XJTLU Policy on the Administration of Governmental Research Projects (西交利物浦大学纵向科研项目管理办法)
第一章总则
Chapter 1 General Rules
第一条 为进一步加强和规范纵向科研项目的管理，明确科研人员与科研管理人员的岗位职责，保障科研项目的实施质量，推动学校科研事业健康可持续发展，根据《国务院办公厅关于改革完善中央财政科研经费管理的若干意见》（国办发〔2021〕32 号），《教育部关于进一步加强高校科研项目管理的意见》（教技〔2012〕14 号），《省政府关于深化省级财政科研项目和资金管理改革的意见》（苏政发〔2015〕15 号），《省教育厅贯彻落实省委省政府关于深化科技体制机制改革推动高质量发展若干政策的实施细则》（苏教科〔2018〕9 号）等相关文件要求，结合我校实际，特制定本办法。
Article 1 This Policy aims to further strengthen and standardize the management of governmental research projects, define the responsibilities of researchers and research management staff, ensure the implementation quality of governmental research projects, and promote the sound and sustainable development of the University’s research. This Policy is articulated within Chinese national regulations and policies, and formulated by taking into account the actual situation of the University.
第二条 本办法所述纵向科研项目是指由西交利物浦大学承担或参与，从政府项目主管部门获得的各类计划、基金项目等。
Article 2 The governmental research projects specified herein refer to research projects undertaken or participated in under the auspices of Xi’an Jiaotong-Liverpool University (hereinafter referred to as ‘XJTLU’) and funded by government authorities.
第三条 科研管理办公室是全校纵向科研项目管理的归口部门，负责管理和监督全校纵向科研项目。科研管理办公室与党委、校相关职能部门、各院系协同合作、各负其责，保障科研活动的顺利开展。
Article 3 The Research Management Office (hereinafter referred to as ‘RMO’) is responsible for the management and supervision of governmental research projects of XJTLU. RMO cooperates with the Party Committee of the University, relevant functional units, Academies and Schools and Academic Departments to jointly support the implementation of governmental research projects.
第四条 科研管理办公室依托科研管理系统（Research Administration System）开展纵向科研项目管理工作，实现项目管理全过程的动态监管。科研管理系统为开展纵向科研项目进展情况追踪、统计、报告等提供系统支持。
Article 4 RMO carries out the management and dynamic monitoring of governmental research projects through the Research Administration System, which provides support for the progress tracking, and generation of statistics and report for governmental research projects.
第二章管理体制与职责
Chapter 2 Roles and Responsibilities
第五条 科研管理办公室负责纵向科研项目的申报指导、联合申报、项目变更、项目验收、监督检查等全过程管理及制定相关的科研管理政策和规定。主要职责包括：
Article 5 The Research Management Office is responsible for the whole process management of governmental research projects, including the provision of application guidance and support, facilitation of research collaboration, evaluation of project progress and outcomes, conducting of supervision and inspection, and development of research administration regulations and policies. The main responsibilities are as follows:
（一）推进纵向科研项目信息化、档案化、规范化管理。依托学校现有的科研管理相关系统，建 立涵盖科研项目、科研人员、科研经费、科研成果等的信息库。做好纵向科研项目档案管理工作， 确保项目档案的完整性、准确性和系统性。按项目主管部门要求填报科研统计材料，做好纵向科 研项目科研成果的跟踪管理；
(I) RMO shall promote the digitization of research data and process, the archiving of research data, and the standardization of research project management for governmental research projects, establish an information library that provides a comprehensive resource for research-related information, including details on research projects, researchers, research funding, and research outputs, etc., manage the archiving of projects materials and ensure the completeness and accuracy of archived materials, and provide statistics and reports as required by funding bodies and track the research outputs resulting from governmental research projects;
（二）建立常态化的监督检查机制。做好纵向科研项目材料的真实性、合规性、合理性、相关性、完整性、有效性等综合审查工作，为纵向科研项目的科研诚信和科研伦理工作提供支持，建立和 管理“西交利物浦大学科研诚信档案”；
(II) RMO shall establish standardized monitoring and evaluation for governmental research projects, conduct a comprehensive review of the project materials to ensure authenticity, compliance, rationality, relevance, completeness, and validity, and support the work related to the research integrity and research ethics, as well as maintain the ‘XJTLU Research Integrity Records’, a database to record any misconduct in research;
（三）严格纵向科研项目联合申报的审核把关。结合项目研究任务目标的需要，对纵向科研项目合作真实性、可行性和合规性进行审核，对合作单位的资质、业务相关性等进行审核把关。
(III) RMO shall strictly review and monitor the joint application of governmental research projects, and based on the research objectives and needs of the project, conduct a review of the authenticity, feasibility, and compliance of research project collaborations, and review the qualifications and relevance of collaborative institutions.
