海南省自然科学基金专项和经费管理暂行办法
Interim Measures for the Administration of Natural Science Fund Projectsand Relevant Funds
第一章 总则
Chapter I General Provisions
第一条 为规范海南省自然科学基金专项和经费的管理，提高基础研究水平，发现和培养科技人才，增强我省自主创新能力，促进科学技术进步和经济社会发展，根据《国家自然科学基金条例》《海南省人民政府<关于印发海南省优化科研管理提升科研绩效若干措施的通知>》（琼府〔2019〕22号）、《海南省以超常规手段打赢科技创新翻身仗三年行动方案（2021-2023年）》（琼府办〔2021〕24号）等相关规定，结合我省实际，制订本办法。
Article 1 These Measures are formulated to regulate the management of natural science fund projects and relevant funds in Hainan Province, improve basic researches, discover and cultivate scientific and technological talents, enhance the independent innovation capability of Hainan, and promote scientific and technological progress and economic and social development, in accordance with the Regulation on the National Natural Science Funds, the Notice of the People's Government of Hainan Province Concerning the Issuance of Several Measures to Optimize the Management of Scientific Research and Enhance the Performance of Scientific Research in Hainan Province (Qiong Fu No. [2019] 22), the Three-Year Action Plan for Winning the Science and Technology Innovation Battle by Extraordinary Means in Hainan Province (2021-2023) (Qiong Fu Ban [2021] No. 24) and other relevant regulations, in combination with the realities in Hainan.
第二条海南省自然科学基金专项包括海南省自然科学基金项目（以下简称省基金项目）和软科学项目，软科学项目另行制定管理办法。省基金项目面向全省，主要资助自然科学方面的基础研究和应用基础研究。具体包括面上项目、青年基金项目、高层次人才项目、创新研究团队项目和企业人才项目。海南省科学技术厅（以下简称省科技厅）是省基金项目的主管部门，负责项目的管理工作。省科技厅可根据需要对项目类型进行调整。
Article 2 The natural science fund projects of Hainan Province shall include the natural science fund projects of Hainan Province (hereinafter referred to as the “Natural Science Fund Projects”) and soft science projects for which other administrative measures shall be formulated. The Natural Science Fund Projects shall be open to the whole province and mainly support basic and applied basic researches related to natural science. Specifically, they include general projects, youth fund projects, high-level talent projects, innovation team projects and enterprise talent projects. The Department of Science and Technology of Hainan Province (hereinafter referred to as the “Department of Science and Technology”) is the competent authority of the Natural Science Fund Projects and shall be responsible for the management of such projects. The Department of Science and Technology may adjust the type of projects as needed.
（一）面上项目主要支持科技人员在省基金项目资助范围内自由选题，开展创新性科学研究，促进各学科均衡、协调和可持续发展。
(I) The general projects mainly support scientific and technical personnel to freely select topics within the scope of Natural Science Fund Projects and carry out innovative scientific researches to promote balanced, coordinated and sustainable development of different disciplines.
（二）青年基金项目主要支持青年科技人员在省基金项目资助范围内自由选题，培养青年科技人员独立主持科研项目、进行创新研究的能力。
(II) Youth fund projects mainly support young scientists to freely choose topics within the scope of Natural Science Fund Projects, to cultivate the ability of young scientists to independently organize scientific research projects and conduct innovative researches.
（三）高层次人才项目支持已经中共海南省委人才发展局或其授权的机构部门认定的高层次人才，在自然科学领域开展科学创新活动，推动各尽其用、各展其才，为我省社会经济发展做出更大的贡献。
(III) The high-level talent projects support high-level talents who have been identified by the Talent Development Bureau of the CPC Hainan Provincial Committee or its authorized departments to carry out scientific and innovative activities in the field of natural sciences, and promote them to play to their talents and to make greater contributions to the social and economic development of Hainan.
（四）创新研究团队项目以培养科技人才为主要目标，支持优秀科技人员为学术带头人和骨干的研究团队，围绕国家和海南科技发展规划确定的重要研究方向开展创新性科学研究。
(IV) Innovation team projects, with the main objective of cultivating scientific and technological talents, support research teams with outstanding scientific and technological personnel as academic leaders and backbones, and carry out innovative scientific researches along the important research direction determined by the science and technology development plans of Hainan and China.
（五）企业人才项目主要支持企业科技人员在省基金项目资助范围内自由选题，培育产业科技人才，支撑重点产业发展，进一步激发我省企业技术创新活力。
(V) Enterprise talent projects mainly support science and technology personnel in enterprises to freely select topics within the scope of Natural Science Fund Projects, cultivate industrial science and technology talents, support the development of key industries, and further stimulate the technology innovation vitality of enterprises in Hainan.
第三条 省基金项目管理工作坚持尊重科学、发扬民主、提倡竞争、促进合作、激励创新、引领未来的工作方针。
Article 3 The administration of the Natural Science Fund Projects shall adhere to the working guidelines of respecting science, promoting democracy, advocating competition, promoting cooperation, stimulating innovation and leading the future.
第四条 省基金项目经费主要来源于省财政预算，鼓励公民（自然人）、法人和其他组织捐资或联合资助。
Article 4 The Natural Science Fund Projects shall be mainly financed by the fiscal budget of Hainan, and citizens (natural persons), legal persons and other organizations are encouraged to donate or jointly finance such projects.
第二章 依托单位与项目负责人
Chapter II Supporting Institution and Project Principal
第五条 依托单位是省基金项目和经费管理的法人责任主体，为海南省行政区域内注册或中央在琼的具有独立法人资格的事业单位、公益性机构、国有企业、规模以上工业企业及高新技术企业，向省科技厅申请注册为依托单位。依托单位的下属（如高等学校的二级学院等）不能单独另行申请注册为依托单位。
Article 5 The Supporting Institution is the legal entity responsible for the management of the Natural Science Fund Projects and relevant funds, which may be an institution, public welfare institution, state-owned enterprise, industrial enterprise above the designated size and high-tech enterprise with independent legal personality registered in the administrative region of Hainan Province or with the headquarter located in Hainan, which have been registered with the Department of Science and Technology as the Supporting Institution. Any subordinate of the Supporting Institution (e.g. a second-level college of a university, etc.) shall not be allowed to apply for registration as the Supporting Institution independently.
