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TABLE OF CONTENTS CHAPTER I GENERAL PROVISIONS CHAPTER II ORGANIZATION AND PLANNING CHAPTER III APPLICATION AND APPRAISAL CHAPTER IV GRANT OF FUNDS AND IMPLEMENTATION CHAPTER V SUPERVISION AND ADMINISTRATION CHAPTER VI LEGAL LIABILITIES CHAPTER VII SUPPLEMENTARY PROVISIONS CHAPTER I GENERAL PROVISIONS Article 1. This Regulation is formulated according to the Law of the People's Republic of China on Scientific and Technological Progress for the purpose of regulating the use and management of National Natural Science Funds, enhancing the efficiency in the use of National Natural Science Funds, promoting the basic research, cultivating science and technology talents, and strengthening the independent innovation ability. Article 2. The National Natural Science Funds established by the state are used to subsidize the basic research prescribed in the Law of the People's Republic of China on Scientific and Technological Progress. Article 3. The National Natural Science Foundation is mainly funded by the allotments of the central treasury, and the state encourages natural persons, legal persons and other organizations to make endowments to the National Natural Science Foundation. The central treasury will incorporate the national natural science funds into its budget. Article 4. The grants made by the National Natural Science Foundation shall conform to the principles of openness, fairness and equity, as well as the guidelines of respecting science, carrying democracy forward, advocating competition, boosting cooperation, prompting innovations and guiding the future. Article 5. To determine the projects to be subsidized by National Natural Science Funds (hereinafter referred to funded projects), the role of experts shall be brought into full play, and the mechanism of macro guidance, automatic 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 agency of the State Council (hereinafter referred to fund management agency) shall be responsible for managing the National Natural Science Funds and supervising the implementation of funded projects. The science and technology administrative department of the State Council shall be responsible for the macro administration and overall coordination of the work relating to National Natural Science Funds. The finance administrative department of the State Council shall be responsible for administrating and supervising the budget and finance of National Natural Science Funds. And the audit organ shall supervise the use and management of National Natural Science Funds. CHAPTER II ORGANIZATION AND PLANNING Article 7. The fund management agency shall formulate a fund development plan and the annual directory of funded projects according to the plan for national economy and social development, the plan for scientific and technological development and the situation of scientific and technological development. The fund development plan shall specify the fields to be developed with priority, and the annual directory of funded projects shall specify the scope of projects to be supported with priority. Special funds shall be established under National Natural Science Funds for the cultivation of young science and technology talents. To formulate a fund development plan and the annual directory of funded projects, the Funds management agency shall extensively heed the opinions of the institutions of higher learning, scientific research institutions, academic groups, relevant state organs and enterprises, and organize relevant experts for scientific demonstrations. The annual directory of funded projects shall be publicized 30 days before the day when the applications for funded projects begin to be accepted. Article 8. The institutions of higher learning, scientific research institutions and other public welfare institutions that have the independent legal person qualification and carry out basic research within the territory of the People's Republic of China may be registered at the fund management agency as supporting institutions. In case a supporting institution existed before the implementation of this Regulation requires to be registered as a supporting institution, the fund management agency shall make the registration. The fund management agency shall publicize the names of registered supporting institutions. Article 9. A supporting institution shall perform the following duties in the management work of fund granting: (1) Organizing applicants to apply for the subsides of National Natural Science Funds; (2) Examining the authenticity of the materials submitted by applicants or project principals; (3) Providing the conditions for implementing the funded projects, and safeguarding the time for project principals and participants to implement funded projects; (4) Following up the implementation of funded projects, and supervising the use of Fund subsides; and (5) Cooperating with the fund management agency in supervising and checking the implementation of funded projects. The fund management agency shall guide and supervise the management work of supporting institutions on the granting of funds. CHAPTER III APPLICATION AND APPRAISAL Article 10. Any science and technology talent in a supporting institution who meets the following requirements may apply for the National Natural Science Funds: (1) Having the experiences of undertaking the basic research topic or other basic research; and (2) Having a senior academic rank (title) or a doctoral degree, or being recommended by two science and technology persons who are working in the same