Ref: RCC/1011/3-08

English Version

Regulation on Research Project Mid-term Assessment

General Provisions

The  regulation  on  research  project  mid-term  assessment  is  applicable  for projects applied through the RDKTO 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 Content of the Mid-term Assessment

The content of mid-term assessment includes:

(1)  the progress of the research conducted;

(2)  the achievements gained to date;

(3)  the situation of the budget utilization.

Neither the project title nor the principal investigator could be changed without authorization. If any adjustment in research scope or key points needed, the principal investigator should report to the related academic unit for verification and the RDKTO for approval.

Article II The Procedure of Mid-term Assessment

1.      Generally the mid-term assessment will be conducted at the middle period of the research duration. The specific date for assessment will be set by RDKTO together with the related academic unit. The RDKTO shall inform the principal investigator of the mid-term assessment 20 work days in advance.

2.      The  mid-term  assessment  is  only  required  for  those  projects  with  the duration longer than 1 year.

3.      The principal investigator shall fill out the Mid-term Assessment Report and submit it along with the related materials of research outcome to RDKTO.

4.      The measure of the mid-term assessment could be:

(1)  The Panel rates the research progress according to the oral report of the research teams;

(2)  The Panel rates the research progress based on the application form, project undertaking form and mid-term assessment report;

(3)  Field survey by the Panel.

5.      The RDKTO will inform the principal investigator of the mid-term assessment result by email.

Article III Conclusions of mid-term review and related handling measures

There are three possible conclusions of mid-term review, i.e., “Continue Project”, “Revamp Project”, and “Cancel Project”.

For projects that are being implemented properly in accordance with the research plan, have achieved certain research results, may achieve appropriate research results as scheduled, and do not deviate from the research scope, the conclusion of mid-term review will be “Continue Project”.

If any of the following is true, the conclusion of mid-term review of the project (s) under review may be “Revamp Project” or “Cancel Project” depending on the actual circumstances:

(1)  The pre-determined research scope or research scheme proves unreasonable in practice;

(2)  The progress of the project (s) is far behind the original schedule, the specified research tasks may not be fulfilled for objective or subjective reasons, and no new solution is provided within the specified time;

(3)  The acceptance documents, materials and data provided are not true or incomplete;

(4)  The application for and research scope of the project (s) are altered without authorization;

(5)  Research work of the project (s) has not yet been initiated for whatever reason upon mid-term review of the project (s);

(6)  Use of the research funds is unreasonable; for instance, use of the research funds is seriously inconsistent with the budget.

For a project to be revamped, the research funds will be put on hold, and the Principal Investigator will be required to submit a revamp report within 30 days, which will be submitted to the RDKTO after being confirmed by the Subject Unit. Once the report is approved, the research funds will be released for use again. If the Principal Investigator fails to submit the revamp report within the specified time, or the report is not approved, the project will be cancelled.

For cancelled projects, use of their research funds will be stopped by the RDKTO, and no further application(s) for related kind of funds will be accepted during the next two years. In case of cancellation of vertical research projects, the divisions/ centers which assign the projects will be notified; and in case of cancellation of College Research Grant, related units and the Principal Investigators will be notified.

Chinese Version

科研项目中期检查办法

为促进学校科研工作的顺利进行，加强对科研课题研究及研究过程的科学 化、规范化管理，保证科研课题的研究进度和质量，特制订本办法。

本办法适用于政府职能部门下达的我校为依托单位的科研项目、委托研究项 目、横向研究项目，以及我校校内科研基金等项目。中期检查工作遵循公平、公 正、公开、科学、效益原则，合理安排，突出重点。

一、中期检查的内容

1、中期检查的具体检查内容包括：

（1）项目进展情况；

（2）项目已取得的阶段性成果情况；

（3）项目经费使用情况；

 2、各类承担实施的项目不得擅自更改课题名称和项目负责人。如需对课题研究范围和重点进行调整，应由项目负责人上报相关学部、中心、研究所审查，并上报科研处审核批准后方可进行调整。

二、中期检查的程序

1、中期检查一般在课题整个实施过程的中期进行，具体时间由学校科研处与各学科部门协同安排。科研处提前20个工作日发出中期检查通知。

2、中期检查的执行对象为项目执行期为1年以上的课题。

 3、项目负责人按通知要求填写《科研项目中期检查报告书》，并附上研究成果等相关材料提交至科研处。

4、中期检查的评估。评估的具体形式可以是：

（1）召开汇报会，现场听取课题组汇报；

（2）专家委员会依据《项目申请书》、《项目任务书》，结合《项目中期 检查报告书》核验具体研究进展及研究成果；

（3）到研究现场进行实地考察。

4、中期检查结果的发布。科研处通过邮件告知项目负责人。

三、中期检查结论及相关处理办法

中期检查的结论分为“继续进行”、“需要整改”和“撤销项目”。经检查，研究计划执行情况良好，已完成部分研究成果，相应成果能按期完成，研究内容无偏差的科研课题，中期检查结论为“继续进行”。

被检查课题存在下列情况之一者，视具体情况给予“需要整改”或“撤销项目”的结论：

（1）预定研究内容或研究方案经研究实践表明不合理；

（2）项目进展严重滞后于计划进度；客观或主观原因不可能完成预期 研究任务，且限期提不出新的解决方案；

（3）提供的验收文件、资料、数据不真实、不完整；

（4）擅自修改课题申请书及课题研究内容；

（5）项目中期检查时，无论何种原因，一直未开展研究工作。

（6）经费使用不合理，如与预算严重不符。

对于需要整改的项目，将暂停经费使用，并要求项目主持人在 30 天内提交整改报告，并经学科单位确认后提交到科研处。经审核后，恢复经费使用。在规定时间内未提出整改报告或整改报告未通过的，将作撤销项目处理。

对于被撤销的研究课题，科研处将终止经费使用，并在 2 年内不得申报 此类项目。撤销的纵向科研项目呈报项目下达部门，撤销的校内科研基金项 目通知相关单位和本人。

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