第六条 财务办公室负责审核纵向科研项目经费支出票据的真实性、合规性，指导项目负责人规范使用项目经费，配合纵向科研项目的内部、外部审计工作。
Article 6 The Finance Office is responsible for reviewing the authenticity and compliance of invoices arising from expenditures of governmental research projects, providing guidance for the use of funds, and supporting internal and external audits for these projects.
第七条 内审部门主要负责纵向科研项目的项目立项、项目执行、项目经费使用的内部审计工作。
Article 7 The Internal Auditor Team of the Planning and Governance Office is responsible for supporting internal audits regarding the setting up, implementation and use of funds for governmental research projects.
第八条 各学院协助科研管理办公室做好本学院纵向科研项目的管理工作，具体职责包括：
Article 8 The University Academies and Schools shall assist RMO in the management of respective governmental research projects. The specific responsibilities include:
（一）积极动员科研人员申报各类纵向科研项目，做好本学院纵向科研项目的综合性审查工作；
(I) The Academies and Schools shall actively mobilize researchers to apply for governmental research projects and conduct comprehensive review of these research projects;
（二）根据学科特点和项目实际需要，合理配置院系资源，为科研项目执行提供条件保障，配合科研管理办公室做好科研统计等相关工作。
(II) The Academies and Schools shall allocate internal research resources reasonably as per specific disciplinary characteristics and actual research demands, provide support for project implementation, and cooperate with RMO for research statistics related work.
第九条 项目负责人为纵向科研项目的直接责任人，原则上限为 1 人。主要职责包括：
Article 9 The Principal Investigator (hereinafter referred to as ‘PI’, limited to maximum of one person to each project in principle) has primary responsibility for the success of governmental research projects. The main responsibilities include:
（一）全面负责其承担项目的申报、实施、经费使用以及项目验收等具体环节与过程，确保项目研究的科学性和合理性，经费使用的真实性和合规性，以及科研成果的相关性和规范性，配合项目主管部门和科研管理办公室的监督和检查；
(I) The PI is responsible for managing the application, implementation, and assessment of the undertaken projects, as well as ensuring proper use of funds. The PI shall ensure that the research is conducted with scientific rigor and rationality, that expenditures are authentic and compliant, and that research outputs are relevant and normalized. Additionally, the PI is expected to cooperate with funding bodies and RMO by accepting the supervision and inspection;
（二）按时、按质、按要求提交各阶段材料，配合科研管理办公室及时完善校内科研管理相关系统的信息；
(II) The PI is required to submit project materials at different stages as per the specified timelines, quality standards, and requirements. Additionally, the PI shall cooperate with the RMO to ensure prompt fulfillment and updating of files in research-related systems;
（三）主动申明与项目合作方的关系，对项目合作的真实性、可行性、合规性负责。严禁虚假合作，或利用科研项目为参与科研项目的个人及与其有直接利益关系的人员谋取利益；
(III) The PI is required to disclose any relationships with collaborative institutions and ensure the authenticity, feasibility, and compliance of research collaborations. The conducting of false collaborations or accruing benefits for individuals with conflicts of interest are strictly prohibited;
（四）遵守科研伦理准则，加强科研伦理知识学习。纵向科研项目研究涉及人和动物的，应严格执行国家法律法规及校内《西交利物浦大学科研伦理管理办法》（《XJTLU Policy on Ethical Conduct in Research》）等规章制度；
(IV) The PI shall abide by the ethical principles of research activities and strengthen the learning of research ethics knowledge. For governmental research projects involving humans and animals, these shall be in strict compliance with external and internal regulations and policies, e.g. <XJTLU Policy on Ethical Conduct in Research>;
（五）践行科研诚信要求，恪守科研活动规范。纵向科研项目相关科研活动应符合国家法律法规及校内《西交利物浦大学科研诚信管理办法》等规章制度。
(V) The PI shall adhere to the requirements of research integrity and abide by the norms of research activities. The research activities related to governmental research projects should comply with external and internal regulations and policies, e.g. <XJTLU Policy on Research Integrity>.
