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| Order of the State Council | | 国务院令 |
(No. 487) | |
（第487号） |
The Regulation on the National Natural Science Funds, which was adopted at the 169th executive meeting of the State Council on February 14, 2007, is hereby promulgated and shall come into force on April 1, 2007. | |
《国家自然科学基金条例》已经2007年2月14日国务院第169次常务会议通过，现予公布，自2007年4月1日起施行。 |
Premier Wen Jiabao | |
总 理 温家宝 |
February 24, 2007 | |
二○○七年二月二十四日 |
Regulation on the National Natural Science Funds | |
国家自然科学基金条例 |
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| Chapter I General Provisions | | 第一章 总则 |
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| Article 1 This Regulation is formulated according to the Scientific and Technological Progress Law of the People's Republic of Chinafor 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. | | 第一条 为了规范国家自然科学基金的使用与管理，提高国家自然科学基金使用效益，促进基础研究，培养科学技术人才，增强自主创新能力，根据《中华人民共和国科学技术进步法》，制定本条例。 |
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| Article 2 The National Natural Science Funds established by the state are used to subsidize the basic research prescribed in the Scientific and Technological Progress Law of the People's Republic of China. | | 第二条 国家设立国家自然科学基金，用于资助《中华人民共和国科学技术进步法》规定的基础研究。 |
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| 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. | | 第三条 国家自然科学基金主要来源于中央财政拨款。国家鼓励自然人、法人或者其他组织向国家自然科学基金捐资。 |
The central treasury will incorporate the national natural science funds into its budget. | |
中央财政将国家自然科学基金的经费列入预算。 |
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| 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. | | 第四条 国家自然科学基金资助工作遵循公开、公平、公正的原则，实行尊重科学、发扬民主、提倡竞争、促进合作、激励创新、引领未来的方针。 |
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| Article 5 To determine the projects to be subsidized by National Natural Science Funds (hereinafter referred to as -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. | | 第五条 确定国家自然科学基金资助项目（以下简称基金资助项目），应当充分发挥专家的作用，采取宏观引导、自主申请、平等竞争、同行评审、择优支持的机制。 |
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| Article 6 The natural science fund management agency of the State Council (hereinafter referred to as fund management agency) shall be responsible for managing the National Natural Science Funds and supervising the implementation of funded projects. | | 第六条 国务院自然科学基金管理机构（以下简称基金管理机构）负责管理国家自然科学基金，监督基金资助项目的实施。 |
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. | |
国务院科学技术主管部门对国家自然科学基金工作依法进行宏观管理、统筹协调。国务院财政部门依法对国家自然科学基金的预算、财务进行管理和监督。审计机关依法对国家自然科学基金的使用与管理进行监督。 |
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| Chapter II Organization and Planning | | 第二章 组织与规划 |
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| 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. | | 第七条 基金管理机构应当根据国民经济和社会发展规划、科学技术发展规划以及科学技术发展状况，制定基金发展规划和年度基金项目指南。基金发展规划应当明确优先发展的领域，年度基金项目指南应当规定优先支持的项目范围。国家自然科学基金应当设立专项资金，用于培养青年科学技术人才。 |
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. | |
基金管理机构制定基金发展规划和年度基金项目指南，应当广泛听取高等学校、科学研究机构、学术团体和有关国家机关、企业的意见，组织有关专家进行科学论证。年度基金项目指南应当在受理基金资助项目申请起始之日30日前公布。 |
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| 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. | | 第八条 中华人民共和国境内的高等学校、科学研究机构和其他具有独立法人资格、开展基础研究的公益性机构，可以在基金管理机构注册为依托单位。 |
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. | |
本条例施行前的依托单位要求注册为依托单位的，基金管理机构应当予以注册。 |
The fund management agency shall publicize the names of registered supporting institutions. | |
基金管理机构应当公布注册的依托单位名称。 |
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| Article 9 A supporting institution shall perform the following duties in the management work of fund granting: | | 第九条 依托单位在基金资助管理工作中履行下列职责： |
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| (1) Organizing applicants to apply for the subsides of National Natural Science Funds; | | （一）组织申请人申请国家自然科学基金资助； |
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| (2) Examining the authenticity of the materials submitted by applicants or project principals; | | （二）审核申请人或者项目负责人所提交材料的真实性； |
