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《新余学院纵向科研项目管理办法》(余学院发〔2012〕3号)

文章来源: 发布时间:2019-03-20 浏览次数:

(余学院发〔2012〕3号)​ 

第一章   

第一条   为进一步调动我校教学、科研人员从事科学研究的积极性,规范和加强我校各级各类纵向科研项目的管理,提高科研经费的使用效益,保证科研计划的顺利实施和按质按期完成,提高我校整体科研水平和促进学科的发展,依据国家、地方各级各类项目管理的有关规定,结合我校实际,特制订本办法。

第二条  纵向科研项目是指由国家有关部委、全国性基金委和省、市(厅、局)及学校下达的各级各类科研项目,其立项依据为上级有关部门下达的立项通知书、立项批复文件、计划任务书或相关文件。

第三条  学校科学研究处(以下简称科研处)是对我校科研工作进行日常管理的主要职能部门,负责管理学校的各级各类科研项目。

第四条  学校科研处在遵循国家、地方、行业科学研究发展规划的基础上,结合我校学科建设的特点和社会需要,制订学校科学研究中、长期发展规划,并负责监督和执行。

第五条  学校鼓励和支持教师和科研人员申请并承担交叉学科项目和跨单位、跨部门合作的科研项目,鼓励和支持与国内外科研机构、大学以及企业合作申请科研项目。

第二章  项目申报和立项

第六条 项目申请人应具备下列条件:

1.各级各类项目的申请者(指项目负责人)必须是我校的在职在岗教研人员。如果外单位在我校的兼职科研人员作为项目的主持人申请项目,项目的申请单位和管理单位均应明确为我校,主持人所兼职的相关单位应与其签订协议,明确双方的权利和义务。

2.各级各类项目的申请者应具有良好的思想政治素质和较高的学术水平,学风端正,信誉良好,具有独立开展和组织科研工作的能力,能作为项目的实际主持者并担负实质性研究工作。

3.申请人无同层次同类未结项课题。

第七条  纵向科研项目申报程序:由校科研处在校园网上及时发布各级各类科研项目的申报通知、申请指南及其它相关信息,并向有关单位下发通知。各单位(二级学院、部、重点实验室、工程技术研究中心、研究所等)应积极动员、组织教师申报,并经过单位审核后在规定时间内统一报送科研处。机关和教辅部门人员根据业务隶属关系分别报送相关单位后报送科研处。科研处对申报材料进行形式审查、备案、汇总,并组织校学术委员会或有关专家评议推荐,报校领导审批后,按规定统一报送上级有关科研管理部门。校级科研项目经校学术委员会或有关专家评审通过后,报校长签批。

第八条   校级科研项目一般每年组织一次申报和评审。

第九条   申请立项的校级课题一般应具备下列条件:

1.项目研究一般应成立课题组,申报人即课题组的负责人。一个项目的申报人仅限填报1人,参研人员限于5人以内(含项目负责人)。

2.申报人每年以“主持人”身份申报立项者只能申报一项次;以“课题组成员”申报立项者不得超过两项次;

3.项目评审的主要标准是:

①课题选题具有原创性和重要的学术价值、理论意义或现实意义。

②研究目标明确、合理,课题立论正确,内容充实,论证充分,预计解决或突破的难题明确,研究思路清晰,研究方法科学可行;

③课题组梯队合理,申请人及课题组成员对该课题已有一定的研究基础和实验条件;

④预期成果切合实际;经费预算合理。

4.已有校级课题未结题的,不得再申报新课题。被撤销项目的课题负责人,从撤销之日起3年内不得再行主持申报校级课题和有申报限额的校外纵向课题。被终止项目的项目负责人2年内不得再行主持申报校级课题和有申报限额的校外纵向课题。

第三章  项目管理

第十条   科研处将上级科研主管部门的立项批文和校级项目立项批文下达到申请者所在单位和本人。

第十一条   各级各类纵向科研项目一经批准立项,项目负责人在规定的时限内填写好项目合同书或计划任务书,经科研处审核、盖章后,统一报送有关项目管理部门。项目负责人按计划任务书编制的年度工作计划组织实施。各单位应积极创造条件,提供各种方便,确保项目按计划完成。

