Regulations on the National Natural Science Fundation
2018-04-08 1100
Regulations on the National Natural Science Fundation
Order of the State Council [2007] No. 487
February 24, 2007
The Regulations on the National Natural Science Foundation was adopted at the 169th executive meeting of the State Council on February 14, 2007. It is hereby promulgated and shall come into effect as of April 1, 2007.
Premier: Wen Jiabao
Regulation on the National Natural Science Foundation
Chapter I General Provisions
Article 1 This Regulation has been formulated in order to regulate the use and management of the National Natural Science Foundation, advance the efficiency of the National Natural Science Foundation, promote fundamental research, cultivate talent in science and technology, and intensify independent innovation abilities, in accordance with the Law of the People's Republic of China on Science and Technology Advancement.
Article 2 The State has established the National Natural Science Foundation to subsidize fundamental research as prescribed in the Law of the People's Republic of China on Science and Technology Advancement.
Article 3 The National Natural Science Foundation is mainly funded by the allocations of the Central Treasury, with donations from natural persons, legal persons and other organizations encouraged by the Foundation.
The central treasury will incorporate the national natural science funds into the budget thereof.
Article 4 Any grants made by the National Natural Science Foundation 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 innovation and guiding the future.
Article 5 When deciding which projects shall be subsidized by the National Natural Science Foundation (hereinafter referred to as funded projects), professionals shall be fully involved, and the mechanisms of macro-level guidance, automatic application, equal competition, evaluation by the experts working in the same field and selection of the best shall be adopted.
Article 6 The natural science fund management organ of the State Council (hereinafter referred to as the fund management organ) shall have the responsibilities of managing the National Natural Science Funds and supervising the implementation of funded projects.
The competent science and technology authority of the State Council shall have responsibility for the macro administration and overall coordination of the work of the National Natural Science Foundation. The competent financial authority of the State Council shall administrate and supervise the budget and finances of National Natural Science Foundation. The auditing department shall supervise the use and management of the National Natural Science Foundation.
Chapter II Organization and Planning
Article 7 A fund development plan and an annual directory of funded projects shall be formulated by the fund management body in light of national economic and social development plans, scientific and technological development plans and the scientific and technological development situation. The fund development plan shall detail which development fields should take precedence, and the annual directory of funded projects shall indicate the scope of projects to take precedence. Exclusive funds shall be set up under National Natural Science Funds for cultivating young scientific and technological talents.
The formulation of a fund development plan and annual directory of funded projects by the fund management body shall mainly heed the opinions of higher education institutions, scientific research institutions, academic groups and related state organs and enterprises, and shall organize scientific demonstrations by related experts. The annual directory of funded projects shall be announced 30 days before the receipt of applications for funded projects.
Article 8 Higher education institutions, scientific research institutions or any other public welfare institutions that are qualified as independent legal persons and develop fundamental research within the territory of the People's Republic of China may register with the fund management body as supporting institutions.
Where a supporting institution that has existed before the implementation of this Regulation requires to be registered as a supporting institution, the registration shall be made with the fund management body.
The fund management body shall announce the names of registered supporting institutions.
Article 9 In the managerial work of granting funds, a supporting institution shall perform the following duties:
1. It shall organize applicants to apply for National Natural Science Foundation subsidies;
2. It shall examine the authenticity of materials submitted by applicants or project principals;
3. It shall provide the requirements for implementing the funded projects, and ensure the timescale within which project principals and participants should carry out funded projects;
4. It shall follow up the implementation of funded projects, and supervise the use of Foundation subsides; and
5. It shall cooperate with the fund management body in supervising and examining the implementation of funded projects.
The fund management organ shall guide and supervies the management work of supporting institutions in relation to the granting of funds.
Chapter III Application and Evaluation
Article 10 Any scientific or technological member of a supporting institution that satisfies the following requirements may apply for the National Natural Science Funds:
1. He has experiences with the fundamental research topic or other fundamental research topic; and
2. He has a senior academic rank (title) or a doctoral degree, or has a recommendation from two scientists or technicians working in the same research field with senior academic rank.
