XJTLU Administrative Policy on Governmental Funding for Research Projects (西交利物浦大学纵向科研项目经费管理办法)

第一章 总 则
Chapter 1 General

第一条 为加强学校纵向科研项目经费管理，提高项目经费使用效益，更好地为科研工作服务，实现科研管理的科学化、程序化、规范化，根据《国务院关于进一步深化预算管理制度改革的意见》（国发〔2021〕5号），《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），《国家自然科学基金资助项目资金管理办法》（财教〔2021〕177号），《国家社会科学基金项目资金管理办法》（财教〔2021〕237号）等文件要求，结合我校实际，特制定本办法。

Article 1 This policy aims to enhance the University’s management of governmental funding for research projects, improve the efficiency of funds use, better support research activities, and maintain standardized procedures of research management. This policy is articulated within Chinese national regulations and formulated by taking into account the actual situation of the University.

第二条 纵向科研项目经费来源主要为中央或地方财政资金，具体项目归类在项目立项时予以认定。

Article 2 Governmental funding for research projects are mainly sourced from central or local government funds, and the category of the funding will be determined upon formal approval from the relevant governmental body.

第三条 项目经费管理的基本原则

Article 3 Basic principles for the management of governmental funding for research projects

（一） 学校建立健全科研经费管理体制，实行学校、项目负责人各负其责的管理模式。
(I) The University is to develop a comprehensive management system for research funding, with separate roles and responsibilities for the University and the Principal Investigator (PI).

（二） 科研项目经费按照预算执行，并严格遵从国家有关法律法规和学校相关制度的规定。
(II) Governmental funding for research projects shall be used based on the budget plan, and shall strictly follow the appropriate national laws and regulations, and the related policies of the University.

（三） 科研项目经费全部为学校收入，纳入学校财务统一管理、集中核算、专款专用。
(III) All governmental funding for research projects is part of the University’s income and shall be subject to centralized management and accounting, to ensure that the funds are used for designated purposes.

（四） 凡使用科研项目经费购置或形成的固定资产、无形资产，均属于学校资产，纳入学校资产统一管理。
(IV) All fixed or intangible assets purchased or developed with governmental funding for research projects belong to the University and shall be subject to centralized asset management.

第二章职责与权限
Chapter 2 Roles and Responsibilities

第四条 学校各有关部门分工负责、协调合作，共同做好经费管理的有关工作。

Article 4 Relevant offices of the University shall jointly work on the management of governmental funding for research projects.

科研管理办公室负责纵向项目申请、立项、变更、验收、监督等日常管理工作，并负责纵向项目相关文档的归档、保管、调阅和统计等工作。
The Research Management Office (RMO) is responsible for the management of governmental research projects, with functions including but not limited to project application, setting up, amendment, assessment, monitoring, as well as managing the archive, custody, access and statistics of project related information.

财务办公室负责纵向项目科研经费的入账、费用报销审批等财务管理和会计核算，指导项目负责人规范使用经费、审核项目决算，并负责项目相关固定资产的财务管理。
The Finance Office (FO) is responsible for the management of governmental funding for research projects, with functions including but not limited to income management, expense reimbursement review and approval. FO is also responsible for providing guidance on the use of funds, the review of final expenditure reports, and the management of fixed assets.

内审办公室主要负责纵向项目科研经费审计等相关工作。
The Planning and Governance Office is mainly responsible for the internal audit and auditing related tasks of the governmental funding for research project.

实验室与技术管理办公室和管理信息技术与系统办公室主要负责学校纵向项目科研仪器和设备的固定 资产登记、维护和管理工作。
The Laboratorial and Technical Management Office and Management Information Technology and System Office are mainly responsible for registration, maintenance, and management of research facilities and equipment purchased with the governmental funding for research projects.

供应商资源办公室主要负责纵向项目科研经费采购时供应商询源招标等工作。
The Sourcing Office is mainly responsible for the supplier inquiry and the bidding process for the purchases using the governmental funds for related research projects.

采购办公室主要负责纵向项目科研经费所涉及的设备和物品采购的实施及服务等相关工作。
The Purchasing Office is mainly responsible for the procurement of the equipment and consumables with the governmental funding for research projects, and providing relevant services.