第三章项目申报与立项
Chapter 3 Project Application and Setting Up
第十条 学校鼓励和支持科研人员积极申报各级各类纵向科研项目，申报的项目内容须符合项目主管部门的资助范围和要求，相关科研活动应符合国家安全规定及相关法律法规。
Article 10 Researchers are encouraged and supported by the University to apply for governmental research projects at all levels. The research content shall align with the scopes and requirements of funding bodies, and all research activities shall adhere to national security laws, regulations, and policies.
第十一条 科研管理办公室负责完善和规范项目推荐、项目申报的流程和制度，做好全校申报材料的指导、审查和报送工作。
Article 11 RMO is responsible for establishing procedures for project recommendations and applications, and for providing guidance, review, and submission support for all application materials.
（一）科研管理办公室根据项目主管部门发布的各级各类纵向科研项目申报通知、指南及其它相关信息，及时发布校内纵向科研项目申报通知，安排全校的申报工作时间节点等相关事宜，负责全校纵向科研项目申报的组织动员，必要时组织召开申报动员会、分享会或培训会；
(I) RMO shall promptly call for applications of governmental research projects and arrange application timelines in accordance with announcements, guidelines, and other information published by funding bodies. If necessary, RMO shall organize funding application workshops, experience sharing workshops, or training sessions;
（二）对于无申报限额的纵向科研项目，符合条件的科研人员可通过科研管理办公室进行申报； 对于有申报限额的纵向科研项目，科研管理办公室按照项目主管部门要求及学校相关流程，组织专家遴选，按照公平、公正的原则组织申报。
(II) For governmental research projects with no quota limitation, any eligible researcher may apply for such project through RMO; for projects with quota limitation, RMO will organize experts to select qualified projects in a fair and impartial manner according to requirements of funding bodies and the University.
第十二条 纵向科研项目的项目申请人原则上应为我校的全职学术员工，具有承担和完成项目的科研水平、执行能力、组织协调能力和其他相关条件，并保证投入项目工作的时间足够。
Article 12 In principle, the applicant of governmental research projects shall be a full-time academic staff member of the University, who possesses the ability to conduct research and implement research projects, as well as the skill of organization and coordination, and other qualifications to undertake and complete research projects. The applicant shall ensure sufficient time for research project work.
第十三条 我校科研人员与校外单位联合申报的纵向科研项目，应按要求签订规范性合作文本，项目申报材料提交前须经科研管理办公室审核。
Article 13 For governmental research projects that are jointly applied for by XJTLU researchers and an external collaborative institution, a collaborative agreement shall be signed, and the application materials shall be reviewed by RMO before submission to the funding body.
第十四条 有自筹经费或其他经费来源的纵向科研项目，项目申请人须提供自筹经费或其他经费有效来源证明，经科研管理办公室牵头校相关职能部门、院系核查后予以上报。
Article 14 For governmental research projects with self-funding or other sources of funding, the applicant shall provide valid proof of self-funding or other sources of funding, which will be verified by RMO, other relevant functional units, Academies and Schools and Academic Departments.
第十五条 项目申请人应仔细阅读纵向科研项目的申报指南及相关文件要求，认真选题，按时、按质向科研管理办公室提交申报材料，对项目材料的完整性、真实性、学术性、思想政治性负责。对于已提交的处于受理、评审期的申报材料，项目申请人不得将相同或相近的研究内容向其他项目主管部门提交进行重复申报。
Article 15 The applicant is responsible for carefully selecting a research topic by checking the application guidelines and requirements in full, submitting application materials to RMO within the required time and quality, and ensuring the completeness, authenticity, and academic and political impacts of project materials. The applicant shall not submit the same or similar research content to any other funding bodies while the application materials are under review or have been accepted.
凡申报材料不实、不按要求申报的纵向科研项目，科研管理办公室视情况不予上报或推荐。对于非科研管理办公室集中组织申报的纵向科研项目，项目申请人须依照项目主管部门申报要求，提前将申报材料提交至科研管理办公室，申报材料完成校内审核后，方可予以上报或推荐。
Research projects that include inaccurate research content or fail to meet requirements will not receive approval from RMO or be recommended as appropriate. For governmental research projects that are not centrally organized by RMO, the applicant shall submit the application materials to RMO in advance, in accordance with the requirements of the funding body. The application materials can only be submitted to the funding body after the internal review is completed.