research field and have a senior academic rank (title). A science and technology person for basic research that meets the requirements prescribed in the preceding paragraph, has job or works for an employer that is not a supporting institution may apply for the National Natural Science Funds according to this Regulation if he has obtained the consent of a supporting institution registered at the fund management agency after negotiations. The supporting institution shall regard him as a science and technology person of its own, and conduct effective management to him according to this Regulation. An applicant shall be the person in-charge of an application for funded projects. Article 11. To apply for the National Natural Science Funds, an applicant shall determine the research project on the basis of the annual directory of funded projects, and file a written application to the fund management agency via the supporting institution within the prescribed time limit. To apply for the National Natural Science Funds, an applicant shall submit the materials proving that he has met the requirements prescribed in Article 10 of this Regulation; where there are special requirements in the annual directory of funded projects, the applicant shall also submit the certification materials proving that he has met the said requirements. In case an applicant has obtained other subsides for the project research for which he is applying for the Funds subsides, he shall explain such subsidies in the application materials. An applicant shall be responsible for the authenticity of the application materials he submits. Article 12. The fund management agency shall, within 45 days upon expiration of the term for applying for funded projects, complete the preliminary examination of application materials. In case an application conforms to this Regulation, it shall be accepted, and the basic information about 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 shall be publicized. In case an application is under any of the following circumstances, it shall not be accepted, and the applicant shall be notified via the supporting institution in written form, and the reasons shall be explained: (1) The applicant does not meet the requirements prescribed in this Regulation; (2) The application materials do not conform to the requirements mentioned in the annual directory of funded projects; or (3) The number of funded projects applied for by the applicants is more than that prescribed by the fund management agency. Article 13. The fund management agency shall hire the experts working in the same field who have a fairly high academic level and good professional ethics to appraise the applications for funded projects. The specific measures for hiring appraisal experts shall be formulated by the fund management agency. Article 14. With respect to the applications for funded projects that have been accepted, the fund management agency shall randomly choose three or more experts from the database of experts working in the same field for a communication-based appraisal, and then organize the experts for a meeting-based appraisal, and only a communication-based appraisal or meeting-based appraisal needs to be conducted for those applications for funded projects that are temporarily put forward due to specific demands of national economy and social development or other specific circumstances. In case an appraisal expert finds it difficult to make an academic judgment or is too busy to make an appraisal for the applications for funded projects, he shall notify the fund management agency in a timely manner, and the fund management agency shall choose another appraisal expert for appraisal according to this Regulation. Article 15. An appraisal expert shall make an independent judgment and appraisal of the applications for funded projects from the aspects of scientific value, innovation, social influences and the feasibility of research schemes, and put forward his appraisal opinions. An appraisal expert shall, when giving his appraisal opinions about the applications for funded projects, also take into account the research experiences of the applicants and participants, the rationality of the plan for using the funds, the conditions about other grants for research topics, the conditions about the implementation of the funded projects by the applicants as well as the necessity for continuous subsidies. The appraisal opinions put forward through the meeting-based appraisal shall be decided by voting. Article 16. With respect to an application for a funded project on which most of appraisal experts in the communication-based appraisal believe that the no fund should be granted but the said project contains many innovations, and upon the signed recommendation of two appraisal experts who have participated in the meeting-based appraisal, a meeting-based appraisal may be conducted, unless it is an application for a Funded project that is temporarily filed due to special demands or circumstances prescribed by Article 14 of this Regulation. The fund management agency shall publicize the recommendation opinions put forward by appraisal experts. Article 17. The fund management agency shall decide the research projects to be funded according to this Regulation and the appraisal opinions put forward by experts, and shall not deny the appraisal opinions put forward by experts under the pretext that it has different academic viewpoints with appraisal experts. In case the fund management agency decides to grant a fund, it shall timely notify it to the applicant and the