第六条 依托单位应履行以下职责：
Article 6 The Supporting Institution shall perform the following duties:
（一）组织申报省基金项目。
(I) Organize the applications related to Natural Science Fund Projects.
（二）审核项目负责人所提交材料的真实性和完整性。
(II) Review the authenticity and completeness of the materials submitted by the Project Principal.
（三）落实项目承诺的自筹资金及其他配套条件，保障项目负责人和参与人实施省基金项目的时间，保证财政资金专款专用；企业承担省基金项目，按不低于省财政资助金额的1:2配套。
(III) Implement the self-financing and other supporting conditions promised for the project, guarantee the time for the Project Principal and participants to implement the Natural Science Fund Projects, and ensure that the financial funds are earmarked for exclusive use, and provide fiscal subsidies for enterprises undertaking Natural Science Fund Projects at a ratio of no less than 1:2.
（四）保障省基金项目正常实施，监管省基金项目经费使用。
(IV) Ensure the proper implementation of Natural Science Fund Projects and to supervise the use of funds for Natural Science Fund Projects.
（五）配合省科技厅对省基金项目实施监督、检查和验收。
(V) Cooperate with the Department of Science and Technology in the supervision, inspection and acceptance of Natural Science Fund Projects.
（六）及时向省科技厅报告实施过程中省基金项目负责人变更、依托单位变更、终止等重大事项，对省基金项目实施过程中遇到的新情况及新问题，及时向省科技厅反馈并提出意见或建议。
(VI) Timely report to the Department of Science and Technology on major matters such as changes in the principal of Natural Science Fund Projects and the change or termination of the Supporting Institution, and provide timely feedbacks and advices or suggestions to the Department of Science and Technology on new situations or new problems encountered in the implementation of Natural Science Fund Projects.
（七）建立健全“统一领导、分级管理、责任到人”的省基金项目管理体制和具体办法，完善内部控制和监督约束机制。
(VII) Establish a sound system and specific methods for the management of Natural Science Fund Projects in a way of "unified leadership, graded management and specific accountability", and improve internal control, supervision and constraint mechanisms.
第七条 项目负责人是省基金项目实施和经费使用的直接责任人，对省基金项目提交材料的真实性和经费使用的合规性、合理性负责。
Article 7 The Project Principal shall be directly responsible for the implementation of the Natural Science Fund Projects and the use of relevant funds, and shall be responsible for the authenticity of the materials submitted for the Natural Science Fund Projects and the compliance and reasonableness of the use of relevant funds.
第八条 面上项目负责人应当符合以下基本条件：
Article 8 The Project Principal of general projects shall meet the following basic requirements:
（一）为依托单位在职人员，申请当年1月1日年龄未满55周岁。
(I) He or She shall be an active employee of the Supporting Institution and be under 55 years of age on January 1 of the year of application.
（二）具有高级专业技术职务（职称）或者具有博士学位；中级以下（含中级）职称的需由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。
(II) He or She shall have a senior professional or technical position (title) or have a doctorate; those with a title below the intermediate level (including intermediate level) shall be recommended by two scientific and technical personnel with a senior professional or technical position (title) in the same field.
（三）具有良好的信用记录和科学道德，具备开展基础科学研究能力，熟悉本领域国内外技术动态及发展趋势。
(III) He or She shall have a good credit record and scientific ethics, the ability to conduct basic scientific research, and be familiar with domestic and international technological developments and trends in this field.
（四）具有足够的时间和精力从事申请省基金项目的研究，具备完成省基金项目所需的组织管理和协调能力，其中正式受聘于依托单位的申请者，每年在依托单位工作时间应不少于6个月。
(IV) He or She shall have sufficient time and energy to engage in the research of the Natural Science Fund Projects, and have the organizational management and coordination ability required to complete the Natural Science Fund Projects, among which he or she shall be formally employed by the Supporting Institution and work in the Supporting Institution for at least six months per year.
（五）当年作为省科技专项项目负责人承担不超过1项，参与省基金项目不超过2项。
(V) He or She shall undertake at most one provincial science and technology projects, and participate in 2 or less Natural Science Fund Projects.
（六）已承担2次以上（含2次）省自然科学基金而至今未能牵头承担国家各类科技计划项目（含课题），不能再作为项目负责人申请省基金项目，但可作为项目组成员参与项目研究。
(VI) Those who have undertaken the provincial natural science funds for 2 or more times but have not been able to lead any Natural Science Fund Projects (including topics), shall not apply for to be the Project Principal of the Natural Science Fund Projects, but may participate in the project research as a member of the project team.
（七）项目负责人与项目参与人不是同一单位的，参与人所在单位视为合作研究单位，合作研究单位的数量不超过3个，项目总人数不超过10人（含负责人）。
(VII) If the Project Principal and the project participants are not from the same employer, the employer of the participants shall be regarded as a collaborative research unit. At most 3 collaborative research units and 10 project members (including the Project Principal) may be allowed.
（八）已承担２项以上（含2项）海南省各类科技专项项目的负责人，在项目未验收前不能作为项目负责人申请；阶段性取消省级财政科技专项申报资格的，不能作为项目负责人申请省基金项目。
(VIII) Those who have undertaken more than 2 (inclusive) science and technology projects in Hainan Province, shall not apply to be the Project Principal before those projects are accepted. Those who are disqualified to participate in any provincial-funded science and technology projects, shall not apply to be the Project Principal of the Natural Science Fund Projects.
第九条 青年基金项目负责人须符合第八条规定，同时要求：申报当年1月1日男性未满35周岁，女性未满40周岁。
Article 9 The Project Principal of the youth fund projects shall comply with the provisions of Article 8, and are required to be: under 35 years of age (for males) or 40 years of age (for females) on January 1 of the year of application.
第十条 高层次人才项目负责人须符合第八条规定，同时要求：项目负责人需取得经中共海南省委人才发展局或其授权的机构部门认定的海南省高层次人才证书。
Article 10 The Project Principal of the high-level talent projects shall comply with the provisions of Article 8 and are required that: the Project Principal shall obtain a high-level talent certificate recognized by the Talent Development Bureau of the CPC Hainan Provincial Committee or its authorized departments.