第五条 项目负责人职责与权限

Article 5 PI’s roles and responsibilities

纵向科研项目实行项目负责人负责制。项目负责人对项目全面负责，具有管理权。项目负责人一般不得变更，如因项目负责人离职等原因确需变更的，依据项目主管部门相应管理办法执行。
The PI shall be fully responsible for the management of the project and will remain as the PI until the completion of the project. Under exceptional circumstances, for instance, when the PI is leaving the University, the change of PI shall be made according to the relevant regulations of the funding body.

（一） 项目负责人依照国家法规和相关的科研项目管理条例，认真履行项目计划任务书或合同书中各方的约定并承担相应的责任。
(I) The PI shall abide by the project contract or agreement signed with the funding body, and perform the corresponding responsibilities as per the relevant national laws and regulations on research management.

（二） 项目负责人应对在项目执行过程中发生的项目变更进行提前报批，包括项目组成员、经费预算、研究目标、研究内容等变更事项。
(II) The PI shall submit the project amendment application in a timely manner during the project implementation period, including changes to the project team member(s), budget, research objectives, research contents, etc.

（三） 负责编制科研项目经费预算和决算，并严格按预算及有关财务规定使用经费。
(III) The PI shall be responsible for making a budget plan and an expenditure summary for the research project, and shall use the funds according to the budget and relevant financial regulations.

（四） 对科研项目经费使用的真实性、合法性、合理性、有效性负责。
(IV) The PI shall be responsible for the authenticity, legality, rationality, and validity of the use of project funds.

（五） 负责对使用项目资金购买的固定资产实施妥善使用以及保管。
(V) The PI shall be responsible for the proper use and custody of fixed assets purchased with the project funds.

（六） 接受有关部门的监督和审计，及时办理科研项目结项及结账手续。
(VI) The PI shall accept supervision from and auditing by relevant departments internally and externally, and complete the procedure to close the project on time.

 

第三章支出范围
Chapter 3 Expenses Categories

第六条 纵向科研项目经费支出（下称项目支出）是指在项目组织实施过程中与研究活动相关的、由项目经费支付的各项费用支出。

Article 6 Expenses of governmental funding for research projects (hereinafter referred to as the project expenses) shall refer to research related expenses incurred during the project implementation period and covered by the project funds.

第七条 项目支出由直接费用和间接费用组成，间接费用通常包括项目统筹支出、绩效支出和学校管理费。经费资助部门没有明确直接经费和间接经费的项目，科研管理办公室可参照相关规定划分直接 经费和间接经费后予以开支。

Article 7 The project expenses are composed of direct expenses and indirect expenses. Indirect expenses generally include coordination expenses, performance rewards and university management expenses. If the funding body does not explicitly identify what constitutes direct and indirect expenses, it will be determined by the RMO according to relevant regulations.

第八条 直接费用是指在项目实施过程中发生的与之直接相关的费用，主要包括：设备费、业务费和劳务费。

Article 8 Direct expenses refer to the expenses that are directly related to the implementation of the project, which mainly include equipment expenses, operational expenses and labour expenses.

（一） 设备费，是指在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 expenses refer to the expenses related to the purchase or production of special equipment, the upgrading of existing equipment, as well as the leasing of equipment from third parties during the project implementation period. Computing equipment and software also belong to equipment expenses.

（二） 业务费，是指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。开支范围具体包括：
(II) Operational Expenses: Operational expenses are incurred through the purchase, transport, loading and unloading, and sorting of raw materials, auxiliary materials and consumables; testing/computation/analysis, and usage of energy and power; publication/documentation/information communication/intellectual property; travel/conference/international collaboration and exchange, and other related activities. Operational expenses mainly include:

1. 材料费，是指在项目研究过程中消耗的各种原材料、辅助材料、低值易耗品等的采购及运输、装卸、整理等费用。
1. Consumables expenses refer to the expenses related to the purchase, transport, loading and unloading, and sorting of raw materials, auxiliary materials and consumables that are consumed during the project implementation period.

2. 测试化验加工费，是指在项目研究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。
2. Testing/computation/analysis expenses refer to the expenses related to fees paid to third parties (including internal units with independent accounting) for testing, measuring and processing purposes during the project implementation period.

3. 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。
3. Energy and power expenses refer to the expenses that can be independently calculated and related to the consumption of energy and power (water, electricity, gas, fuel, etc.) that are consumed by relevant equipment, instruments, etc. during the project implementation period.

