as well as the circumstance of scientific and technological development. The fund development plan shall detail the fields to be developed with precedence, and the annual directory of funded projects shall indicate the scope of projects to be supported with precedence. Exclusive funds shall be set up under National Natural Science Funds for cultivating young science and technology talent.
The formulation of a fund development plan and the annual directory of funded projects by the fund management organ shall widely heed the opinions from the higher education institutions, scientific research institutions, academic groups, as well as related state organs and enterprises, and organize related experts for scientific demonstrations. The annual directory of funded projects shall be announced 30 days before the receipt of the applications for funded projects.
Article 8 The higher education institutions, scientific research institutions or any other public welfare institution that has the independent legal person qualification and develops basic research within the territory of the People's Republic of China may make registration at the fund management organ as supporting institutions.
Where a supporting institution that has existed before the implementation of these Regulations requires to be registered as a supporting institution, the registration shall be made by the fund management organ.
The fund management organ shall make public the names of registered supporting institutions.
Article 9 In the management work of fund granting, a supporting institution shall perform the duties as follows:
(1) It shall organize applicants to apply for the subsidies of National Natural Science Funds;
(2) It shall examine the authenticity of the materials as submitted by applicants or project principals;
(3) It shall provide the conditions for implementing the funded projects, and safeguard the time for project principals and participants to carry out funded projects;
(4) It shall follow up the implementation of funded projects, and surveil the use of fund subsidies;
(5) It shall cooperate with the fund management organ in surveiling and examining the implementation of funded projects.
The fund management organ shall guide and surveil the management work of supporting institutions related to the granting of funds.
3. Application and Evaluation
Article 10 Any science and technology talent in a supporting institution that satisfies the following requirements may apply for the National Natural Science Funds:
(1) He has the experiences of assuming the basic research topic or other basic research;
(2) He has a senior academic rank (title) or a doctoral degree, or has a recommendation from two science and technology persons who are working in the same research field and have a senior academic rank (title).
Where a science and technology personnel that engages in basic research and satisfies the requirements as prescribed in the preceding paragraph has no job or works for an entity that is not a supporting institution, if he has obtained the consent of a supporting institution registered at the fund management organ after negotiations, he may apply for the National Natural Science Funds under these Regulations. The supporting institution shall deem him as a science and technology personnel of its own, and perform effective management to him in accordance with these Regulations.
An applicant shall be the person in charge of an application for funded projects.
Article 11 An applicant that applies for the National Natural Science Funds shall determine the research project upon the annual directory of funded projects, and submit an application in written form to the fund management organ through the supporting institution within the time limit as prescribed.
An applicant that applies for the National Natural Science Funds shall submit the materials that may prove he has satisfied the requirements as prescribed in Article 10 of these Regulations; in case of any special requirement in the annual directory of funded projects, the applicant shall also submit the certification materials that prove he has satisfied the said requirements.
Where an applicant has obtained other subsidies for the project research for which he is applying for the fund subsidies, the information on the said subsidies shall be explained in the application materials. An applicant shall have the responsibilities of the authenticity of the application materials he submits.
Article 12 The fund management organ shall complete the preliminary examination of application materials within 45 days as of the expiration of the term for applying for funded projects. As regards an application that complies with these Regulations the fund management organ shall accept it, and shall publicize the basic information on the applicant, the name of the supporting institution as well as the name of the project for which the application for funded projects has been filed. In case of any of the following circumstances occurs to an application, the fund management organ may not accept it, and shall inform the applicant through the supporting institution in written form, and shall explain the reasons:
(1) The applicant fails to satisfy the requirements as prescribed in these Regulations;
(2) The application materials fail to comply with the requirements as mentioned in the annual directory of funded projects;
(3) The number of funded projects as applied for by the applicants is in excess of that as prescribed by the fund management organ.
Article 13 The fund management organ shall employ the experts that have a fairly high academic level and good professional ethics in the same field to evaluate the applications for funded projects. The fund management organ shall formulate the specific measures for employing evaluation experts.
Article 14 As regards the applications for funded projects that have been accepted, the fund management organ shall randomly choose three or more experts from the database of experts working in the same field for a communication-based evaluation, and then organize the experts for a meeting-based evaluation; and with respect to the applications for funded projects that are temporarily brought forward because of specific demands of national economic and social development or other specific circumstances, the fund management organ may carry out only a communication-based evaluation or a meeting-based evaluation.
An evaluation expert that finds it difficult to render an academic judgment or is too busy to make an evaluation for the applications for funded projects shall timely inform the fund management organ, and the fund management organ shall choose another evaluation expert for evaluation as required by these Regulations.