第十一条 申请创新研究团队项目负责人须符合第八条规定，并同时具备以下条件：
Article 11 The Project Principal of the innovation team projects shall meet the provisions of Article 8 and the following requirements:
（一）项目负责人具有主持国家自然科学基金项目的经历。
(I) The Project Principal shall have the experience in leading any national natural science fund project.
（二）团队核心成员不少于3人，核心成员应具有高级专业技术职务（职称）或博士学位，且近5年来曾主持省级及以上科技专项项目，团队总人数（含负责人）不超过10人。
(II) There shall be at least 3 core members in the team, and the core members shall have senior professional and technical positions (titles) or doctoral degrees, and have presided over special projects in science and technology at the provincial level or above in the past five years, and the total number of team members (including the Project Principal) shall not exceed 10.
（三）已获得立项的海南省创新研究团队项目的核心成员，项目验收前不能再作为申请人申请创新研究团队项目。
(III) Those who are core members for any initiated innovation team projects in Hainan shall not apply to be the applicants of any new innovation team projects before the acceptance of the initiated projects.
第十二条 企业人才项目负责人须符合第八条规定，同时要求：项目负责人需为企业在职人员。
Article 12 The Project Principal of the enterprise talent projects shall comply with the provisions of Article 8, and are required that: the Project Principal shall be an active employee of the enterprise.
第十三条 项目负责人应当履行以下职责：
Article 13 The Project Principal shall perform the following duties:
（一）组织填报省基金项目申请书。
(I) Organize the filling of applications for Natural Science Fund Projects.
（二）依法据实编制省基金项目经费决算。
(II) Prepare the final accounts of the Natural Science Fund Projects in accordance with applicable laws and regulations.
（三）按照省基金项目申请书和相关管理制度的规定开展研究和使用经费，自觉接受省科技厅和本单位科研管理部门的监督检查。
(III) Conduct researches and use funds in accordance with the application documents of the Natural Science Fund Projects and the relevant management system, and consciously accept the supervision and inspection of the Department of Science and Technology and the scientific research management departments of the enterprises.
（四）做好省基金项目实施情况的原始记录和归档，按时提交科技报告。
(IV) Keep original records and archives of the implementation of Natural Science Fund Projects and submit science and technology reports on time.
（五）按时提交验收材料，保证验收材料的真实性、完整性。
(V) Submit inspection materials on time and ensure the authenticity and completeness of the such materials.
（六）及时向依托单位报告省基金项目执行过程中有关成员、合作单位、预算等变更事项。
(VI) Timely report to the Supporting Institution on any changes in member, cooperation units, budgets and other items during the implementation of Natural Science Fund Projects.
第三章 申请与立项
Chapter III Application and Initiation
第十四条 省科技厅负责组织制定并公开发布省基金项目年度申报指南，明确省基金项目遴选方式、支持范围、实施年限、资助额度，确定申报的时间、渠道、方式和限额，申报时间一般不少于30天。
Article 14 The Department of Science and Technology shall be responsible for organizing the formulation and publication of the annual application guidelines for Natural Science Fund Projects, specify the selection method, support scope, implementation period and funding amount of Natural Science Fund Projects, and determining the validity, channel, manner and limit of applications. The application validity shall not be less than 30 days generally.
第十五条 省科技厅根据各依托单位的省基金项目验收和执行及其他情况确定年度申报限额，实行奖罚分明，动态管理。
Article 15 The Department of Science and Technology shall determine the annual limits according to the acceptance and implementation of the Natural Science Fund Projects and other conditions of the Supporting Institution, keep strictly the rule of rewards and penalties, and implement a dynamic management.
第十六条 依托单位在规定期限和限额指标内，按申报指南要求向省科技厅提交省基金项目申请书。项目负责人或者参与者有下列情况之一的，应当在申请时注明：
Article 16 Depending on the prescribed period and limit indicators, the Supporting Institution shall submit applications for the Natural Science Fund Projects to the Department of Science and Technology in accordance with the requirements of the application guidelines. The Project Principal or participants shall indicate any of the following circumstances when making an application:
（一）当年申请或参与申请省级各类专项项目的单位不一致的。
(I) The units applying or participating in applications for provincial projects in the current year are inconsistent.
（二）与正在实施的省级其他各类专项项目的单位不一致的。
(II) The units applying or participating in applications are inconsistent with those units of other provincial projects that are being implemented.
第十七条 省基金项目立项遵循公开、公平、公正的原则，采取公平竞争、同行评审、择优支持的资助机制。省基金项目立项程序包括：
Article 17 The Natural Science Fund Projects shall be initiated in the principles of openness, fairness and impartiality, and adopts a funding mechanism of fair competition, peer review and preferential support. The initiation process of the Natural Science Fund Projects includes:
（一）受理。依托单位按照当年申报通知的要求在限额指标内进行遴选，在申报系统中上传依托单位推荐函，材料齐全的予以受理。
(I) Acceptance. The Supporting Institution will be selected within the financial limits as required by the notice on the application of the year, and the letter of recommendation of the Supporting Institution shall be uploaded in the application system. The applications shall be accepted if the materials are complete.
（二）形式审查。省科技厅组织或委托科技项目评审专业机构对受理的省基金项目进行形式审查，并将审查结果在省科技厅门户网站予以公示，公示期5个工作日。有下列情况之一者，视为形式审查不通过：
(II) Formal review. The Department of Science and Technology shall organize or entrust professional institutions for assessment of science and technology projects to conduct formal review of accepted Natural Science Fund Projects, and the review results will be disclosed on the home page of the Department of Science and Technology for 5 working days. The projects shall be deemed as fail the formal review in any one of the following circumstances:
1.项目负责人不符合本办法规定条件。
1. The Project Principal does not meet the conditions set out in these Measures.
2.申请材料不符合年度省基金项目指南和申报通知要求。
2. The application materials do not meet the requirements of the annual guidelines and the notice concerning the application for Natural Science Fund Projects.