Where scientific or technological personnel engage in fundamental research satisfy the requirements as prescribed in the preceding paragraph, have no job or work for an entity that is not deemed a supporting institution, he must obtain the consent of a supporting institution as registered at the fund management body after negotiations, and then may apply to the National Natural Science Foundation according to this Regulation. The supporting institution shall deem him as scientific or technical personnel of its own, and management his activities effectively in accordance with this Regulation.
An applicant shall be the person in charge of an application for funded projects.
Article 11 An applicant to the National Natural Science Foundation shall determine their research project for the annual directory of funded projects, and submit an application in written form to the fund management body through their supporting institution within the time limit prescribed.
An applicant to the National Natural Science Foundation shall submit material proof that he has satisfied the requirements as prescribed in Article 10 of this Regulation; in case of any special requirement in the annual directory of funded projects, the applicant shall also submit the certification materials to prove he has satisfied the said requirements.
Where an applicant has obtained other subsidies for the project research for which he is applying to the Foundation, information on the said subsidies shall be provided in the application materials. An applicant shall have responsibility for the authenticity of the application materials he submits.
Article 12 The fund management body shall complete the preliminary examination of application materials within 45 days of the expiration of the application period. Regarding applications that comply with this Regulation the fund management organ shall accept, 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 the case of the following circumstances occurring in an application, the fund management body may not accept it, and shall inform the applicant in writing through the supporting institution, explaining the reasons:
1. The applicant fails to satisfy the requirements as prescribed in this Regulation;
2. The application materials fails to comply with the requirements listed in the annual directory of funded projects; or
3. The number of funded projects applied for by the applicants is in excess of that as prescribed by the fund management body.
Article 13 The fund management organ shall employ experts with a fairly high academic level and good professional ethics in the same field to evaluate the applications for funded projects. The fund management body shall formulate the specific measures for employing evaluation experts.
Article 14 As regards accepted applications for funded projects, the fund management body 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 body shall 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 inform the fund management organ in time so that fund management body can choose another evaluation expert for evaluation as required by this Regulation.
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 possibility of research schema, and bring out the evaluation opinions thereof.
When giving evaluation opinions on applications for funded projects, an evaluation expert shall also consider the research experience of the applicants and participants, the rationality of the plan for using the funds, the information on other grants for the research topics, information on the implementation of the funded projects by the applicants as well as the necessity for continuous subsidies.
The evaluation opinions brought up in the meeting-based evaluation shall be subject to a vote.
Article 16 As regards an application for a funded project on which most of evaluation experts in the communication-based evaluation agree that the fund should not be granted, but this project involves many innovations, a further meeting-based evaluation may be performed if two evaluation experts that participate in the meeting-based evaluation have signed a recommendation for it, unless it is an application for a funded project that has been submitted because of special demands or circumstances as prescribed in Article 14 of this Regulation.
The fund management body shall publicize the opinions that are brought out by the evaluation experts.
Article 17 The fund management body shall determine the research projects to be funded in accordance with this Regulation and the evaluation opinions given by the experts, and may not deny the evaluation expert opinions on the ground that it has different academic viewpoints from those of evaluation experts.
Where the fund management body determined to grant a fund, it shall inform the applicant and the supporting institution on time and in writing , 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 fund amount to be granted; in case it determined not to grant a fund, it shall inform the applicant on time 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 to the applicant.
Article 18 Where an applicant is not satisfied with the decision to refuse his application or not fund his project as made by the fund management body, he may submit a request for reexamination to the fund management organ in written form within 15 days of receipt of the notice. The different academic judgment of the evaluation experts as seen by an applicant may not be deemed a reason to request a reexamination.
The fund management organ shall complete the reexamination within 60 days of receipt of a reexamination request as submitted by an applicant. Where the fund management body deems that the former decision is consistent with this Regulation, it shall confirm the former decision and inform the applicant in writing. Where the fund management body deems that the former decision is not consistent with this Regulation, 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 member of staff of the fund management body or an evaluation expert shall apply for withdrawal in case of any circumstance as follows:
1. The personnel of the fund management body 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 identical with the one as submitted by the applicant or is close to it; or
3. The evaluation expert and the applicant or participant work for a same legal person entity.
The fund management body 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 fewer evaluation experts who are not suitable for evaluation, and the fund management body shall examine the said name list for the actual circumstance when selecting evaluation experts.