4. 出版/文献/信息传播/知识产权事务费，是指在项目研究过程中，需要支付的出版费、资料费、文献检索费、专业通信费、专利申请及其他知识产权事务等费用。
4. Publication/documentation/information communication/intellectual property expenses refer to publishing expenditures, resource purchasing, literature search fees, professional communications, expenses for patent applications and other intellectual property related matters.

5. 差旅/会议/国际合作与交流费，是指在项目研究过程中开展科学实验（试验）、科学考察、业务调研、学术交流等所发生的外埠差旅费、市内交通费用；为了组织开展学术研讨、咨询以及协调项目研究工作等活动而发生的会议费用；以及项目研究人员出国及赴港澳台、外国专家来华及港澳台专家来内地(大陆)工作的费用。
5. Travel/conference/international collaboration and exchange expenses refer to domestic travel expenses incurred in relation to tasks including scientific experiments (tests), scientific investigations, business research, academic exchanges, organization of seminars, and other related work for the purpose of consultation and coordination. This category also covers researchers’ travel outside of mainland China, and expenses of incoming non-mainland experts working in mainland China during the project implementation period.

6. 其他支出，是指在项目研究过程中发生的除上述费用之外的其他支出。
6. Other expenses refer to the expenses other than the above mentioned incurred during the project implementation period.

（三） 劳务费，是指在项目实施过程中支付给参与项目研究的研究生、博士后、访问学者以及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) Labour expenses refer to payments to individuals (including graduate students, post-doctoral fellows, visiting scholars, hired researchers and research assistants) who participate in the implementation of the project, as well as consulting expenses paid to the experts involved on a short-term basis.

项目聘用人员的劳务费开支标准，参照本地科学研究和技术服务业从业人员平均工资水平，结合我校相关政策规定，根据其在项目研究中承担的工作任务进行确定。

The payment standards of the labour expenses should comply with local standards, the contribution of the related individual, and take into account relevant policies of the University.

支付给临时聘请的咨询专家的费用，不得支付给参与本项目及所属课题研究和管理的相关人员， 其管理按照国家有关规定并结合我校相关政策执行。

The consulting expenses should not be paid to team members who participate in the project or other relevant personnel who provide administrative management/service. The standard of consulting expenses must be in accordance with relevant national regulations and relevant policies of the University.

第九条 项目统筹支出是指项目研究过程中发生的无法在直接费用中列支的相关费用。项目主管部门有管理文件规定的，按规定执行，没有规定的，按下列开支范围执行。开支范围具体包括：

Article 9 Coordination expenses refer to the expenses that cannot be paid from direct expenses but are incurred in relation to the implementation of the project. Coordination expenses should be used in line with the regulations of the funding body. In case of lack of explicit regulations on coordination expenses, the following expense categories can be used as a reference:

（一） 科研工作通讯费；
(I) Communication expenses;
（二） 科研活动中用于人才培养的论文答辩费；
(II) Thesis defense fees for young talents in the research project;
（三） 通用设备购置费（如打印机、投影仪等）、办公用品购置费；
(III) Expenses for the purchase of general-purpose equipment (such as printers and projectors), and the purchase of office supplies related to the research project;
（四） 房屋租赁、维修及物业管理费；
(IV) House rental, repair costs and property management fees related to the research project;
（五） 科研活动中发生的业务接待费用等。
(V) Reception expenses related to the research project.

第十条 绩效支出是指为提高科研工作绩效安排的相关支出，与科研人员在项目工作中的实际贡献挂钩， 由项目负责人分配，发放给项目组成员（以项目合同书/计划书/任务书为准），拨入个人科研经费专户。

Article 10 Performance rewards aim to improve the research performance which shall be linked with the actual contribution of the researchers. Allocation of performance rewards will be decided by the PI in consideration of the actual contribution of each team member. Team members receiving performance rewards must be listed as such as per the project contract or other equivalent documents. Performance rewards will be allocated to the Individual Research Account.

绩效经费的50%，于项目经费到账时发放；剩余50%，待项目通过结题验收后发放
50% of the performance rewards will be released upon the arrival of the project funds; the remaining 50% of the performance rewards will be released after the project successfully passes the completion assessment.