3.项目负责人在不良科研诚信纪录处罚期内。
3. The Project Principal is within the penalty period for dishonest acts in scientific researches.
4.依托单位在不良科研诚信纪录处罚期内。
4. The Supporting Institution is within the penalty period for dishonest acts in scientific researches.
任何单位和个人对形式审查结果有异议的，可在公示期内，将加盖单位公章或签署个人真实姓名及联系方式的书面意见和相关材料提交实施形式审查的机构。实施形式审查的机构按照有关规定处理，并将结果反馈提出异议的单位或个人。
Any organization or individual having objections to the results of the formal review may, during the public disclosure period, submit written comments and relevant materials stamped with the official seal of the organization or signed with the real name and contact information of the individual, to the institution conducting the formal review. The institution conducting the formal review shall handle the objections in accordance with the relevant regulations, and provide feedbacks on the results to the organization or individual that raised the objection.
（三）专家评审。省科技厅委托科技项目评审专业机构聘请专家通过通讯评审或会议评审方式对形式审查通过的省基金项目进行评审，出具评审意见。
(III) Expert review. The Department of Science and Technology shall entrust professional organizations for the assessment of science and technology project to hire experts to assess the Natural Science Fund Projects that have passed the formal review via correspondence or conference evaluation and to give assessment opinions.
基础研究项目重点评价新发现、新原理、新方法、新规律的原创性和科学价值；应用基础研究项目重点评价解决经济社会发展中关键科学问题的效能和应用价值。
For basic research projects, the assessment shall focus on the originality and scientific value of new discoveries, principles, methods and laws; for applied basic research projects, the assessment shall focus on the effectiveness and application value of solving key scientific problems in economic and social development.
（四）行政决策。省科技厅根据年度预算经费总额、专家评审意见、年度重点科技任务和单位承担数量等因素进行综合平衡，经厅务会议、厅党组会议审议，择优确定拟立项项目。
(IV) Administrative decision-making. The Department of Science and Technology shall conduct a comprehensive balance based on the total annual budget fund, expert review opinions, annual key science and technology tasks and the number of projects undertaken by the Supporting Institution, and determine the projects to be initiated after discussion at the meetings of the Council and the Party Committee of the Department of Science and Technology.
（五）公示。省科技厅对拟立项项目在厅门户网站上进行公示，公示期5个工作日。公示期满无异议，视为依托单位和项目负责人同意年度立项。
(V) Public disclosure. The Department of Science and Technology shall disclose the proposed projects on the home page of the Department for 5 working days. If there is no objection raised in the public disclosure period, the Supporting Institution and the Project Principal will be deemed as have agreed on the initiation of the projects.
任何单位和个人对公示内容有异议的，可在公示期内，将加盖单位公章或签署个人真实姓名及联系方式的书面意见和相关材料提交省科技厅项目主管处室。省科技厅项目主管处室按照有关规定处理，并将结果反馈提出异议的单位或个人。对评审专家的学术判断有不同意见的，不得作为提出复核申请的理由。
Any organization or individual having objections to the contents of the public disclosure may, during the public disclosure period, submit written comments and relevant materials stamped with the official seal of the organization or signed with the real name and contact information of the individual, to the relevant office under the Department of Science and Technology. The head of the office under the Department of Science and Technology shall handle the objections in accordance with the relevant regulations, and provide feedbacks on the results to the organization or individual that raised the objection. Any objection to the academic judgment of the review expert shall not be deemed as grounds for filing an application for validation.
（六）项目下达。经省财政厅审核划拨年度项目经费后，省科技厅下达省基金项目立项文件并与依托单位签订省基金项目任务书。
(VI) Document release. After the Department of Finance of Hainan has reviewed and allocated the annual project funds, the Department of Science and Technology shall release the project documents and sign the project assignment letter with the Supporting Institution.
第十八条省基金项目中有合作单位的，依托单位应当与合作单位签订合作协议，明确各方权利义务、经费分配、知识产权归属、法律责任等。
Article 18 Where there is a cooperative unit in a Natural Science Fund Projects, the Supporting Institution shall sign a cooperation agreement with the cooperation unit, specifying the rights and obligations of each party, allocation of funds, ownership of IP rights, legal responsibilities, etc.
第四章 经费与开支
Chapter IV Funds and Expenditures
第十九条 省基金项目采取定额补助方式，经费按照国库集中支付的有关规定拨付项目依托单位，统一纳入单位财务管理，实行分账核算、专款专用。
Article 19 The Natural Science Fund Projects shall adopt a mode of fixed subsidies which are allocated to the Supporting Institutions in accordance with the relevant provisions of the centralized payment of the State Treasury, and are uniformly included into the financial management of the Supporting Institutions, thus realizing separate accounting and dedicated usage of funds.
第二十条 省基金项目经费开支范围包括直接费用和间接费用。直接费用是指在项目研究开发过程中发生的与之直接相关的费用，主要包括：
Article 20 The expenditure scope of the Natural Science Fund Projects shall include direct and indirect costs. Direct costs are those costs incurred in the research and development course of a project that are directly related to the project, which mainly consist of:
（一）设备费。主要列支项目实施过程中购置或试制专用仪器设备，对现有仪器设备进行升级改造，以及租赁外单位仪器设备而发生的费用。计算类仪器设备和软件工具可在设备费科目列支。
(I) Equipment costs. Equipment costs mainly cover the costs incurred in the project implementation process for the acquisition or trial production of special instruments and equipment, the upgrading of existing instruments and equipment, and the leasing of instruments and equipment from external organizations. Computational instruments and software tools may be charged to the equipment costs.
（二）业务费。主要列支项目实施过程中消耗的各种材料、辅助材料等低值易耗品的采购、运输、装卸、整理等费用，发生的测试化验加工、燃料动力、出版/文献/信息传播/知识产权事务、会议/差旅/国际合作交流等费用，以及其他相关支出。
(II) Operational costs. Operational costs mainly cover the costs of procurement, transportation, loading and unloading, sorting and other treatment of materials, auxiliary materials and other low-value consumables consumed in project implementation process, the costs incurred for testing and laboratory processing, fuels and energies, the costs for publication/documentation/information dissemination/IP affairs, meetings/travel/international cooperation and exchange, and other related expenditures.
1.测试化验加工费是指在项目实施过程中支付给外单位（包括依托单位内部独立经济核算单位）的检验、测试、化验及加工等费用。
1. Testing, laboratory and processing costs are the inspection, testing, laboratory and processing costs paid to external organizations (including independent economic accounting units within the Supporting Institution) in the project implementation process.