Article 15 With respect to an application for funded projects, an evaluation expert shall render an independent judgment and evaluation in terms of scientific value, innovation, social influences as well as the feasibility of research schemes, and bring forward the evaluation opinions thereof.
When giving the evaluation opinions about the applications for funded projects, an evaluation expert shall also consider the research experiences of the applicants and participants, the rationality of the plan for using the funds, the information on other grants for the research topics, the information on the implementation of the funded projects by the applicants as well as the necessity for continuous subsidies.
The evaluation opinions as brought forward through the meeting-based evaluation shall be determined by voting.
Article 16 As regards an application for a funded project on which most of evaluation experts in the communication-based evaluation believe that the fund may not be granted but this project involves many innovations, a meeting-based evaluation may be performed if two evaluation experts that participate in the meeting-based evaluation have signed recommendation for it, unless it is an application for a funded project that is temporarily submitted because of special demands or circumstances as prescribed in Article 14 of these Regulations.
The fund management organ shall publicize the recommendation opinions that are brought forward by evaluation experts.
Article 17 The fund management organ shall determine the research projects to be funded in accordance with these Regulations and the evaluation opinions brought forward by experts, and may not deny the evaluation opinions brought forward by experts on the ground that it has different academic viewpoints from those of evaluation experts.
Where the fund management organ determines to grant a fund, it shall timely inform the applicant and the supporting institution in written form, and publicize the basic information on the applicant, the name of the supporting institution, the name of the project for which an application for funded projects has been submitted, and the amount of the fund to be granted; in case it determines not to grant a fund, it shall timely inform the applicant and the supporting institution in written form, and explain the reasons.
The fund management organ shall sort out the evaluation opinions of experts and provide them for the applicant.
Article 18 Where an applicant does not satisfy with the decision on refusal to accept his application or to fund his project as made by the fund management organ, he may submit a request for reexamination to the fund management organ in written form within 15 days upon receipt of the circular. The different opinions on the academic judgment of evaluation experts as held by an applicant may not be deemed as the reasons for requesting the reexamination.
The fund management organ shall complete the reexamination within 60 days as of receipt of a reexamination request as submitted by an applicant. Where the fund management organ deems that the former decision complies with these Regulations, it shall maintain the former decision and inform the applicant in written form. Where the fund management organ deems that the former decision does not comply with these Regulations, it shall annul the former decision, organize evaluation experts to evaluate the application for the funded project as submitted by the applicant again, make a decision, and inform the applicant and the supporting institution of the result in written form.
Article 19 In the evaluation of funded projects, a personnel of the fund management organ or an evaluation expert shall apply for withdrawal in case of any circumstance as follows:
(1) The personnel of the fund management organ or the evaluation expert is a close family member of the applicant or participant or has any other relation which may affect the fair evaluation;
(2) The funded project as submitted by an evaluation expert himself is the same as or similar to the one as submitted by the applicant;
(3) The evaluation expert and the applicant or participant work for the same legal person entity.
The fund management organ shall, according to the application, make a decision on whether to withdraw or not upon examination, or may directly make such a decision without an application.
An applicant for funded projects may provide a name list of three or less evaluation experts that are not suitable for evaluation, and the fund management organ shall consider the said name list upon the actual circumstance when selecting evaluation experts.
Article 20 Any personnel of the fund management organ may neither apply for or participate in the application for the National Natural Science Funds, nor may he interfere in the evaluation of evaluation experts.
Any personnel of the fund management organ or evaluation expert may neither reveal the basic information with respect to evaluation experts, evaluation opinions, evaluation results or other information on the evaluation that has not been revealed.
4. Grant of Funds and Implementation
Article 21 A supporting institution and a project principal shall fill in a project plan in light of the evaluation opinions of evaluation experts and the amount of fund as determined by the fund management organ within 20 days as of the receipt of a circular on the grant of fund as issued by the fund management organ, and submit it to the fund management organ for examination and approval.
When filling in a project plan, a supporting institution and a project principal may not alter other contents in the application form except that they do so under the evaluation opinions of evaluation experts or the amount of fund as determined by the fund management organ.
Article 22 As regards the research projects to be funded in this year, the fund management organ shall apply to the competent authority of finance of the State Council for budgetary allotments to funded projects in a timely manner in accordance with the Budget Law of the People's Republic of China and other related provisions of the state, except for those funded projects that are temporarily brought forward because of the specific demands or other specific circumstances as prescribed in Article 14 of these Regulations.