第十一条 学校管理费由学校根据主管部门批复的项目预算和本管理办法提取，主要用于学校对科研活动组织管理、支撑支持、监督检查等加强科研管理的相关费用。开支范围一般包括：

Article 11 University management expenses refers to the administrative expenses subtracted from the budget as approved by the funding body and this policy, and will be mainly used for organizing, managing, supporting, supervising and monitoring the research activities to enhance the research management in the University. Administrative expenses collected from governmental funding for research projects are typically invested in the following:

（一） 学校公共成本补偿支出及有关管理费用的补助支出；
(I) Compensatory expenses for the university public costs, and other relevant management expenses;
（二） 项目申请、立项、执行和验收阶段发生的相关费用，包括审计费、专家评审及咨询费等；
(II) Relevant expenses incurred during the full life cycle of research projects, including audit fees, expert review and consulting fees, etc.;
（三） 与科研活动相关的材料打印费；
(III) Printing fees related to research activities;
（四） 专利维护费。
(IV) Patent maintenance fees.

 

第四章 支出管理
Chapter 4 Management of Expenses

第十二条 科研项目经费到账后，科研管理办公室依据经费划拨通知以及项目立项合同等材料予以立项。

Article 12 Upon receipt of the research project funds, RMO will set up the project based on the information provided in the approval notification and the contract of the project.

第十三条 根据预算管理方式不同，纵向科研项目经费管理分为预算制和包干制。如项目主管部门有相关管理办法的，从其规定；如无明确规定的，依据本办法执行。

Article 13 There are two different budget management mechanisms for governmental funding for research projects: budget-based project and lump sum project for which budgeting is not required in the application stage. For both types of projects, funds management must be in line with the regulations of the funding body. If there is no such regulation, this policy shall be followed.

第十四条 预算制项目的项目支出由直接费用和间接费用组成。

Article 14 The expenses for budget-based projects are composed of direct expenses and indirect expenses.

第十五条 自然科学类项目的间接费用原则上按照项目直接费用扣除设备购置费后的一定比例核定，并实行总额控制，具体比例如下：

Article 15 Indirect expenses of natural science projects will normally be calculated based on a given ratio of the direct expenses in the project, after deduction of equipment purchase expenses. Ratios for different funding amounts are as follows:

• 500万元及以下部分为30%；
• 超过500万元至1000万元的部分为25%；
• 超过1000万元的部分为20%。

• 30% for funding of RMB 5 million or less;
• 25% for funding of more than RMB 5 million but less than RMB 10 million;
• 20% for funding of more than RMB 10 million.

第十六条 社会科学类项目的间接费用原则上按照项目资助总额的一定比例核定，具体比例如下：

Article 16 Indirect expenses of social science projects will normally be calculated based on a given ratio of the total project funds. Ratios for different funding amounts are as follows:

• 50万元及以下部分为40%；
• 超过50万元至500万元的部分为30%；
• 超过500万元的部分为20%。

• 40% for funding of RMB 0.5 million and less;
• 30% for funding of more than RMB 0.5 million but less than RMB 5 million;
• 20% for funding of more than RMB 5 million.

第十七条 预算制项目间接费用支出做如下分配：

Article 17 Indirect expenses for budget-based projects should be allocated as follows:

表1：预算制项目间接费用中各项费用比例明细表
Table 1: Allocation of Indirect Expenses for budget-based projects

第十八条 间接费用支出应遵循合理性、合法性、相关性、真实性原则，据实列支。严禁虚构经济业务、使用虚假票据报销；严禁在间接费用中报销个人家庭消费支出。

Article 18 Expenditure of indirect expenses must be reasonable, legitimate, relevant and authentic. It is prohibited to forge business transactions, and make reimbursement with false invoices, and to use indirect expenses for personal family consumption.

第十九条 包干制项目申请人应当本着科学、合理、规范、有效的原则申请资助额度，申请阶段无需编制项目预算。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。

Article 19 Applicants of lump sum projects should apply for the total budget amount in a scientific, reasonable, compliant and valid manner. At the application stage, the applicant does not need to prepare a detailed amount for each budget category. The PI has the authority to plan the use of the budget related to the project. In addition, the PI must also follow the requirements of research ethics and integrity during the process of using the funding.