第十二条   项目研究计划一经确定,中途不得任意变动。如因不可预见客观条件变化,确需调整或改变计划,则需按相关部门的《项目管理办法》办理报批手续,经项目主管部门批准后方可改变。对于不可抗拒原因或失去研究价值,确需中止项目研究时,须由项目负责人提出撤销科研项目的申请报告,报请主管部门批准,并视具体情况收缴全部或部分科研经费。校级项目若遇到问题和困难确需变更项目名称、研究计划、研究内容、参研人员,项目负责人须提出书面报告,填写《项目调整申请单》,基层单位签署意见后报校科研处审批。申请延期一般只能一次,延期时间最长不超过一年。延期超过一年的,扣除项目经费的20%。校级项目负责人在学校内调动,项目仍由原所在部门监管。项目主要研究人员调离学校的,项目负责人和项目所在部门要采取措施保证项目研究工作继续进行,并及时报告科研处。

第十三条  项目启动后,每年5月和11月,所有纵向科研项目负责人,都必须按上级主管部门及学校规定,按时填报项目研究进展报告或中期检查报告等材料。科研处将对项目的进展情况进行检查,主要检查项目计划的执行情况、项目研究进展情况和取得的阶段性成果、存在的问题等。科研处根据检查结果,提出检查意见:在项目研究中遇到客观困难的,视具体情况提出处理方案,力争项目按计划完成;确因主观原因造成项目进展不力的,限期改进,必要时暂停使用项目经费,直至会同主管部门撤销其项目。各单位也要加强对本单位科研项目开展研究情况的监督和检查,并在人员、时间、设备等方面给予支持和保证。

第十四条  校级项目有下列情况之一者,科研处有权作出撤销项目决定:

1)项目组拒绝或不按时提供年度检查研究进展报告的;

2) 项目中期检查时,一直无故未开展研究工作,经指出仍不纠正的 ;

2)未经批准擅自变更项目负责人或研究课题的 ;

3)剽窃他人研究成果的;

4)项目组在项目研究期限内主动书面申请撤销课题的。

校级项目被撤销后,被撤销项目的全部经费由财务处负责收回。

第十五条  校级项目有下列情况之一者,科研处有权作出终止项目决定:

1)项目实施情况表明,项目负责人不具备按原计划完成研究任务的条件和能力的 ;

2)项目组因内部原因,课题研究已无法进行的 ;

3)项目负责人因长期出国、工作变动或健康等原因不能正常进行研究工作的 ;

4)课题组未按期提交结题申请或延期申请的;

5)课题组申请结题时所提交的研究成果未达到预期研究目标且拒绝延期的;

6)项目延期一年后仍不能完成的 ;

校级项目被终止后,被终止项目的全部经费由财务处负责收回。

第十六条   各级各类纵向科研项目经费来源于国家、省(部)和厅级等科研主管部门批准立项的纵向科研项目经费及我校提供的项目配套经费和我校批准立项的科研项目经费。项目经费管理按《新余学院纵向科研项目经费管理办法》执行。

第四章  项目结项

第十七条  各级各类纵向科研项目负责人应严格按项目申请书或计划书中的承诺和要求开展科学研究,项目完成后应及时结项。结项应按项目主管部门和校科研处的要求,实事求是地填写结项报告并提交有关附件材料,上报科研处,由科研处统一报请项目主管部门,按规定进行结项。结项材料要装订成册。主要包括以下材料:

1.项目原始申请书、科技合同、计划任务书、立项批文等。

2.项目中期检查报告等。

3.科研项目结题报告书、经费决算等。

4.成果及相关证明材料:研究报告及应用证明、论文复印件(包括封面、目录、正文、封底)、论著原件或复印件、成果鉴定材料、检索证明等。必要时须出具原始实验报告、实验数据等。

第十八条 结项要求:

 1.国家、省(部)及其它有关部门批准的研究项目的结项,按项目发布单位制定的实施办法执行。校级科研项目的结项由科研处组织专家对项目验收,做出评审意见,科研处出具结项证明。科研处1年组织两次项目结题工作,时间是每年的6月和12月。

 2.校级项目的成果要求:

1)所有项目结题时必须提交结题报告书。格式为《关于“……”的结题报告》,一般为1000字左右的书面报告。内容是综述该课题的来源(立项背景简述、立项批文)、宗旨与目标、研究过程(开题和各阶段的时间、工作进展)及主要成果(采用、应用、出版还是发表),还存在哪些有待于继续研究解决的难题以及今后的建议与展望。

2)成果形式必须符合以下条件:

①著作类:正式出版或已有出版社的计划出版证明;未出版,但已按项目申报书的设计要求完成书稿。

②教材类:正式出版或已有出版社的计划出版证明;未出版,但已按项目申报书的设计要求完成书稿。

③论文:在正式的专业报刊或学报上发表1篇以上,其中校级重点项目发表2篇以上普通论文或1篇以上国内一般核心论文或更高级别论文。

④研究报告、调研报告、咨询报告等应用性研究成果,应提供市级以上有关部门采用或评价的证明;