supporting institution in written form, and publicize the basic information about the applicant, the name of the supporting institution, the name of the project for which an application for funded projects has been filed, and the amount of the fund to be granted, and if it decides not to grant a fund, it shall timely notify the applicant and the supporting institution in written form, and explain the reasons. The fund management agency shall sort out the appraisal opinions of experts and provide them to the applicant. Article 18. In case an applicant does not accept the decision on refusal to accept his application or to fund his project made by the fund management agency, he may, within 15 days upon receipt of the notice, file a written request for reexamination to the fund management agency. The different opinions about the academic judgment of appraisal experts held by an applicant shall not be taken as the reasons for requesting the reexamination. The fund management agency shall complete the reexamination within 60 days upon receipt of a reexamination request filed by an applicant. In case the fund management agency believes that the former decision conforms to this Regulation, it shall maintain the former decision and notify the applicant in written form. In case the fund management agency believes that the former decision does not conform to this Regulation, it shall cancel the former decision, organize appraisal experts to appraise the application for the funded project filed by the applicant again, make a decision, and circulate the result to the applicant and the supporting institution in written form. Article 19. In the appraisal of funded projects, a functionary of the fund management agency or an appraisal expert shall apply for withdrawal in the case of any following circumstance: (1) The functionary of the fund management agency or the appraisal expert is a close relative of or has any other relation with the applicant or participant, and which may affect the fair appraisal; (2) The funded project filed by an appraisal expert himself is identical or close to the one filed by the applicant; or (3) The appraisal expert and the applicant or participant work for a same legal person entity. The fund management agency shall make a decision requested about the withdrawal upon examination, or may directly make such a decision without being so requested. An applicant for funded projects may provide a name list of three or less appraisal experts who are not suitable for appraisal, and the fund management agency shall, when selecting appraisal experts, take the said name list into account in light of the actuality. Article 20. No functionary of the fund management agency may apply for or participate in the application for the National Natural Science Funds, nor may he intervene in the appraisal of appraisal experts. No functionary of the fund management agency or appraisal expert may disclose the basic information about appraisal experts, appraisal opinions, appraisal results or other information about the appraisal that has not been disclosed. CHAPTER IV GRANT OF FUNDS AND IMPLEMENTATION Article 21. A supporting institution and a project principal shall, within 20 days upon receipt of a notice on the grant of fund issued by the fund management agency, fill in a project plan according to the appraisal opinions of appraisal experts and the amount of fund determined by the fund management agency, and submit it to the fund management agency for examination and approval. A supporting institution and a project principal shall, when filling in a project plan, not change other contents in the application form unless they do so according to the appraisal opinions of appraisal experts or the amount of fund determined by the fund management agency. Article 22. With respect to the research projects to be funded in the current year, the fund management agency shall timely apply to the finance administrative department of the State Council for budgetary allotments to funded projects according to the Budget Law of the People's Republic of Chin and other relevant provisions of the state, except for those funded projects that are temporarily put forward due to the specific demands of national economy and social development or other specific circumstances prescribed in Article 14 of this Regulation. A supporting institution shall, within 7 days upon receipt of fund, notify the fund management agency and the project principal of it. A project principal shall use the funds in light of the requirements in the project plan, and a supporting institution shall supervise the project principal's use of the funds. No project principal or supporting institution may encroach or misappropriate the funds by any means. The specific measures for the use and management of funds subsides shall be formulated by the finance administrative department of the State Council and the fund management agency. Article 23. A project principal shall organize and carry out the research work according to the project plan, make original records about the implementation of the funded project, and submit an annual progress report about the project to the fund management agency. A supporting institution shall examine the annual progress reports about the funded projects, check the original records about the implementation of the funded projects, and submit the annual reports on management of funded projects to the fund management agency. The fund management agency shall examine the annual progress reports about the projects and the annual reports on management