第二十条 包干制项目经费纳入学校统一管理，做如下分配：

Article 20 The budgets of lump sum projects are to be managed by the University, and will be allocated as follows:

表2：包干制项目中各项费用比例明细表
Table 2: Allocation of budget for lump sum projects

(*科研支出按照本办法第八条直接费用和第九条项目统筹支出的开支范围列支)
(*Research related expenses must be used following the categories of direct expenses under Article 8 and coordination expenses under Article 9)

 

第五章预算管理
Chapter 5 Budget Management

第二十一条 预算制项目负责人应在充分考虑项目资金需求的基础上，结合完成项目发生业务的目标相关性、政策相符性和经济合理性，科学编制项目预算，报学校审核批准后，报送项目主管部门批复。

Article 21 The PI of budget-based projects should prepare a budget plan by taking into account the needs of the project, the relevance, the policy consistency and the cost effectiveness and rationality of potential expenses. The budget of the project shall be submitted to the funding body of the project for review upon the approval by the University.

第二十二条 科研项目编制、调整预算时，项目主管部门有相应项目管理办法的，应当按其规定执行； 没有明确规定的，按照本办法执行。

Article 22 Project budgeting and budget adjustments shall be in line with the regulations of the relevant funding body. If there is no such regulation, this policy will serve as reference.

第二十三条 预算执行过程中实行重大事项报告制度。在项目实施期间出现项目计划任务调整、项目承担单位变更等影响经费预算执行的重大事项，项目负责人应当及时按程序报项目主管部门批准。

Article 23 Major events should be reported in the process of budget use. In case of adjustments to the project plan and tasks, changes to host institution and other major events during the project implementation period which affect budget use, the PI should report to and receive approval from the funding body in a timely manner through RMO.

第二十四条 在项目总预算不变的情况下，项目预算确需调整的，由项目负责人按规定提交申请，报科研管理办公室审批后办理调剂手续。

Article 24 If there are reasonable grounds to adjust the project budget while the total budget of the project remains unchanged, the PI should submit the application to RMO for review.

（一） 设备费预算如需调剂，由项目负责人根据科研活动的实际需要提出申请，报科研管理办公室审批;
(I) In case of adjustments to equipment expenses, the PI should submit an application based on the actual needs of the research, and should report to RMO for approval;

（二） 业务费、劳务费预算如需调剂，由项目负责人根据科研活动实际需求自主安排，由科研管理办公室办理调剂手续;
(II) In case of adjustments to operational expenses or labour expenses, the PI could make arrangements based on the actual needs of the research, and complete the adjustment procedures through RMO;

（三） 项目间接费用预算总额不得调增，项目负责人可根据科研活动实际需求申请间接费用调减用于直接费用，报科研管理办公室审批;
(III) The total budget for the indirect expenses in the project cannot be increased. The PI may apply to convert indirect expenses into direct expenses based on actual needs of the research, following approval from RMO;

（四） 学校管理费一般不予调整;
(IV) As a general rule, the university management expenses cannot be adjusted;

（五） 绩效支出一般不予调整，如根据科研活动实际需求确需调整，绩效支出总额不得调增，项目负责人可申请绩效支出调减用于直接费用或项目统筹支出，报科研管理办公室审批。
(V) As a general rule, performance rewards cannot be adjusted. Should there be an adjustment justified by the actual needs of the research, the total amount of performance rewards cannot be increased, but the PI may apply to convert the performance rewards into direct expenses or coordination expenses, following approval from RMO.

 

第六章外拨经费管理
Chapter 6 Management of Fund Transfer

第二十五条 科研项目外拨经费主要包括在相关项目计划任务书、预算书或合同书中约定的，因项目合作而支付给合作单位的研究经费。

Article 25 The funds allocated to an external unit(s) refer to the research funds that are agreed in the project contract or agreement. The funding shall only be paid to the collaborative institutions for the specific project.

第二十六条 外拨经费以协议为依据，协议必须明确合作的具体工作内容、验收指标、预算、经费拨付方式、开户银行和账号等信息，按照下列规定办理经费外拨：

Article 26 Allocating funds to an external unit(s) should be made in accordance with the agreement. The agreement should explicitly indicate the specific contents of the collaboration, assessment indicators, budget plan, fund allocation method, bank information (including name of the bank, account number, etc.) and other relevant information. The following requirements should be met for making fund transfer to an external unit(s) ：

（一） 合作单位是企业的，应提供收款单位法人营业执照、相关资质证书等相关资料；
(I) If the collaborative institution is an enterprise, the business licenses, the relevant qualification certificates and other relevant materials should be provided;

（二） 合作单位是高校、科研院所以及社会团体等公益性组织的，需提供收款单位事业单位法人证书等相关资料。
(II) If the collaborative institution is a university, a research institution, a social group, or a public welfare organization, the legal person certificates and other relevant materials of the recipient institution should be provided.