Article 20 Any personnel of the fund management body may neither apply for nor participate in the application to the National Natural Science Foundation, nor may he interfere in the evaluation of evaluation experts.
Any personnel of the fund management organ or evaluation expert may not reveal basic information with respect to evaluation experts, evaluation opinions, evaluation results or any other information on the evaluation that has not been officially revealed.
Chapter IV Grand Awarding and Implementation
Article 21 A supporting institution and a project principal shall fill in a project plan in light of the evaluation opinions of the evaluation experts and the funding amount determined by the fund management body within 20 days of the receipt of the grant awarding notice issued by the fund management body, and submit it to the fund management body for examination and approval.
When filling in a project plan, a supporting institution and a project principal may not alter other content in the application form unless as a result of the opinions of evaluation experts or the funding amount determined by the fund management body.
Article 22 With regards to research projects to be funded in this year, the fund management body shall apply to the financially competent authority of the State Council for budgetary allocations 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, unless for those funded projects that are temporarily brought forward because the specific demands or other specific circumstances as prescribed in Article 14 of this Regulation.
A supporting institution shall inform the fund management body and the project principal thereof within seven days as of the receipt of funding.
A project principal shall use the funds as required 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 infringe on or misappropriate the funds in any way. The specific measures for the use and management of funds subsidies shall be formulated by the financially competent authority of the State Council and the fund management body.
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 of the funded projects, check the original records on the implementation of the funded projects, and file annual reports concerning the management on funded projects to the fund management body.
The fund management body shall inspect the annual progress reports on the projects and the annual reports on 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 any of the following circumstances occurs to a project principal, the supporting institution shall submit an application to change the project principal or terminate the implementation of the funded project in a timely manner, and report it to the fund management body for approval; and the fund management organ may directly make a decision about the termination of project implementation:
1. He is no longer scientific or technical personnel of the supporting institution;
2. He is unable to continue to implement the research project; or
3. He plagiarizes the scientific research achievements of someone else or resorts to fraud in scientific research.
Where a project principal takes up a position in another supporting institution, the former supporting institution may submit an application to the fund management body to change his supporting institution upon negotiations between the new supporting institution and the former supporting institution. If they fail to reach unanimity, the fund management body shall make a decision on terminating the funded project under the charge of the said project principal.
Article 25 Where it is necessary to make major adjustments to either research contents or research plans during implementation of a funded project, the project principal shall promptly submit an application, and apply to the fund management body for approval upon examination of the supporting institution.
Article 26 A project principal shall submit a concluding report through his supporting institution to the fund management body within 60 days of the conclusion of the funded project; and if the project has obtained research outcomes, , a research achievement report shall be submitted at the same time.
The supporting institution shall verify the concluding report and establish archives on the funded project. When examining a concluding report, the supporting institution shall check the original records on the implementation of the funded project.
Article 27 The fund management body shall examine all concluding reports in a timely manner. As regards a concluding report in which there are areas that fail to satisfy the requirements, the fund management body shall make its opinions known to the supporting institution and the project principal in written form.
The fund management body shall publicize 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 research achievements, publications to that effect should indicate that it was funded by the National Natural Science Foundation.
Chapter V Supervision and Administration
Article 29 The fund management body shall take a sample survey of the implementation of funded projects and the performance of duties by the supporting institutions, and shall check the original records on the implementation of funded projects at the time of survey. The results of sample surveys shall be recorded and publicized, and should be made available for consultation by the general public.
The fund management body shall set up archives on the achievements of project principals and supporting institutions.
Article 30 The fund management body shall regularly assess the appraisal performance of evaluation experts, and set up archives on the achievements of evaluation experts according to evaluation results; subsequently not employing those who have stolen the scientific research achievements of others or resorted to fraud in their scientific research.
Article 31 At the end of each accounting year, the fund management body shall publish the year's funded projects, the allocation of funds and the punishments for acts against this Regulation, etc.