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| (3) Providing the conditions for implementing the funded projects, and safeguarding the time for project principals and participants to implement funded projects; | | （三）提供基金资助项目实施的条件，保障项目负责人和参与者实施基金资助项目的时间； |
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| (4) Following up the implementation of funded projects, and supervising the use of Fund subsides; and | | （四）跟踪基金资助项目的实施，监督基金资助经费的使用； |
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| (5) Cooperating with the fund management agency in supervising and checking the implementation of funded projects. | | （五）配合基金管理机构对基金资助项目的实施进行监督、检查。 |
The fund management agency shall guide and supervise the management work of supporting institutions on the granting of funds. | |
基金管理机构对依托单位的基金资助管理工作进行指导、监督。 |
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| Chapter III Application and Appraisal | | 第三章 申请与评审 |
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| Article 10 Any science and technology talent in a supporting institution who meets the following requirements may apply for the National Natural Science Funds: | | 第十条 依托单位的科学技术人员具备下列条件的，可以申请国家自然科学基金资助： |
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| (1) Having the experiences of undertaking the basic research topic or other basic research; and | | （一）具有承担基础研究课题或者其他从事基础研究的经历； |
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| (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). | | （二）具有高级专业技术职务（职称）或者具有博士学位，或者有2名与其研究领域相同、具有高级专业技术职务（职称）的科学技术人员推荐。 |
A science and technology person for basic research that meets the requirements as 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 as 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. | |
从事基础研究的科学技术人员具备前款规定的条件、无工作单位或者所在单位不是依托单位的，经与在基金管理机构注册的依托单位协商，并取得该依托单位的同意，可以依照本条例规定申请国家自然科学基金资助。依托单位应当将其视为本单位科学技术人员，依照本条例规定实施有效管理。 |
An applicant shall be the person in-charge of an application for funded projects. | |
申请人应当是申请基金资助项目的负责人。 |
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| 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. | | 第十一条 申请人申请国家自然科学基金资助，应当以年度基金项目指南为基础确定研究项目，在规定期限内通过依托单位向基金管理机构提出书面申请。 |
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. | |
申请人申请国家自然科学基金资助，应当提交证明申请人符合本条例第十条规定条件的材料；年度基金项目指南对申请人有特殊要求的，申请人还应当提交符合该要求的证明材料。 |
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. | |
申请人申请基金资助的项目研究内容已获得其他资助的，应当在申请材料中说明资助情况。申请人应当对所提交申请材料的真实性负责。 |
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| 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: | | |
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| (1) The applicant does not meet the requirements prescribed in this Regulation; | | （一）申请人不符合本条例规定条件的； |
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| (2) The application materials do not conform to the requirements mentioned in the annual directory of funded projects; or | | （二）申请材料不符合年度基金项目指南要求的； |
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| (3) The number of funded projects as applied for by the applicants is more than that as prescribed by the fund management agency. | | （三）申请人申请基金资助项目超过基金管理机构规定的数量的。 |
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| 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. | | 第十三条 基金管理机构应当聘请具有较高的学术水平、良好的职业道德的同行专家，对基金资助项目申请进行评审。聘请评审专家的具体办法由基金管理机构制定。 |
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| 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. | | 第十四条 基金管理机构对已受理的基金资助项目申请，应当先从同行专家库中随机选择3名以上专家进行通讯评审，再组织专家进行会议评审；对因国家经济、社会发展特殊需要或者其他特殊情况临时提出的基金资助项目申请，可以只进行通讯评审或者会议评审。 |
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. | |
评审专家对基金管理机构安排其评审的基金资助项目申请认为难以作出学术判断或者没有精力评审的，应当及时告知基金管理机构；基金管理机构应当依照本条例规定，选择其他评审专家进行评审。 |
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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.
．．．．．． | | 第十五条 评审专家对基金资助项目申请应当从科学价值、创新性、社会影响以及研究方案的可行性等方面进行独立判断和评价，提出评审意见。
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