第十六条 纵向科研项目批准立项后，由科研管理办公室通知项目申请人立项结果。项目申请人根据项目立项通知、项目主管部门要求及学校管理规定，按要求完成合同/计划书/任务书/预算书等规范性文件（以下统称“合同”）的签订，经校内审核后上报项目主管部门。无正当理由，逾期未签订合同者，科研管理办公室视情况进行处理。
Article 16 RMO shall inform the applicant of the funding results. The applicant shall sign the project contract, research plan, assignment statement, and budget statement (hereinafter referred to as “contract”) as specified in accordance with the approval notification and requirements of the funding body and the University. The contract will be submitted to the funding body after the internal review. Failure of the applicant to sign the contract within the required time without any valid or reasonable justification will be dealt with appropriately by RMO.
第四章 过程管理
Chapter 4 Management of Project Implementation
第十七条 纵向科研项目应严格按照合同约定执行，项目负责人和项目组成员按分工完成科研任务。项目负责人全面负责项目的研究工作、经费使用、人员协调、成果产出等。如因特殊原因影响项 目执行进度的，项目负责人应及时向科研管理办公室说明理由，由科研管理办公室上报相应项目 主管部门处理。
Article 17 The governmental research project shall be carried out in strict compliance with the contract, and the PI and team member(s) shall perform research tasks as per the appropriate division. The PI shall be fully responsible for the research progress, use of funds, personnel coordination, and research outputs. In case the project progress is affected as a result of any circumstances, the PI shall promptly report the case to RMO, and RMO will report to the corresponding funding body for handling.
第十八条 项目主管部门对纵向科研项目的过程管理有规定的，按照相关规定执行；没有具体规定的，科研管理办公室根据纵向科研项目的实施周期和资助额度，视情况开展项目年度执行情况检查或项目中期检查。
Article 18 The successful completion of governmental research projects depends on strict adherence to regulations and policies of funding bodies. If there is no such regulation or policy, RMO shall conduct the annual progress inspection or midterm assessment as appropriate based on the project duration and funding amount.
如项目未严格按照合同约定执行且无正当理由，科研管理办公室依照项目主管部门要求视情况对项目进行处理；如对学校造成严重损失或不良影响的，将追究有关责任人的责任，并严肃处理。
If the progress of any project is not in accordance with the contract without valid justification, RMO will handle the project in accordance with requirements of the funding body as appropriate; if the situation results in severe or adverse impacts on the University, the PI shall bear relevant responsibilities.
第十九条 纵向科研项目合同一经批复应认真履行，如因项目研究需要确需进行相应变更的，须按相应要求向科研管理办公室提出申请。项目负责人一般不得变更，项目组成员变更、项目承担单位变更、主要研究内容调整、项目研究目标调整等重大变更事项，项目负责人应及时以书面报告的形式提出，经科研管理办公室审核后，报相应项目主管部门审批。
Article 19 The contract of governmental research project shall be fulfilled upon approval. In the event that a project requires amendments due to research demands, the PI shall submit an amendment application to RMO as specified. The PI shall not be changed in general, but for major amendments such as amendments of team member(s), host institution, main research content, or research objectives, the PI shall submit an application of such amendment promptly. The application shall be submitted to the corresponding funding body for approval after internal review.
第二十条 对于因项目研究需要确需延期结题的纵向科研项目，项目负责人按照项目主管部门要求进行申请。如无相应规定，允许延期一次，期限不超过一年，项目负责人须在项目执行期结束前6 个月提出申请，报科研管理办公室审批。
Article 20 For the governmental research project that needs to be extended due to research demands, an application shall be submitted in accordance with requirements of the funding body. If there are no corresponding requirements, generally one extension is permitted, with a duration that is less than one year. The PI shall submit an application to RMO for approval six months before the completion of contract duration.
第二十一条 纵向科研项目所取得的科研成果(包括论文、专著、专利、软件等)，应正确标注项目资助来源和项目编号，并符合国家法律法规及校内知识产权相关规章制度。
Article 21 The research outputs (including papers, books, patents, software, etc.) obtained from governmental research projects should properly acknowledge the project with the source of funding and project number, and conform to external and internal regulations and policies.
