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Regulations

Regulation of Grant Projects of China CDM Fund

Chapter 1 General Rules

Article 1 In order to standardize the management of projects supported by grants (the “grant projects”) of China CDM Fund (the “CDM Fund” or “Fund”), this Regulation of Grant Projects of China CDM Fund is formulated on the basis of Regulation of China CDM Fund, to improve the cost effectivenss of the funds of grants (the “grants”).

Article 2 The management of grant projects shall follow the principles of fairness, openness and impartiality.

Article 3 National Development and Reform Commission (NDRC) takes the lead in managing grant projects, with the specific work to be undertaken by Department of Climate Change of NDRC. The costs of the review, acceptance and other activities related to the grant projects will be included in the annual budget of the basic administration costs of the Management Centre.

Chapter 2 Application and Approval

Article 4 The grants will be used to support China’s efforts to address climate change:

(1)    policy research and academic activities related to addressing climate change;

(2)    international climate cooperation activities, including the evaluation of CDM projects;

(3)    activities to enhance the capacity of addressing climate change;

(4)     promotion of public awareness of climate change

(5)     other items serving the purpose of CDM Fund.

The grants shall not be used to conduct for-profit activities or pay for administrative and undertaking expenses.

Article 5 The Management Centre will put forward the proposal of the annual expenditure budget of grants of CDM Fund in accordance with the requirements of the acutal work to address climate change in China to NDRC and Ministry of Finance for their joint approval, after the proposal is reveiwed and agreed on by the Board of CDM Fund.

Article 6 NDRC will make suggestions on the important areas and orientations to give grants based on the work demands to address climate change.

Article 7 Grant applicants shall be institutions working on climate change in China with certain research or training capabilities. The applicants shall apply for the grants within the support scope of the current year.

Article 8 Grant applicants shall submit the project application, which mainly includes:

(1)    general information of the applicant;

(2)    background of the project;

(3)    objectives of the project;

(4)    main content and activities of the project;

(5)    main outputs of the project;

(6)    project implementation schedule;

(7)    the amount applied for, and budget layout;

(8)    other related items.

Article 9 The grant application shall be forwarded to NDRC through the relevant departments of the State Council or provincial departments of development and reform (the “project organization and application unit”).

Article 10 The Department of Climate Change of NDRC will organize a panel composed of 5 to 7 experts in the related fields to review the grant projects. The panel will examine the qualifications of the applicants, integrity of the application form, necessity and feasibility of the underlying projects, reasonableness of the applied amount and other related items, and provide review comments to submit to the Board of CDM Fund.

Article 11 The Board of CDM Fund will call a meeting to review the grant project by referring to the comments of the panel, and give opinions on the list of items and applied amount of the grant project to submit to NDRC for approval.

Article 12 The grant project will be managed by contract. The grant contract shall be executed by and between NDRC, the project organization and application unit, the Management Centre and the applicant. The contract shall explicitly provide for the rights and responsibilities and obligations of the parties thereto as well as penalties for breach of contract.

Chapter 3 Implementation and Supervision

Article 13 After the grant contract is signed, the applicant will become the implementing organization that is responsible for carrying out the grant project.

Article 14 The Management Centre will appropriate funds to the grant project implementing organization in accordance with the written instruction of the Department of Climate Change of NDRC.

Article 15 The Department of Climate Change of NDRC will supervise and inspect the implementation of the grant projects together with the project organization and application unit, and the Management Centre shall cooperate with them.

Article 16 The implementing organization shall carry out the project strictly in accordance with the grant contract, and accept supervision and inspection of NDRC, the project organization and application unit and the Management Centre.

Article 17 The payment, use and management of grants shall be implemented in accordance with relevant financial administration provisions and the grant contract.

Article 18 The implementing organization shall submit the project progress report as on June 30 to NDRC and the project organization and application unit by July 30, and submit the progress report of the year(including the financial report) by the following March 1 every year. NDRC will be responsible for reporting the implementation of the grant projects to the Board of CDM Fund.

Article 19 NDRC and Ministry of Finance will penalize the implementing organization for any illegal behavior in accordance with applicable laws, regulations and rules and the grant contract. If the implementing organization breaches the grant contract in carrying out the project, including failure to implement the various tasks on time or follow the relevant financial administration regulations or other material breach of contract, the Department of Climate Change of NDRC shall order the implementing organization to make corrections within a definite time. If the implementing organization fails to make such corrections or there are still serious problems after the corrections, the Department of Climate Change of NDRC shall suspend the payment of funds or terminate the grant project. If the grant project is terminated, the implementing organization shall return the part of the grant paid to it that hasn’t been used and the assets from the use of the grant to the Fund, and shall not apply for grants within 3 years.

Article 20 If the content of the grant project needs to be adjusted, the implementing organization shall report the adjusted items and relevant reasons to NDRC for approval. If NDRC thinks these are major adjustments, NDRC shall submit them to the Board of CDM Fund for review before NDRC makes any decision.

Article 21 The implementing organization shall complete the grant project within the stipulated time in the grant contract. If it is impossible to do so due to special causes, the implementing organization shall put forward a extension request in writing to NDRC three months before the deadline of the grant project for NDRC’s approval. The project can be extended only once and the term of the project shall not exceed a year, without changing the amount of grant. If the project still cannot be completed within the extended time, the project shall be terminated. 

Chapter 4 Acceptance and Result Management

Article 22 The implementing organization shall send a request for acceptance of the project to NDRC a month before the grant contract expires, and submit the full project results and accounting report to NDRC, the project organization and application unit and the Management Centre.

Article 23 NDRC will conduct the acceptance inspection of the grant project together with the project organization and application unit, and the Management Centre shall cooperate with them.

Article 24 The grant projects that meet the standards for acceptance will be concluded. Those that don’t meet the standards for acceptance shall be improved by the implementing organization within the set time. And if they still cannot meet the standards for acceptance by the end of such time, the implementing organization shall return the part of the grant paid to it that hasn’t been used and the assets from the use of the grant to the Fund, and shall not apply for grants within 3 years.

Article 25 The grant balance after the conclusion of the project shall be returned to the Fund.

Article 26 The results and relevant rights and interests generated in the grant project shall be owned by the state, and the intellectual property rights createdin the grant projects shall be implemented in accordance with applicable intellectual property laws and regulations and rules and normative documents.

Article 27 Where the grant projects involve state secrets, trade secrets and other confidential information, the relevant national laws and regulations shall apply.

Chapter 5 Supplementary Provision

Article 28 This Regulation shall go into effect on the date of its promulgation.  

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