第二十七条 项目经费外拨必须严格按照项目立项批文、计划任务书、预算书中已明确约定的合作单位及金额划拨项目经费，不得随意变更合作单位，不得多拨、少拨或不拨，不得以现金方式进行外拨。

Article 27 Funding transferred to an external unit(s) must be made to the institution at the amount which has been explicitly indicated in the project approval notice of the funding body, the contract of this project, the budget plan in the contract. Normally the collaborative institution(s) can’t be changed. Funds shall not be transferred to an external unit(s) in cash.

第二十八条 项目负责人对合作业务的真实性、相关性、合规性和有效性负直接责任。项目负责人应依法、依规进行科研项目经费外拨，严禁层层转拨、变相转拨经费；项目负责人不得借协作之名， 将科研经费挪作他用，或转入与项目负责人有直接经济利益的关联单位。对于与项目负责人或项目组成员（含与其有直接利益关系的人员）所参与成立的公司共同合作的科研项目，项目负责人须主动申明与合作方的关系，提供相关信息，说明校内科研活动与个人公司业务范围，确保外拨经费的公允性，接受监督。

Article 28 The PI is directly responsible for authenticity, relevance, compliance and validity of the collaboration. The PI must allocate the funds according to relevant laws, regulations and policies. The PI shall not transfer the funds for other purposes in the name of collaboration, or transfer the funds to affiliates with whom the PI has direct economic interest. With regard to collaborative projects that are undertaken by the institution established by or in which the PI or team member (including individuals with conflict of interest) has participation, the PI shall declare the relationship with the collaborative institutions, provide the relevant information, state the connection between the research activities and corporate business, and comply with oversight.

第二十九条 建立健全学校科研项目经费外拨信用管理和处罚机制。对有不良记录的项目负责人，视情节轻重，给予追缴外拨资金、约谈警示、通报批评并责令限期整改。如涉嫌违纪、违法的，将移交纪检、监察、司法等部门处理。

Article 29 University policies on research integrity and relevant disciplinary measures apply to the management of transferring funds to external units. PIs who is alleged to engage in improper conduct in the process of transferring funds, should be subject to disciplinary actions including the recovery of the externally transferred funds. In addition, disciplinary actions against PIs may also be taken depending on the seriousness of the offense, including warning, public announcement and requirement for improvement. If the PI is suspected of breaking the Law, the case will be referred to the relevant authorities.

 

第七章决算管理
Chapter 7 Management of Final Budget Settlement

第三十条 对于准备结题的科研项目，项目负责人应当全面清理项目经费收支和应收应付等往来账款。应收及暂付款应在结题验收前完成报销或归还等结算手续。

Article 30 For the project to be completed, the PI must settle any outstanding claims and payment related to the project.

第三十一条 项目负责人应当参照项目主管部门及学校科研经费管理办法等规定，按照项目经费预算如实编报项目决算，经财务办公室，科研管理办公室审批后报出。

Article 31 The PI must follow the relevant regulations of the funding body and the University to prepare the final expenditure summary based on actual expenses, which are to be submitted to FO and RMO for approval.

第三十二条 有多个单位共同承担一个项目的，项目负责人和合作单位的参与者应当分别编报项目决算， 经所在单位科研、财务管理部门审批后，由项目负责人汇总编制。

Article 32 If the project includes researchers from the University and other collaborative institution(s), the PI and team members of the collaborative institution(s) will prepare their own final expenditure summaries separately. With the approval of the collaborative institution(s), the PI of the project will gather all detailed expenditure summaries and prepare the total expenditure summary.

 

第八章结余经费管理
Chapter 8 Management of Remaining Funds

第三十三条 结余经费的管理依据项目主管部门相关管理办法执行。如无明确规定的，项目顺利通过结题验收后，由项目负责人根据项目组成员（以项目合同书/计划书/任务书为准）的实际贡献分配，拨入个 人科研经费专户，用于科研活动支出。

Article 33 The remaining funds will be managed according to the regulations of the funding body. If there is no relevant provision, when the project successfully passes the completion assessment, allocation of the remaining funds will be decided by the PI in consideration of the actual contribution of each team member. Team members receiving the remaining funds must be listed as such as per the project contract or other equivalent documents. The remaining funds will be allocated to the Individual Research Account and used for research related activities.