A supporting institution shall inform the fund management organ and the project principal thereof within seven days as of the receipt of fund.
A project principal shall use the funds as required in the project plan, and a supporting institution shall surveil the project principal's use of the funds. No project principal or supporting institution may steal or misappropriate the funds by any means. The specific measures for the use and management of funds subsidies shall be formulated by the competent authority of finance of the State Council together with the fund management organ.
Article 23 A project principal shall organize and implement the research work in light of the project scheme, make original records on the implementation of the funded project, and submit an annual progress report concerning the project to the fund management organ.
A supporting institution shall inspect the annual progress reports concerning the funded projects, check the original records on the implementation of the funded projects, and file the annual reports concerning the management on funded projects to the fund management organ.
The fund management organ shall inspect the annual progress reports on the projects and the annual reports concerning the management on funded projects.
Article 24 The supporting institution may not change the project principal without approval while a funded project is being implemented.
In case of any of the following circumstances occurs to a project principal, the supporting institution shall submit an application for altering this project principal or terminating the implementation of the funded project in a timely manner, and report it to the fund management organ for approval; and the fund management organ may directly make a decision concerning terminating the implementation of the funded project:
(1) He is no more a science and technology personnel of the supporting institution;
(2) He cannot continue to implement the research work;
(3) He steals the scientific research achievements of someone else or resorts to fraud in scientific research.
Where a project principal shifts his post to another supporting institution, the former supporting institution may submit an application for altering the supporting institution to the fund management organ for approval upon negotiations between the new supporting institution and the former supporting institution. If it fails to reach agreement between the new supporting institution and the former supporting institution upon negotiations, the fund management organ shall make a decision on terminating the implementation of the funded project under the charge of the said project principal.
Article 25 Where it is necessary to make some major adjustments to the research contents or research plans during the process of implementation of a funded project, the project principal shall timely submit an application, and apply to the fund management organ for approval upon examination of the supporting institution.
Article 26 A project principal shall submit a concluding report to the fund management organ through the supporting institution within 60 days as of the expiration of the funded project; and as regards a funded project that obtains the research achievements, a research achievement report shall be submitted at the same time.
A supporting institution shall verify the concluding report and establish the archives on funded projects. When examining a concluding report, a supporting institution shall check the original records on the implementation of the funded project.
Article 27 The fund management organ shall examine the concluding reports in a timely manner. As regards a concluding report that fails to satisfy the requirements to conclude the topics, the fund management organ shall give its opinions and notify them to the supporting institution and the project principal in written form.
The fund management organ shall announce the abstracts of the concluding reports, research achievement reports and applications for funded projects, and solicit the comments and opinions of the general public.
Article 28 Where any funded project obtains the research achievements, it shall indicate that it is funded by the National Natural Science Funds when it is publicized.
5. Supervision and Administration
Article 29 The fund management organ shall take a sample survey on the implementation of the funded projects and the performance of duties by the supporting institutions, and shall check the original records on the implementation of the funded projects at the time of survey. The results of sample survey shall be recorded and publicized, and can be consulted by the general public.
The fund management organ shall set up archives on the credits of project principals and supporting institutions.
Article 30 The fund management organ shall regularly assess the performance of appraising duties by evaluation experts, and set up archives on the credits of evaluation experts according to the evaluation results; and it may not employ those who have stolen scientific research achievements of others or resorted to fraud in scientific research.
Article 31 At the end of each accounting year, the fund management organ shall publish the funded projects, the allotment of funds and the punishments to those acts against these Regulations, etc. in this year.
The fund management organ shall assess the work on the grant of funds at regular intervals, publish the evaluation reports, and regard the evaluation reports as the evidence for formulating the fund development plan and the annual directory of funded projects.
Article 32 The applicant may show his opinions to the fund management organ concerning the evaluation work of evaluation experts after the evaluation experts have brought forward theirevaluation opinions on an application for a funded project as submitted by an applicant; and the fund management organ shall consider the opinions of this applicant when evaluating the performance of appraising duties by evaluation experts.
Any entity or individual may tip off or accuse any act in violation of these Regulations as committed by the fund management organ or any of the personnel thereof, any evaluation expert, supporting institution, person in charge of the management of funded projects, applicant or project principal.
The fund management organ shall publicize its contact phone number, address and e-mail address.
Article 33 The related information as publicized by the fund management organ as prescribed by these Regulations shall be identical with the confidentiality provisions of the state.