2.燃料动力费是指在项目实施过程中直接使用的相关仪器设备、科学装置等运行发生的水、电、气、燃料消耗费用等。
2. Fuel and energy costs are the costs of water, electricity, gas and fuels, which incurred in the operation of the relevant instruments, scientific devices and other equipment directly used in the project implementation process.
3.出版/文献/信息传播/知识产权事务费是指在项目实施过程中，需要支付的出版费、资料费、专用软件购买费、文献检索费、查新费、专业通信费、专利申请及其他知识产权事务等费用。
3. The costs for publication/documentation/information dissemination/IP services refer to the costs incurred for the publication, information collection, purchase of specialized software, literature search, novelty search, professional communication, patent applications and other IP services in the project implementation process.
4.会议/差旅/国际合作交流费是指在项目实施过程中发生的差旅费、会议费和国际合作交流费。依托单位和科研人员应当按照实事求是、精简高效、厉行节约的原则，严格执行国家和单位的有关规定，统筹安排使用。
4.Meetings/travel/international cooperation and exchange costs refer to costs incurred by travel, meetings and international cooperation and exchange in the project implementation process. The Supporting Institution and the researcher shall strictly implement the relevant national and internal regulations and make coordinated arrangements in accordance with the principles of pragmatism, streamlining, efficiency and economy.
5.其他支出是指在项目实施过程中除上述支出范围之外的其他相关支出。
5. Other related expenditures refer to expenditures related to the implementation of the project other than the above-mentioned.
（三）劳务费。主要列支项目实施过程中支付给参与项目的研究生、博士后、访问学者和项目聘用的研究人员、科研辅助人员等的劳务性费用；以及支付给临时聘请的咨询专家的费用等。
(III) Labor costs. Labor costs mainly cover costs paid to graduate students, post-doctors, visiting scholars, project researchers and research support staff involved in the project, and fees paid to consultants engaged temporarily during the implementation of the project.
项目聘用人员的劳务费开支标准，参照当地科学研究和技术服务业从业人员平均工资水平，根据其在项目研究中承担的工作任务确定，其由单位缴纳的社会保险补助、住房公积金等纳入劳务费科目列支。
The standard of expenditure on labor costs for personnel employed in the project shall be determined by reference to the average wage level of local employees in the scientific research and technology service industry and in accordance with the work tasks they undertake in the project researches, and the social insurance benefits and housing provident funds paid by the Supporting Institutions shall be included in the labor costs.
专家咨询费不得支付给参与本项目研究、项目管理的相关工作人员。专家咨询费的开支，参照我省规定的标准执行。
Expert consultancy fees shall not be paid to personnel involved in the search or project management of the project. The expert consultancy fees shall be used according to the standards set by Hainan.
第二十一条 间接费用是指依托单位在组织实施项目过程中发生的无法在直接费用中列支的相关费用。主要包括：依托单位为项目研究提供的房屋占用，日常水、电、气、暖消耗，有关管理费用的补助支出，以及激励科研人员的绩效支出等。
Article 21 Indirect costs are costs incurred by the Supporting Institution in organizing and implementing the project, which cannot be charged to direct costs. The indirect costs mainly include: the costs for housing occupation, daily consumption of water, electricity, gas and fuels by the Supporting Institution for the project research, subsidized expenditures related to relevant overheads, and performance expenditures to motivate the research personnel.
1.间接费用比例原则上不超过直接经费扣除设备购置费的30%，对数学、管理科学等纯理论基础研究的项目，可根据实际情况将间接费用比例提高到60%。
1. In principle, the indirect costs shall not exceed 30% of the direct costs minus the purchase cost of equipment, and this ratio may be increased to 60% for purely theoretical and basic research projects in mathematics and management science as appropriate.
2.项目依托单位在统筹安排间接费用时，要处理好合理分摊间接成本和对科研人员激励的关系，绩效支出安排与科研人员在项目工作中的实际贡献挂钩，不设比例限制，项目验收前发放50%，验收通过后发放50%。
2. In coordinating the indirect costs, the Supporting Institution shall handle the relationship between reasonable apportionment of indirect costs and the incentive expenditure for scientific personnel. The arrangement of performance expenditure shall be linked to the actual contribution of scientific personnel in the project, without any proportional limit, with 50% paid before the acceptance of the project and the remaining 50% paid after the acceptance.
3.项目由多个单位承担的，间接费用在总额范围由项目牵头单位与参与单位协商分配。
3. Where there are more than one project undertakers, indirect costs shall be allocated within the total amount by the Project Principal in consultation with the participating units.
第二十二条省基金项目实行经费“包干制”，不再编制项目预算。项目负责人在承诺遵守科研伦理道德和作风学风诚信要求、经费全部用于与本项目研究工作相关支出的基础上，自主决定项目经费使用。依托单位应当对项目经费支出情况进行认真审核，在项目结题时应当在单位内部公开省基金项目经费决算表，接受广大科研人员监督。
Article 22 The Natural Science Fund Projects shall adopt a “lump-sum” funding system, and no project budget is prepared. The Project Principal shall decide on the use of the project funds based on his commitment to comply with the ethical and moral requirements concerning scientific researches and the integrity requirement of the academic style, and that the funds shall be used entirely for expenses related to the research work of the project. The Supporting Institution shall carefully review the expenditure of the project funds, and shall disclose the final statements of the Natural Science Fund Projects internally when the project is completed, to accept the supervision of the research personnel involved.
第二十三条 省基金项目实施期满后，项目负责人会同科研、财务、资产等管理部门及时清理账目与资产，如实编制省基金项目经费决算表，经依托单位财务部门审核并盖财务专用章，在省基金项目验收时予以确认。
Article 23 After the expiration of the implementation period of the Natural Science Fund Projects, the Project Principal together with scientific research, finance, assets and other departments shall clear the accounts and assets in a timely manner, prepare the final statement of the funds for Natural Science Fund Projects, the financial department of the Supporting Institution shall review the final statement, stamp it with the financial seal, and confirm it when the Natural Science Fund Project is accepted.