⑤技术开发或计算机软件开发成果:需提供可供鉴定的实物、软件或技术说明书以及成果使用效果的相关证明材料。

⑥项目成果的名称(标题)须与批准立项项目的名称基本一致。项目成果在研究内容和范围上须与批准立项时申报书的设计基本一致。

3)项目成果内容要求符合以下条件:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   

①项目研究成果必须思想健康,未违背党的基本路线;

②项目研究达到了该项目立项申报书中有关结题的设计要求,研究的范围和研究成果内容是否与该项目立项申报书一致,研究成果包含了该课题预定的全部内容;                                                                                                                                                                                                                                                                                                                                                                          

③项目研究成果中提出的理论、观点、方法和建议具有创造性和科学性;

④项目研究所依据和使用的资料、数据准确完整;

⑤项目研究所运用的方法及手段具有可靠性和先进性。

3.列入学校科研计划的各级各类纵向项目产生的成果,产权属学校,课题组要注重知识产权的保护。项目最终成果(如论文、专著、研究报告等)编印或出版发表时,第一作者的单位应为“新余学院”,并在封面或合适位置标明“×××项目”及其“编号”,未标注的不予验收结项。

第十九条 成果鉴定:

1.纵向科研项目成果需鉴定的,由项目负责人提出申请,按相关要求填写鉴定材料,并提供项目成果、技术资料、研究总结报告、验收证明、效益证明等材料,基层单位审核后统一报送至科研处,科研处将鉴定材料上报有关立项部门并协调组织鉴定。成果鉴定费用在项目经费中开支。

2.校级科研项目结题鉴定

1)鉴定可根据情况安排会议鉴定和通讯鉴定。科学研究重点项目应组织会议鉴定,其余项目可进行通讯鉴定,专家组由具有副高以上专业技术职务的同行专家组成。专家组成员原则上不少于3人,且应有2/3以上为校外专家。课题组成员不能担任本项目的鉴定专家。鉴定后须有2/3以上专家同意结题,该项目才能结题。

2)通讯鉴定由科研处将鉴定材料寄给鉴定专家。鉴定专家应认真、负责、独立地进行评审,作出实事求是、客观公正、恰如其分的评价,并对自已的鉴定意见和结论承担学术和道义责任,不应受到任何单位和个人的干涉。

3)会议鉴定由科研处组织,分为预备阶段和鉴定阶段两个阶段。预备阶段由科研处主持,主要内容是介绍会议内容、提出有关事项、产生专家组组长;鉴定阶段由专家组组长主持会议。鉴定阶段按下列程序进行:

①听取项目负责人的研究工作总结报告及成果简介,报告内容包括:项目的预期成果与现有成果;项目的研究方向和主要思想观点及内容;项目的实际意义、学术意义、研究特色及在省(国)内外所处的地位;该项目研究的重点及研究中突破的难点;

②质疑、答辩;

③专家讨论并形成综合鉴定意见(包括能否结项),并将意见填写在《新余学院科研项目鉴定意见表》中,专家鉴定时,项目负责人及其成员应回避;

④专家组反馈鉴定意见,包括项目成果是否与课题研究工作报告相符、是否达到了项目合同要求、存在的问题和需要补充完善之处以及其他建议、意见等。

4)项目鉴定的内容

①项目成果有哪些理论意义和应用价值,达到何种水平,能够取得怎样的综合效益,提出对成果的推广和宣传意见。

②项目研究尚存在哪些不足,该领域尚有什么问题值得深入研究,今后需努力的方向。

③项目成果有无抄袭或剽窃他人成果等。

3、校级科学研究项目结题具备下列条件之一者,可免于鉴定:

①项目成果是已正式出版的著作;

②项目成果是已正式出版的教材;

③项目成果中有1篇为国内一般核心或更高级别论文,重点项目发表2篇以上论文且其中1篇以上为国内一般核心论文或更高级别论文;

④项目研究报告、调研报告、咨询报告等应用性研究成果获得省部级三等及以上科研奖励,或有足以证明研究成果已达到省级以上水平的旁证材料;

⑤技术开发或计算机软件开发成果申请了专利。

第二十条 成果推广:学校各类科研项目产生的应用型科研成果,各院、所(中心)和项目负责人及其成员,要大力组织推广,使之转化为生产力,使之为地方经济建设服务。

第五章  附则

第二十一条   本办法自201211日起实行。本办法同时适用于原未结题的校级科研项目的管理。

第二十二条   本办法由科研处负责解释。