The fund management body shall assess fund granting administration at regular intervals, publish evaluation reports, and regard the reports as evidence for formulating fund development plans and the annual directory of funded projects.
Article 32 An applicant may give his opinions to the fund management body concerning the work of evaluation experts after the said experts have submitted their opinions on an application for funding; and the fund management organ shall consider the opinions of this applicant when evaluating the performance of evaluation experts' appraising duties.
Any entity or individual may make accusations regarding any act in violation of this Regulation as committed by the fund management body or any personnel thereof, any evaluation expert, supporting institution, person in charge of the management of funded projects, applicant or project principal.
The fund management body shall publicize its contact phone numbers, address and e-mail address.
Article 33 The related information as publicized by the fund management organ as prescribed by this Regulation shall be identical with the confidentiality provisions of the State.
Chapter VI 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 body; and if the application for funding thereof has already been granted, the grant shall be annulled, and allotted funds recovered; in serious cases, the applicant or participant may not apply for the National Natural Science Funds or be involved in any application for funding for between three and five years, and may not be promoted to a higher academic technical rank.
Article 35 If any of the following acts in violation of this Regulation are 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 corrections within a time limit; if he fails to make corrections within the time limit, the original grant shall be annulled, and the allotted funds shall be revoked; in serious cases, the applicant or participant may be barred from the National Natural Science Foundation or banned from participating in funding applications for between five and seven years:
1. He fails to perform research in the 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 achievements report on the project in accordance with this Regulation;
4. He submits false or invented material, records or related materials; or
5. He uses or misappropriates funds.
The project principal or participant who commits any act referred to in point 4. or 5. of the preceding paragraph may be barred from promoted to a higher academic rank for between five and seven years depending on the seriousness of the case.
Article 36 In case of any following circumstance occurs to a supporting institution, the fund management body shall issue a warning and order it to make amends within a time limit; in serious cases, a critical notice shall be publicized and the said institution may not be considered as a supporting institution for between three and five years:
1. It fails to perform the duty of guaranteeing research conditions for the funded project;
2. It fails to examine the authenticity of the materials or reports 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 this Regulation;
4. It connives with and harbors 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 body to supervise and inspect the implementation of the funded projects; or
7. It retains or misappropriates any of the funds.
Article 37 In the case of any of the following acts being committed by an evaluation expert, the fund management body shall give him a warning and order him to make amends within a time limit; in serious cases, a notice of criticism shall be publicized and the fund management body may not subsequently employ him as an evaluation expert:
1. He fails to perform appraisal duties as prescribed by the fund management body;
2. He fails to apply for withdrawal in accordance with this Regulation;
3. He reveals information on the evaluation that has not been publicized;
4. He makes unfair evaluation of applications for funded projects; or
5. He seeks unjustifiable interests by taking advantage of such work.
Article 38 If any of the following acts are committed by personnel of the fund management body, they shall be punished:
1. Failure to apply for withdrawal in accordance with this Regulation;
2. Revelation of information on the evaluation that has not been publicized;
3. Interference in the evaluation work of evaluation experts; or
4. Unjustifiable interests are furthered by taking advantage of such work.
Article 39 If any of the following acts in violation of this Regulation are committed by any entity or individual, and a crime is constituted, 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 duties prescribed in this Regulation;
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 committing any of the acts prescribed in the preceding paragraph, he may not apply to the National Natural Science Foundation or be involved in the Foundation for the rest of his life.
Article 40 Anyone who is in violation of the related laws or administrative financial regulations shall be punished and sanctioned in accordance with the applicable laws or administrative regulations.
Chapter VII Supplementary Regulations
Article 41 As regards research projects where subsidies were granted before this Regulation came into force, they shall be implemented in accordance with the related provisions of the State that existed when the grant was originally made.
Article 42 As regards funds related to the management of and implementation fees for projects or the subsidies for academic exchanges in fundamental research and fundamental research on environmental construction, the fund management body shall carry out the work with reference to the related provisions of the financially competent authority of the State Council.
Article 43 This Regulation shall come into effect as of April 1, 2007.