有2个以上单位共同完成涉及经费分配的省基金项目，各单位应当分别编制经费决算表，经所在单位财务部门审核并签署意见后，交项目负责人汇总编制省基金项目经费决算表。
If more than 2 organizations jointly complete the Natural Science Fund Project involving the allocation of funds, each such organization shall prepare the final statement of funds separately, which after being examined and signed by the financial department of the organizations, shall be submitted to the Project Principal to compile the final statement of funds for the Natural Science Fund Projects.
第五章 实施与管理
Chapter V Implementation and Management
第二十四条省基金项目执行期一般不超过三年。依托单位在省基金项目验收前向省科技厅呈交科技报告。无正当理由未呈交的，省科技厅对省基金项目实施情况进行重点检查，视检查结果情况可强制终止省基金项目。
Article 24The implementation period of the Natural Science Fund Projects shall not exceed three years in general.The Supporting Institution shall submit a science and technology report to the Department of Science and Technology before the acceptance of the Natural Science Fund Projects.If no such report is submitted without good reason, the Department of Science and Technology may conduct an intensive inspection on the implementation of the Natural Science Fund Projects, and forcibly terminate the Natural Science Fund Projects depending on the inspection results.
第二十五条项目负责人应按照申请书内容开展研究工作，依托单位不得擅自变更项目负责人或者终止省基金项目。
Article 25The Project Principal shall carry out the research work in accordance with the content of the application, and the Supporting Institution shall not change the Project Principal or terminate the Natural Science Fund Projects without authorization.
（一）有下列情形之一确需变更项目负责人的，由原项目负责人提出申请，拟接任的项目负责人同意，经依托单位审核后，由依托单位书面报省科技厅批准。
(I) If there is a need to change the Project Principal under any of the following circumstances, the original Project Principal shall submit a relevant application which the proposed successor shall agree, and then the application shall be reviewed by the Supporting Institution and then submitted to the Department of Science and Technology for approval:
1.不再是依托单位科技人员。
1. The Project Principal ceases to be a scientific and technical personnel of the Supporting Institution.
2.不能继续开展研究工作。
2. The Project Principal cannot continue research work.
拟接任的项目负责人应为项目组原参与人员，且符合本办法第二章的要求。
The proposed successor of the Project Principal shall be a member of the project team and shall meet the requirements of Chapter II of these Measures.
（二）实施期间内，项目负责人在遵守科研人员限额规定及符合诚信要求的前提下可自主调整项目参与人员；在研究方向不变、不降低考核指标的前提下自主调整研究方案和技术路线。相关调整事项经依托单位审批，在项目验收中予以确认。
(II) During the implementation period, the Project Principal may independently adjust the project participants on the premise of complying with the regulations on the quota of scientific personnel and meeting the integrity requirements; or independently adjust the research program and technical route on the premise that the research direction remains unchanged and the assessment criteria are not lowered. The relevant adjustments shall be approved by the Supporting Institution and confirmed in the project acceptance process.
第二十六条 省基金项目形成的知识产权的归属、使用和转移，按照国家有关法律、法规和政策执行。
Article 26 The attribution, use and transfer of IP rights created for the Natural Science Fund Projects shall be determined in accordance with applicable laws, regulations and policies.
第二十七条 省基金项目取得的成果，包括论文、专著、样品等，应标注“海南省自然科学基金资助”（英文标注为 supported by Hainan Provincial Natural Science Foundation of China ）字样及项目批准号。未按规定标注的研究成果，验收时不予认可。
Article 27 The results obtained from the Natural Science Fund Projects, including papers, monographs, samples and other results, shall be marked with the words “supported by Hainan Provincial Natural Science Foundation of China” and the project approval number. Research results that are not marked as required will not be accepted at the time of acceptance.
第二十八条 省基金项目均要求验收，验收工作由省科技厅委托科技项目评审专业机构组织实施。
Article 28 The Natural Science Fund Projects shall be subject to the acceptance procedures, which will be implemented by professional organizations for the assessment of science and technology project entrusted by the Department of Science and Technology.
第二十九条项目依托单位应在规定的实施期限届满后3个月内，组织并审查项目负责人撰写的验收材料，对其真实性和完整性进行审核。需延期验收的，依托单位应于省基金项目实施期限届满前3个月内向省科技厅提交书面申请，经省科技厅批准后方可延期验收，但只能延期一次，时间最长不超过一年。
Article 29The Supporting Institution shall, within 3 months after the expiry of the prescribed implementation period, organize and review the acceptance materials written by the Project Principal and audit their authenticity and completeness.If the acceptance of the project needs to be extended, the Supporting Institution shall submit a written application to the Department of Science and Technology within 3 months before the expiry of the implementation period of the Natural Science Fund Projects, and the acceptance can only be extended once and for a maximum of one year with approval by the Department of Science and Technology.
第三十条省基金项目验收以任务书为依据，对省基金项目是否完成任务书规定的研究内容及考核指标等作出客观、实事求是的评价。
Article 30 The acceptance of the Natural Science Fund Projects shall be based on the Statement of Work, which will conduct an objective and factual assessment on whether the Natural Science Fund Projects have completed the research content and met the assessment criteria stipulated in the Statement of Work.
推行代表作评价制度。对项目和科研人员的评价，注重评价代表作的科学水平和学术贡献，让论文回归学术，避免唯论文、唯职称、唯学历、唯奖项倾向。
The Representative Works Assessment System shall be implemented. The assessment of projects and scientific researchers shall focus on the scientific level and academic contribution of representative works, return papers to academics, and avoid emphasizing papers, title, degrees and rewards only.
第三十一条 省基金项目验收可采取通讯评审或会议评审方式进行。验收专家组由3名及以上单数的相关领域技术专家、2名及以上财务专家组成。验收专家从专家库中抽取，并执行回避制度和轮换制度。
Article 31 The acceptance of Natural Science Fund Projects may be carried out by correspondence review or conference review.The acceptance expert group consists of 3 or more (odd-number) technical experts in the relevant fields and two or more financial experts. Acceptance experts shall be selected from a pool of experts under a recusal and rotation system.
验收专家组应认真审查验收材料，必要时可进行实地核查，核实或复测相关数据，独立、客观、公正地形成验收意见。
The acceptance expert group shall carefully examine the acceptance materials, conduct field validation if necessary, verify or retest relevant data, and give acceptance opinions independently, objectively and impartially.