of funded projects. Article 24. While a funded project is implemented, the supporting institution shall not illegally change the project principal. In case a project principal is under any of the following circumstances, the supporting institution shall timely file an application for changing this project principal or terminating the implementation of the funded project, and report it to the fund management agency for approval, and the fund management agency may directly make a decision on finalizing the implementation of the funded project: (1) He is not a science and technology person of the supporting institution; (2) He cannot continue carrying out the research work; or (3) He plagiarizes the scientific research achievements of someone else or resorts to fraud in scientific research. In case a project principal is transferred to another supporting institution, the former supporting institution may, upon negotiations between the new supporting institution file an application for changing the supporting institution to the fund management agency for approval. In case unanimity fails to be reached between the new supporting institution and the former supporting institution upon negotiations, the fund management agency shall make a decision on terminating the implementation of the funded project under the charge of the said project principal. Article 25. In case any significant adjustment needs to be made to the research contents or research plans during the process of implementing a funded project, the project principal shall file a timely application, and report it, upon examination of the supporting institution, to the fund management agency for approval. Article 26. A project principal shall, within 60 days upon expiration of the term of the funded project, submit a concluding report to the fund management agency via the supporting institution, and if the research achievements have been obtained in the funded project, a research achievement report shall be submitted simultaneously. A supporting institution shall examine the concluding report and establish the archives about funded projects. A supporting institution shall, when examining a concluding report, check the original records about the implementation of the funded project. Article 27. The fund management agency shall timely examine the concluding reports, and give its opinions and circulate them to the supporting institution and the project principal in written form if the requirements for finalizing topics have not been met. The fund management agency shall publicize the abstracts of the concluding reports, research achievement reports and applications for funded projects, and collect the comments and opinions of the general public. Article 28. When the research achievements obtained from the funded projects are publicized, it shall be indicated that it is funded by the National Natural Science Foundation. CHAPTER V SUPERVISION AND ADMINISTRATION Article 29. The fund management agency shall take a sample survey of the implementation of the funded projects and the performance of duties by the supporting institutions, and shall check the original records about the implementation of the funded projects at the time of sample survey. The sample survey results shall be recorded and publicized, and can be consulted by the general public. The fund management agency shall establish archives about the credits of project principals and supporting institutions. Article 30. The fund management agency shall regularly evaluate the performance of appraising duties by appraisal experts, and establish archives about the credits of appraisal experts in light of the appraisal results, and shall not hire those who have plagiarized scientific research achievements of others or resorted to fraud in scientific research. Article 31. The fund management agency shall, at the end of each accounting year, publicize the funded projects, the allotment of funds and the punishments to those acts against this Regulation, in the current year. The fund management agency shall regularly evaluate the work on the grant of funds, publicize the appraisal reports, and take the appraisal reports as the basis for formulating the fund development plan and the annual directory of funded projects. Article 32. After the appraisal experts have put forward their appraisal opinions about an application for a funded project filed by an applicant, the applicant may air his view to the fund management agency about the appraisal work of appraisal experts, and the fund management agency shall take the opinions of this applicant into account when evaluating the performance of appraising duties by appraisal experts. In case an entity or individual finds that the fund management agency or any of its functionaries, any appraisal expert, supporting institution, person in charge of the management of funded projects, applicant or project principal commits any act by violating this Regulation, he or it may tip off or accuse such illegal act. The fund management agency shall publicize its contact phone numbers, address and e-mail address. Article 33. The relevant information publicized by the fund management agency according to this Regulation shall conform to the confidentiality provisions of the state. CHAPTER VI LEGAL LIABILITIES Article 34. In case an applicant or participant forges or alters any application materials, he shall be warned by the fund management agency, and in case it has decided to grant a fund to the project under application, the original decision on fund granting shall be cancelled, and the