第三十四条 结余经费的使用及管理参照项目执行阶段有关规定执行。

Article 34 Remaining funds shall be used and managed following the relevant regulations applicable at the implementation stage of the project.

第三十五条 未顺利通过验收的项目、终止项目、撤销项目的结余经费由学校统一收回，并按项目主管部门科研项目管理办法执行。

Article 35 If the project is terminated, withdrawn, uncompleted, or fails to pass the completion assessment, the remaining funds shall be recovered by the University in accordance with the regulations of the funding body.

第九章监督管理
Chapter 9 Supervision and Administration

第三十六条 学校对科研项目负责人的经费行使监督权，做到审批手续完备、账目清晰、核算准确、监督有力，保障科研项目经费的资金安全及合理使用。

Article 36 The University is entitled to monitor PI’s use of funds, in order to ensure clear accounts, accurate accounting and effective supervision, and guarantee the compliance with regulations.

第三十七条 凡项目经费下达部门有审计要求的，项目负责人须配合审计部门做好审计工作。对违反项目经费下达部门经费管理办法和学校经费管理办法的，一经查实，项目负责人将承担相应责任。

Article 37 If an audit is required by the funding body, the PI must cooperate with the audit department. Should violations of regulations be identified during the audit, the PI shall take responsibilities accordingly.

第三十八条 项目执行期间存在以下情况之一的，不予发放剩余部分绩效，学校可酌情追回已发放部分绩效。

Article 38 In any of the following circumstances during the project implementation period, the remaining performance rewards shall be withheld, and the University may recover the released performance rewards as appropriate.

（一） 项目未通过结题验收的；
(I) The project has not passed the completion assessment;

（二） 未按要求及时报送项目相关材料，包括合同书（计划书、任务书）、预算书、年度进展报告、中期总结报告、验收材料及其他相关文件等；
(II) The PI failed to submit the contract, budget statement, annual progress report, interim summary report, completion documents or other relevant documents in time;

（三） 无正当理由，项目未按合同进度执行，或未按期落实上级主管部门提出的整改要求等；
(III) The project team failed to follow the contract timeline without any justification or failed to implement improvement measures required by the funding body in a timely manner;

（四） 存在违反国家法律法规、学校规章制度，以及其他影响学校声誉的行为。
(IV) The project team has engaged in other activities that violate the law, regulations and policies of the University, or damage the reputation of the University.

第三十九条 项目负责人在经费使用过程中不得存在以下行为，如有违反，按照科研失信相关规定处理并纳入信用记录管理，对严重失信行为实行追责和惩戒。

Article 39 The PI shall not engage in any of the following behaviors. Otherwise, the PI should take responsibilities accordingly in accordance with research integrity related policies.

（一） 编报虚假预算；
(I) Make fraudulent budget;
（二） 列支与本项目任务无关的支出；
(II) Claim expenses that are irrelevant to the project;
（三） 虚假承诺其他来源资金；
(III) Falsely declare other sources of research funds;
（四） 通过虚假合同、虚假票据、虚构事项、虚报人员等弄虚作假，转移、套取、报销项目资金；
(IV) Transfer, or claim project funds through false contracts, false invoices, fictitious matters, false personnel, etc.;
（五） 截留、挪用项目资金；
(V) Retain, or misuse the project funds;
（六） 使用项目资金列支应当由个人负担的有关费用和支付各种罚款、捐款、赞助、投资、偿还债务等；
(VI) Use the project funds for any personal expenses, payment of fines , donations, sponsorship, investments, debts, etc.;
（七） 其他违反国家财经纪律的行为。
(VII) Use the project funds for other activities that violate economic and financial laws and regulations.

 

第十章 附 则
Chapter 10 Supplementary Articles

第四十条 本办法由科研管理办公室负责解释。

Article 40 This Policy shall be interpreted by RMO.

第四十一条 自本办法发布之日起，新立项的科研项目按照本办法执行。尚在执行期内的科研项目， 由科研管理办公室统筹考虑我校实际情况，并与项目负责人充分协商后,确定是否执行新规定。涉及需项目主管部门同意的事项，履行相关程序后执行。

Article 41 From the effective date of this policy, any newly approved governmental projects shall follow this policy. With regard to on-going governmental projects, RMO will determine, in consultation with the PI, whether to implement this policy, taking into account the regulations of the funding body and the status of the project. If the approval of the funding body is required, relevant procedure must be followed before implementation.

 

(Last review date: 20-Apr-2023)