第三十二条 验收意见结论分为“通过验收”“不通过验收”。
Article 32 The acceptance opinion may be “accepted” and “rejected”.
第三十三条 完成或基本完成项目任务书确定的任务和考核指标，经费使用合理的省基金项目，验收结论为“通过验收”。
Article 33 The Natural Science Fund Projects which have completed or basically completed the tasks, met the assessment criteria specified in the Statement of Work, and used the funds reasonably, will be “accepted”.
第三十四条 验收项目存在下列情况之一的，不予通过验收：
Article 34 The project will be rejected in any one of the following circumstances:
（一）完成项目任务书约定的任务不足80％。
(I) Only less than 80% of the tasks agreed in the Statement of Work are completed.
（二）提供的主要验收文件、资料、数据存在严重缺失或弄虚作假的。
(II) The main acceptance documents, information or data provided are seriously missing or falsified.
（三）未按要求报批重大事项调整的。
(III) Major adjustments are not reported as required.
（四）资金使用管理中，存在未对财政专项资金进行单独核算，截留、挤占、挪用财政专项资金，违反规定转拨、转移财政专项资金等情况的。
(IV) In the use and management of funds, the funds are not accounted indecently, but falsified, embezzled and misappropriated, or transferred or diverted in violation of applicable regulations.
（五）不配合验收工作的。
(V) No adequate support is provided for the acceptance process.
第三十五条 因不可抗拒力或政策性因素导致省基金项目难以继续实施或不能完成项目任务书考核指标的，项目依托单位应及时向省科技厅报告，申请省基金项目终止，经省科技厅审核同意后，可终止该项目。
Article 35Where the Natural Science Fund Projects have difficulties or fail to complete the works specified in the Statement of Work due to force majeure or policy factor, the Supporting Institution shall promptly report to the Department of Science and Technology, apply for the termination of the Natural Science Fund Projects, and terminate the Natural Science Fund Projects with the approval of the Department of Science and Technology.
第三十六条 省基金项目凡有下列情况之一的，省科技厅可执行“强制终止”。
Article 36 The Department of Science and Technology may execute “mandatory termination” of Natural Science Fund Projects in any one of the circumstances:
（一）省基金项目实施过程中出现严重的法律纠纷导致项目无法继续实施的。
(I) The Natural Science Fund Projects cannot be implemented due to serious legal disputes arising during the implementation of the Natural Science Fund Projects.
（二）省基金项目组织管理不力，完成项目任务所需的资金、人员等支撑条件等未落实或发生重大问题导致项目无法进行的。
(II) The Natural Science Fund Projects cannot be implemented because poor project organization and management results in the shortage of funds and supporting conditions required to complete the project tasks, or the occurrence of major problems.
（三）经核实项目依托单位已停止科研活动或注销的。
(III) The Supporting Institution has ceased its scientific research activities or has been wound up.
（四）项目依托单位或负责人在省基金项目实施过程中出现严重科研不端及严重违规违法等行为，导致省基金项目实施无法进行或面临重大风险的。
(IV) The Natural Science Fund Projects cannot be implemented or face significant risks due to Serious misconduct and material violations of laws and regulations during the implementation of the Natural Science Fund Projects by the Supporting Institution or the Project Principal.
第三十七条 受委托科技项目评审专业机构完成验收后，在省科技厅门户网站公示5个工作日后，提交相关验收材料至省科技厅，省科技厅对无异议项目下达验收结果的批复文件。
Article 37 Upon the acceptance by the entrusted professional institutions for the assessment of scientific and technological projects, the results shall be disclosed on the home page of the Department of Science and Technology for 5 working days, and relevant documents and data shall be submitted to the Department of Science and Technology which will issue an acceptance approval if no objection is raised during the public disclosure period.
（一）在公示期内，项目依托单位对验收结论意见为“不通过验收”的项目，可提出二次验收申请，并在公示期届满后三个月内针对存在的问题作出改进或材料补充，提交二次验收的相关材料。
(I) During the public disclosure period, the Supporting Institution may apply for a second acceptance for projects that were “rejected”, and make rectifications or add materials to address the problems and submit relevant materials for the second acceptance within three months after the expiration of the public disclosure period.
（二）在公示期内，项目依托单位未提出再次验收申请或未按时提交再次验收材料，按“不通过验收”结果处理。
(II) If the Supporting Institution does not apply for a second acceptance or does not submit materials for the second acceptance on time during the public disclosure period, the projects shall be “rejected”.
（三）二次验收的结果为项目最终验收结论，不再进行公示。
(III) The results of the second acceptance shall be final and no public disclosure is required.
（四）已获得批准的延期项目，不能提出二次验收申请。
(IV) No application for a second acceptance shall be made for a project that has been approved for extension.
第三十八条 “通过验收”的省基金项目，结余经费由依托单位统筹安排用于科研活动的直接支出，优先考虑原项目团队科研需求，并加强结余资金管理，健全结余资金盘活机制，加快资金使用进度。
Article 38For Natural Science Fund Projects that are “accepted”, the remaining funds shall be arranged by the Supporting Institution for direct expenditure on scientific research activities, and priority shall be given to meet the scientific research needs of the original project team. Great efforts shall be made to enhance the management of the remaining funds, improve the mechanism for revitalizing the remaining funds, and accelerate the use progress of the funds.
第三十九条“终止”“强制终止”和“不通过验收”的省基金项目，结余财政经费经清算后由省科技厅督促收回，上缴省财政。
Article 39 For Natural Science Fund Projects that are “terminated”, “forcibly terminated” or “rejected”, the remaining funds after clearing shall be collected by Department of Science and Technology and then turned over to the Department of Finance of Hainan Province.
第六章 监督检查
Chapter VI Monitoring and Inspection
第四十条 省科技厅、省财政厅和依托单位管理部门根据职责和分工，各司其职。在日常监督检查过程中应加强信息共享，避免交叉重复。
Article 40The Department of Science and Technology, the Department of Finance and the Supporting Institutions shall have their own duties according to their responsibilities and division of labor.Information sharing shall be enhanced in the daily supervision and inspection course to avoid repetition of such information.