allotted funds shall be recovered; where the circumstances are serious, the applicant or participant shall not apply for or be involved in the application for the National Natural Science Funds for 3 up to 5 years, nor may he be promoted to a higher academic technical rank (title). Article 35. In case a project principal or participant commits any of the following acts by violating this Regulation, the fund management agency shall warn him, suspend the allotment of Funds subsides, and order him to make correction within a time limit. If he does not make correction within the time limit, the original decision on fund granting shall be canceled, and the allotted funds shall be recovered; where the circumstances are serious, the applicant or participant shall not apply for or participate in the application for the National Natural Science Funds for 5 up to 7 years: (1) Failing to carry out research according to the project plan; (2) Illegally changing research contents or plans; (3) Failing to submit an annual progress report, concluding report or research achievement report about the project according to this Regulation; (4) Submitting any false or invented report, original records or relevant materials; or (5) Occupying or misappropriating the funds. The project principal or participant who commits any act mentioned in Item (4) or (5) of the preceding paragraph shall not be promoted to a higher academic rank (title) for 5 up to 7 years where the circumstances are serious. Article 36. A supporting institution that is under any of the following circumstances shall be warned and be ordered to make correction within a time limit by the fund management agency; where the circumstances are serious, a notice of criticism shall be circulated and the said institution shall not be taken as the supporting institution for 3 up to 5 years: (1) Failing to perform the duty of ensuring the research conditions for the funded project; (2) Failing to examine the authenticity of the materials or reports submitted by applicants or project principals; (3) Failing to submit an annual progress report, concluding report or research achievement report on the projects according to this Regulation; (4) Conniving and harboring any applicant or project principal in their fraudulent activities; (5) Illegally changing the project principals; (6) Refusing to cooperate the fund management agency to supervise and inspect the implementation of the funded projects; or (7) Retaining or misappropriating any of the funds. Article 37. In case an appraisal expert commits any of the following acts, he shall be warned and be ordered to make correction within a time limit by the fund management agency; where the circumstances are serious, a notice of criticism shall be circulated and the fund management agency shall not hire him as an appraisal expert: (1) Failing to perform the appraising duties prescribed by the fund management agency; (2) Failing to apply for withdrawal according to this Regulation; (3) Disclosing the information about the appraisal that has not been publicized; (4) Carrying out unfair appraisal of the applications for funded projects; or (5) Seeking unjustifiable interests by taking advantage of such work. Article 38. Any functionary of the fund management agency commits any of the following acts shall be punished: (1) Failing to apply for withdrawal according to this Regulation; (2) Disclosing the information about the appraisal that has not been publicized; (3) Intervening in the appraisal work of appraisal experts; or (4) Seeking unjustifiable interests by taking advantage of such work. Article 39. In case any entity or individual commits any of the following acts by violating this Regulation, and a crime is constituted, it or he shall be subject to criminal liabilities: (1) Embezzling or misappropriating any of the funds; (2) Any functionary of the fund management agency or an appraisal expert exacts or illegally accepts the properties of others or seeks for other unjustifiable interests when performing the duty prescribed in this Regulation; (3) An applicant, a project principal or participant forges or alters 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 offers any property or money to any functionary of the fund management agency so as to seek for unjustifiable interests, or (5) Divulging state secrets. In case an applicant, a project principal or participant has been subjected to criminal liabilities because he commits any act prescribed in the preceding paragraph, he shall not apply for or be involved in the application for the National Natural Science Funds for life. Article 40. Anyone who violates the relevant laws or administrative regulations on finance shall be punished and sanctioned according to relevant laws or administrative regulations. CHAPTER VII SUPPLEMENTARY PROVISIONS Article 41. Those research projects for which the subsides have been granted upon decision before the implementation of this Regulation shall be implemented according to the relevant provisions of the state that were in force when the decision was made. Article 42. The fund management agency shall implement the relevant provisions of the finance administrative department of the State Council when the work on the grant of funds concerns the use and management of the organization and implementation fees for projects or the subsidies for academic exchanges about basic research and for basic research environment construction. Article 43. This Regulation shall come into force on April 1, 2007. |
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