Ref: RCC/1011/3-10

English Version

Regulation on Project Completion Assessment

General Provisions

The regulation on research project completion assessment is applicable for projects applied through the Research Development and Knowledge Transfer Office of UIC which include:

(a)   Government research projects (i.e. project supported or entrusted by the foundations of the national/provincial/local government departments);

(b)  Entrusted  research  projects  (i.e.  projects  entrusted  by  or  cooperated  with social companies or institutes);

(c)   College Research Grant projects.

Article I The Basic Requirements of Project Completion Assessment

1.      For government research projects, the project completion assessment should be conducted according to the regulation and requirements set by the departments of the funding sources; for entrusted research projects, the project completion assessment should be conducted according to the contract.

2.      Usually the research objectives and main direction should not be changed.

Article II The Procedure of Project Completion Assessment

1.      The principal investigator shall propose the project completion assessment request to RDKTO one to three months after the due date of the project completion, and prepare for the assessment.

2.      Upon the notification of project completion assessment, the principal investigator shall submit the Project Completion Assessment Form to the related academic units for preliminary assessment.

3.      The principal investigator shall submit the Project Completion Assessment Form to RDKTO with academic unit’s comments and the related materials (e.g. original copy of research achievements, certificate of award, investigation report, etc.).

4.      The RDKTO will organize the Panel meeting for project completion assessment.

5.      The RDKTO notifies the principal investigators and the related academic units of the project completion assessment results.

Article III Settlement of Research Funds

Upon the project completion assessment, all expenses caused by the research and those unpaid costs should be settled up in three months. Any request of surplus funds for further study should be carried out with application and specific justification.

Article  IV  The  Application  and  Verification  for  Extension  of  Project  Completion Assessment

All the research projects are required to be concluded on schedule. If the extension of the date for conclusion is really needed due to special reasons, the principal investigator should apply for the extension three months ahead of the due date. The Research Coordinating Committee will verify and determine on this application. And for each project, the principal investigator could only apply for conclusion extension for one time, and the extension should be no longer than one year.

Article V Measures for Handling the Projects which Fail in Completion Assessment as Required

1.      For government research project that fails in completion assessment as required, it will be handled according to the related rules set by the funding sources; and for entrusted research project, it will be handled according to the contract.

2.      For the College Research Grant project that fails in completion assessment, the investigators will be allowed to improve the research and apply for assessment again in one year.

3.      For all projects that fail in project completion assessment, the balance of the funds will be frozen, and no further application(s) from the principal investigator for related kind of funds will be accepted during the next two years. For the Government research projects, the failure in completion assessment will be reported to the departments of the funding sources; and for College Research Grant projects, the related academic units will be notified accordingly.

Article VI Others

1.      The investigators should observe the academic moralities and standards. Any action of dishonesty, plagiarism or infringement of intellectual property will be investigated, and the principal investigator will assume the legal liability if it is true.

2.      For those projects with the research paper or book as research achievement, only the first author or corresponding author will be recognized, and each achievement could only be registered once. And the first author affiliation should be marked as “BNU- HKBU United International College”. For College Research Grant projects, the sponsorship should be acknowledged as “Supported by College Research Grant of BNU- HKBU United International College”.

3.      In cases of contradictions between the rules on project completion assessment stipulated by the departments of funding sources and United International College, the former will prevail.

Chinese Version

科研项目结题验收管理办法

  为了规范学校科研项目管理，通过结题与验收，总结评定研究成果，促进我校教师和研究人员按时保质完成科学研究与开发任务，提升学校的研究水平，特制定本办法。

  本办法适用于我校教师和研究人员承担的各级各类纵、横向科研项目以及校内科研基金项目）。科研项目结题与验收遵循客观公正、科学、效益的原则。

一、科研项目结题的基本要求

1、基金项目的结题与验收，按照项目管理的有关规定及下达项目时的要求执行。横向合作项目的结题与验收，按照双方签订合同有关规定执行。

2、科研项目一般不能改变立项申请书的研究目标和方向，不能降低立项的标准要求。

二、科研项目结题的申请、受理和评审

1、项目负责人及课题组一般应在研究计划到期后 1-3 个月内向科研处提出结题、验收或 成果鉴定申请，并做好相关准备工作。

2、项目负责人接到同意结题验收的通知后，撰写结题报告，经各相关学部、中心及研究 所对项目执行情况进行初步评议，并签署意见。

3、向科研处提交《科研项目结题验收报告书》、单位审核意见，及相关研究成果材料（成果的原件、获奖证书、总结与调研报告等）。

4、科研处组织专家对项目进行综合评审与验收。

5、科研处负责将结题情况通知项目负责人与相关单位。

三、科研经费的结算

  科研项目结题验收完成后，项目执行过程中产生的费用及其它暂未付款项，应于结题后三个月内全部结清。如需继续使用剩余经费，应向科研处提出申请与详细使用说明。

四、项目延期结题的申请和审核

  我校承担的所有项目必须按期结题，对于确因特殊情况需延期结题的项目，项目负责人应在规定结题时间前三个月向科研处提出申请，由校科研协调委员会审查同意后，方可延期结 题。延期结题只能申请一次，延长时间不得超过一年。

五、不能按要求结题项目的处理

1、纵向项目不能按要求结题的，按照项目下达部门的有关规定执行。横向合作项目不能按要求结题的，按照双方签订合同的有关规定执行。

2、未通过验收的校内科研基金项目，允许课程组继续改进，补充材料，在一年内重新申 请验收。

3、包括校内科研基金在内的各级各类项目到期未能结题或验收不合格的，学校将冻结其 结余经费，并规定项目负责人 2年不能申报此类项目。对于纵向项目，将上报项目主管部门。 对于校内基金项目，将通知相关学部、中心及研究所。

六、其他

1、课题组在应严格遵守学术道德和学术规范，对于弄虚作假，抄袭、剽窃他人成果或侵 犯他人知识产权的，一经查实将追究其责任。

2、论文、著作等作为项目结题的成果，不论合作者多少，只承认第一作者或通讯作者，且 每项成果只能使用（登记）一次。成果第一单位必须标注为“北京师范大学-香港浸会大学联合 国际学院”（英文：BNU-HKBU United International College），如果是校内基金资助项目，则 还须标注“北京师范大学-香港浸会大学联合国际学院校内科研基金资助（英文：Supported by College Research Grant of BNU-HKBU United International College）。

3、本办法有关内容如与各项目主管部门执行的管理办法有抵触，以项目主管部门的管理 办法为准。

北京师范大学-香港浸会大学联合国际学院

科研拓展及知识转移处