6. Legal Liabilities
Article 34 Where an applicant or participant forges or changes any application materials, he shall be given a warning by the fund management organ; and if the application for fund thereof has been determined to be granted, the original decision on fund granting shall be annulled, and the allotted funds shall be recovered; in case of any serious circumstance, the applicant or participant may not apply for the National Natural Science Funds or be concerned with the application for the Funds for three up to five years, nor may he be promoted to a higher academic technical rank (title).
Article 35 In case of any of the following acts in violation of these Regulations as committed by a project principal or participant, a warning shall be given, the allotment of funds subsides shall be suspended, and he shall be ordered to make correction within a time limit; if he fails to make correction within the time limit, the original decision on fund granting shall be annulled, and the allotted funds shall be revoked; in case of any serious circumstance, the applicant or participant may not apply for the National Natural Science Funds or participate in the application for the funds for five up to seven years:
(1) He fails to perform research in light of the project plan;
(2) He alters the research contents or plans without approval;
(3) He fails to submit an annual progress report, concluding report or research achievement report on the project in accordance with these Regulations;
(4) He submits any false or invented report, original records or related materials; or
(5) He occupies or misappropriates the funds.
The project principal or participant that commits any act referred to in Subparagraph (4) or (5) of the preceding paragraph may not be promoted to a higher academic rank (title) for five up to seven years under any serious circumstance.
Article 36 In case of any following circumstance occurs to a supporting institution, the fund management organ shall give it a warning and order it to make correction within a time limit; in case of any serious circumstance, a circular of criticism shall be publicized and the said institution may not be taken as the supporting institution for three up to five years:
(1) It fails to perform the duty of guaranteeing the research conditions for the funded project;
(2) It fails to examine the authenticity of the materials or reports as submitted by applicants or project principals;
(3) It fails to submit an annual progress report, concluding report or research achievement report on the projects in accordance with these Regulations;
(4) It connives and covers up for any applicant or project principal in their fraudulent activities;
(5) It changes the project principals without approval;
(6) It refuses to cooperate with the fund management organ to surveil and inspect the implementation of the funded projects; or
(7) It retains or misappropriates any of the funds.
Article 37 In case of any of the following acts committed by an evaluation expert, the fund management organ shall give him a warning and order him to make correction within a time limit; in case of any serious circumstance, a circular of criticism shall be publicized and the fund management organ may not employ him as an evaluation expert:
(1) He fails to perform the appraising duties as prescribed by the fund management organ;
(2) He fails to apply for withdrawal in accordance with these Regulations;
(3) He reveals the information on the evaluation that has not been publicized;
(4) He makes unfair evaluation of the applications for funded projects; or
(5) He seeks unjustifiable interests by taking advantage of such work.
Article 38 In case of any of the following acts committed by a personnel of the fund management organ, he shall be punished:
(1) He fails to apply for withdrawal in accordance with these Regulations;
(2) He reveals the information on the evaluation that has not been publicized;
(3) He interferes the evaluation work of evaluation experts; or
(4) He seeks unjustifiable interests by taking advantage of such work.
Article 39 In case of any of the following acts in violation of these Regulations committed by any entity or individual, and if a crime is constituted, it or he shall be subject to criminal liabilities:
(1) He embezzles or misappropriates any of the funds;
(2) Any personnel of the fund management organ or an evaluation expert exacts or illegally accepts the properties of others or seeks for other unjustifiable interests when performing the duty as prescribed in these Regulations;
(3) An applicant, a project principal or participant forges or changes the official documents, certificates or seals of state organs;
(4) An applicant, a project principal or participant, a supporting institution or any of its staff members in charge of the management of funded projects provides any property or money to any personnel of the fund management organ in order to seek for unjustifiable interests, or
(5) He divulges state secrets.
Where an applicant, a project principal or participant has been subjected to criminal liabilities due to his commitment of any act as prescribed in the preceding paragraph, he may not apply for or participate in the application for the National Natural Science Funds for life.
Article 40 Anyone that is in violation of the related laws or administrative regulations on finance shall be punished and sanctioned in accordance with related laws or administrative regulations.
7. Supplementary Rules
Article 41 As regards the research projects that the subsides have been granted upon decision before the implementation of these Regulations, it shall be implemented in accordance with the related provisions of the state that were in force when the decision was made.
Article 42 As regards the work on the grant of funds related to the use and management of the organization and implementation fees for projects or the subsidies for academic exchanges on basic research and for basic research environment construction, the fund management organ shall implement the related provisions of the competent authority of finance of the State Council.
Article 43 These Regulations shall enter into force as of April 1, 2007.