第四十一条 依托单位应当按照本办法完善内部控制和监督制约机制，加强支撑服务条件建设，提高科研人员的服务水平，建立常态化的自查自纠机制，接受省科技、财政、审计等部门的检查与监督，配合并提供有关资料，保障项目顺利实施。
Article 41The Supporting Institution shall improve its internal control, supervision and constraint mechanism in accordance with these Measures, strengthen the construction of supporting service conditions, improve the service level of scientific researchers, establish a regular self-examination and self-correction mechanism, accept and cooperate the inspection and supervision of the science and technology, finance and audit departments, provide relevant information, and guarantee the smooth implementation of the project.
第四十二条“强制终止”和“不通过验收”的项目负责人，自下达验收结果起三年内不能作为项目负责人申请各类省科技专项项目。
Article 42The principal of any “forcibly terminated” and “rejected” project shall not apply to be the Project Principal of Natural Science Fund Projects within three years after the issuance of the rejection results.
无正当理由、未经审批同意而逾期不提交验收申请的项目，按照验收不通过处理，取消项目负责人五年内申请省财政科技专项项目资格。
If no application for acceptance is made for a project without good reasons or prior approval, the project shall be deemed as “rejected” and the principal of the project shall be disqualified from applying to be the Project Principal of Natural Science Fund Projects within five years.
第四十三条依托单位或项目负责人在省基金项目申报、经费使用、验收、监督检查等环节存在违规行为的，项目负责人有剽窃他人科学研究成果或者在科学研究中有弄虚作假等行为的，应当严肃处理。省科技厅视情况轻重采取约谈、通报批评、暂停项目拨款、强制终止项目执行、追回已拨资金、阶段性或永久取消申报资格等措施，并将有关结果向社会公开。
Article 43The Supporting Institution or the Project Principal of the Natural Science Fund Projects that commit a violation during the application, use of funds, acceptance, supervision, inspection and other processes related the project, or the Project Principal plagiarizing the scientific research results of others or having falsification or other illegal acts by Project Principal during scientific researches, shall be punished seriously.Depending on the severity, the Department of Science and Technology will take measures such as interview, informed criticism, suspension of project funding, mandatory termination, recovery of allocated funds, phased or permanent disqualification from filing, and disclose the relevant results to the public.
第四十四条经本办法第四十三条规定作出正式处理，存在违规违纪和违法且造成严重后果或恶劣影响的责任主体，记入科研诚信严重失信行为记录，涉嫌犯罪的，移送司法机关处理。
Article 44After the measures are taken as per the Article 43 of these Measures, the responsible subject committing violations and illegal acts and causing serious consequences or bad influences, shall be included in the list of entitles/individuals with serious breaches of scientific research integrity, and if suspected of crimes, be transferred to judicial organs.
第四十五条省基金项目和经费管理实行责任倒查和追究制度。对有违规行为的咨询评审专家，予以责令限期改正、阶段性或永久性取消咨询评审和申报参与项目资格等处理；对有违规行为的服务机构予以约谈、责令限期整改、解除委托协议、阶段性或永久性取消项目管理资格等处理，对有违规行为的服务机构工作人员依法依规追究相关责任；省科技厅及其相关工作人员在评审立项、资金分配等环节，存在违反规定安排项目或其他滥用职权、玩忽职守、徇私舞弊等违法违纪行为的，按照《公务员法》有关规定追究相关人员的责任。处理结果可进行通报或公布，并纳入科研失信行为记录。涉嫌违法、违纪的，移交司法机关和纪检监察部门。
Article 45The management of the Natural Science Fund Projects and relevant funds shall be subject to a system of retroactive investigation for accountability.The consultant and assessment experts who committing violations, shall be required to make corrections within a limited period, and disqualified from providing consultation and assessment or management services for any projects in stages or permanently. Service providers committing violations shall be questioned, required to make corrections within a limited period or to terminate the service agreement, or disqualified from project management in stages or permanently, and the staff of the service providers committing violations shall be held liable as per applicable laws and regulations. In case of any violation (such as abuse of power, neglect of duty, playing favoritism and committing irregularities, or other illegal acts) by the Department of Science and Technology and its staff in the review and initiation of projects, the allocations of the funds and other links, the responsible person shall be held liable according to the Civil Service Law. The results may be disclosed, and included in the record of dishonest acts in scientific researches. Those suspected of violating the laws or disciplines will be transferred to the judicial organs and discipline inspection and supervision departments.
第四十六条建立尽职免责机制。建立科技、财政、审计、纪检监察等定期沟通制度，健全鼓励创新、宽容失败的科技改革创新容错机制。在科研项目实施中，依托单位和项目负责人已勤勉尽责，但因技术路线选择失误或其他不可预见原因，导致难以完成科研项目预定目标的，由依托单位和项目负责人报告说明情况，经专家评议认为符合客观实际，依托单位和项目负责人予以免责，不影响科研人员的职称评定、职务晋升和提拔使用。
Article 46A mechanism shall be established to ensure no one who has fulfilled their duties is held liable.A regular communication system shall be established among science and technology, finance, audit and discipline, inspection and supervision departments, to improve the fault-tolerant mechanism of science and technology reform and innovation that encourages innovation and tolerates failure. If the Supporting Institution and the Project Principal have fulfilled their duties during the implementation of a scientific research project, but fail to achieve intended objectives of the scientific research projects due to mistakes in the choice of the technical routes or other unforeseen reasons, the Supporting Institution and the Project Principal shall not be held liable if they report on the situation which is assessed as objective reality by the experts, and such failure shall not affect the professional title appraisal and promotion of scientific researchers.
第七章 附则
Chapter VII Supplementary Provisions
第四十七条 本办法由省科技厅负责解释。
Article 47 These Measures shall be interpreted by the Department of Science and Technology of Hainan Province.
第四十八条 法律、法规及政策另有规定的，从其规定。
Article 48 If there are otherwise provisions in laws, regulations and policies, those provisions shall prevail.
第四十九条 本办法自2021年11月19日起施行，有效期3年。原《海南省自然科学基金项目和经费管理办法》（琼科规〔2020〕10号）同时废止。
Article 49 These Measures shall remain into force for three years from November 19, 2021. The former Measures for the Administration of Natural Science Foundation Projects and Relevant Funds of Hainan Province (Qiong Ke Gui [2020] No. 10) shall be annulled simultaneously.
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