第二十二条 项目负责人须严格按照项目合同使用经费，纵向科研项目经费的使用和管理依照项目主管部门相关规定及校内《西交利物浦大学纵向科研项目经费管理办法》等规章制度。
Article 22 The PI shall strictly use funds in accordance with the contract of governmental research projects. The use and management of funds shall follow external and internal regulations and policies, e.g. < XJTLU Administrative Policy on Governmental Funding for Research Projects>.
第二十三条 如项目负责人离职，须做好纵向科研项目的后续安排工作。项目负责人非正常脱离学校工作岗位的，其纵向科研项目经费暂时冻结，由科研管理办公室、学院协调项目的后续安排。
Article 23 If a PI’s employment terminates, the PI shall make follow-up arrangements for related governmental research projects. Should the PI be off duty without the permission of the University, the budget of related governmental research projects shall be temporarily frozen, RMO, Academies and Schools shall coordinate the subsequent arrangements.
第五章结题验收
Chapter 5 Management of Project Assessment
第二十四条 纵向科研项目按合同完成后，项目负责人应及时向科研管理办公室提交包含验收申请、项目合同、验收报告（研究报告/工作报告/技术报告）、审计报告或经费决算表、科研成果（含 论文、学生培养证明、专利、奖励、软件、数据库、模型、图纸资料、技术文件等）等在内的完 整项目验收材料，经校内审核后，报项目主管部门组织结题验收。如项目主管部门委托承担单位 自行开展结题验收工作，科研管理办公室按照项目主管部门要求组织专家评审，进行项目验收。
Article 24 Upon the completion of a governmental research project in accordance with the contract, the PI shall promptly submit project completion materials to RMO. These materials include the completion form, project contract, completion report (research report/work report/technical report), audit report or budget statement, and research outputs (including the papers, student training certificates, patents, awards, software, databases, models, drawings, and technical documents, etc.). After such materials are reviewed by the University, the project completion materials will be reported to the funding body for an assessment. Should the funding body authorize the host institution to conduct the completion assessment independently, RMO shall organize expert review in accordance with the requirements of the funding body for the completion assessment.
第二十五条 对于项目主管部门反馈的结题验收意见，科研管理办公室应及时反馈给项目负责人。对于通过结题验收的纵向科研项目，项目负责人有义务完成项目主管部门的成果追踪、统计报表等后续事务。对于未能通过结题验收的纵向科研项目，项目负责人承担相应责任。
Article 25 RMO shall promptly inform the PI of the completion assessment result. If the project passes the completion assessment successfully, the PI shall cooperate with the funding body for subsequent affairs, such as the tracking of research outputs and statistical reports. If the project fails to pass the completion assessment, the PI shall bear relevant responsibilities.
第二十六条 科研管理办公室及时将完整的项目档案存档，项目档案内容包含但不限于：项目申请书、立项批文、项目合同、年度执行情况报告和/或中期检查报告、规范性合作文本、结题验收报告及科研成果等。
Article 26 RMO shall promptly archive all materials of governmental research projects, which include, but are not limited to, the project application, approval document, project contract, annual progress report and/or midterm assessment report, collaborative agreement, completion report, research outputs, and other related documents.
第二十七条 纵向科研项目通过结题验收后，项目结余经费依照项目主管部门相关规定及校内《西交利物浦大学纵向科研项目经费管理办法》等规章制度进行管理。
Article 27 After the governmental research project passes the completion assessment successfully, the remaining funds shall be managed in accordance with external and internal regulations and policies, e.g. <XJTLU Administrative Policy on Governmental Funding for Research Projects>.
第六章附则
Chapter 6 Supplementary Articles
第二十八条 关于纵向科研项目的信息保密、信息管理、档案管理等，依照国家法律法规及校内规章制度执行。
Article 28 The information confidentiality, information management, and archiving management of governmental research projects shall follow external and internal regulations and policies.
第二十九条 本办法未作规定的，或内容与项目主管部门的项目管理办法有抵触的，以相应项目主管部门的管理办法为准。
Article 29 If there is no article specified in this Policy or any article conflicts with regulations and policies of funding bodies, the regulations and policies of the funding bodies shall take precedence.
第三十条 本办法由科研管理办公室负责解释。
Article 30 This Policy shall be interpreted by RMO.
(Last Review Date: 21 June 2023)