XJTLU Regulation on Collaborative Research Institute (西交利物浦大学共建联合研究机构管理实施细则)

1. General Provisions 总则

1.1 In order to support and encourage Xi'an Jiaotong-Liverpool University (hereinafter referred to as ‘XJTLU’) to carry out in-depth and long-term cooperation with external institutions, and to promote the sustainable and integrated development of University research activities with industry and society, this regulation is formulated in accordance with ‘XJTLU Policy on Collective Research Activity’, aiming to guide the establishment & development of collaborative research institute of XJTLU, standardise its management and operation principles, and accelerate the research innovation and knowledge transfer.

为支持和鼓励西交利物浦大学（以下简称 “西浦” ）与外部机构开展深度且长期的合作，促进高校科研与产业和社会的可持续、融合式发展，依据 XJTLU Policy on Collective Research Activity，特制定本实施细则用以指导联合研究机构的建设，并促进其进行规范化的管理和运作，加速科研创新及成果转化 。

1.2 Funded by external institutions and established with approval of the University, the collaborative research institute (including but not limited to joint labs and collaborative research centres) of XJTLU is a research institute jointly established by the university and external enterprises/institutions in related academic fields according to the University’s research development strategy. It is a non-independent legal entity(1) with the primary goal of facilitating Government-Industry-University-Research cooperation. The research institutions established by the University and the local government due to the comprehensive strategic cooperation are not within the scope of this regulation.

西浦联合研究机构（包含但不限于联合实验室和联合研究中心）是根据学校科研发展战略，由西浦与校外各类企事业单位在相关学术领域共同合作建设的，由外部机构出资、经学校批准成立的非独立法人(2)的以政产学研合作为主要目标的科研机构。学校与地方政府因全面战略合作建立的科研机构不在此办法适用范围。

1.3 According to XJTLU Research Strategy, collaborative research institutes shall aim at establishing more profound and extensive cooperation between scientific research and industries, strengthening technological cooperation with related industrial partners, and exploring innovative ways of technology transfer and commercialization to make contributions to promoting economic and social development. The institutes shall work on theoretical research, applied technology research, technology transfer and transformation, and other scientific research that concentrate on core technologies, industry-universal technical breakthroughs, and industrial and engineering application of technological outputs. Meanwhile, institutes shall actively carry out international and interdisciplinary research and cooperation by mobilizing academic resources inside and outside the university to enhance the research impact of XJTLU at home and abroad.

依据西浦科研发展战略，联合科研机构的建立与发展应以促进科研与产业建立深度、广泛的合作关系为目标，加强与相关产业伙伴的技术合作，探索科技转移与商业化的创新途径，推动地区经济社会发展。西浦联合研究机构应围绕关键核心技术、行业共性技术突破以及科技成果的工程化产业化应用，开展理论研究、应用技术研发与技术转移转化等科研工作。同时，充分调动校内外学术资源，积极开展跨国、跨学科研究与合作，提升西浦国内及国际科研影响力。

1.4 In principle, the university-level collaborative research institute is uniformly named as ‘XJTLU+ (name of the external institution) + (research direction) + (Joint Lab/Collaborative Research Center)’. The school-level collaborative research institute is uniformly named as ‘XJTLU+ (name of the secondary institution (3)) + (name of the external institution) + (research direction) + (Joint Lab/Collaborative Research Center)’

校级联合研究机构原则上统一命名为“西浦 +（外部机构名称）+（研究方向）+ 联合实验室（或研究中心）”。
院级联合研究机构原则上统一命名为“西浦 +（二级单位名称(4)）+（外部机构名）+（研究方向）联合实验室（或研究中心）”。

 

2. Establishment 成立

2.1 The establishment of collaborative research institute shall meet the following requirements:

联合研究机构的建立需具备以下基本条件：

2.1.1 The partner selected by XJTLU to jointly establish collaborative research institutes must be an independent legal entity registered at home or abroad, and the partner shall have a good reputation, leading industry influence, sound and stable financial status and sustainable development capabilities.

西浦选择共建联合研究机构的合作伙伴需要具备良好的信誉、领先的行业影响力、 良好且稳定的财务状况以及可持续发展能力，其必须是国内外实体注册的独立机构。

2.1.2 To establish a collaborative research institute, it is necessary to have a clear research direction and development objectives, with abilities to solve practical problems and carry out collaborative innovation with the partner. The resource input of both parties shall match the development objectives of the proposed institute.

共建联合研究机构需有明确的研究方向和建设目标，具备解决实际问题的能力，并能和合作方进行协同创新。双方的资源投入与拟建机构的建设目标相匹配。

• The investment of partner shall last at least 3 years as a term in a collaborative research institute project. The investment is divided into operation fee of the institute, research funds and university’s overhead. The overhead is charged at 15% of the total fund after deducting the equipment fee.
• In principle, the three-year/per term total investment of the University-level collaborative research institute shall be no less than RMB 5 million, with the first investment no less than RMB 2 million.
• In principle, the three-year/per term total investment of the School-level collaborative research institute shall be no less than RMB 2 million, with the first investment no less than RMB 0.8 million.
• For case different with the above mentioned two conditions, its application shall be discussed and confirmed by AVP and VPAA first, then, forwarded to SMT for approved.

合作单位对联合研究机构每期投入须持续至少 3 年。 经费投入分为共建机构的运行经费、研发经费和学校管理费。学校管理费按总投入资金扣除设备费后的15%收取。

• 原则上，校级联合研究机构的三年/周期经费总投入不低于 500 万元，首笔投入不低于 200 万元。
• 原则上，院级联合研究机构的三年/周期经费总投入不低于 200 万元，首笔投入不低于 80 万元。
• 不同于以上两条的特殊情况，需经由助理副校长（科研&影响力）和学术副校长讨论确认后报 SMT 审批。

2.1.3 In principle, the collaborative research institute shall be located in the University, preferably at the location of the corresponding school or department. Any space demand shall be explained in terms of the concern and demand in the proposal form. The cost of space or renovation shall be reported to the Campus Management Office for approval. If the premises of the collaborative research institute are outside of the university, the proposal of construction and total funds distribution shall be discussed and negotiated separately according to the actual situation.

联合研究机构原则上建立在学校内部，优先选择相应院系所在地，如有场地及设施需求需在提案表中说明情况及需求，场地和改造等费用需报校园管理办公室进行审批。联合机构场所不在校内的情况，机构建设及项目经费需根据实际情况另行讨论协商。

2.2 Application and its approval for the establishment of collaborative research institutes:

联合研究机构的共建申请及审批：

2.2.1 The approval for establishing a collaborative research institute includes two steps: proposal’s approval and collaboration agreement’s approval, the application process of which shall be supported by REIO.

共建联合研究机构的学校审批需要完成提案审批和合作协议审批两个部分，由科创办支持审批过程。

2.2.2 Approval of proposal: The applicant submits the completed‘XJTLU Collaborative Research Institute Establishment Proposal Form’ (see Annex 3) to REIO for approval process support. Proposal must be approved by the Head of Department, Associate Vice- President (research & impact), Vice-President Academic Affairs and SMT sequentially.

提案审批：由申请人填写《西交利物浦大学联合研究机构建立提案表》（见附件三） 后，科创办协助完成审批流程。提案审批需依次经过系主任、助理副校长（科研& 影响力）和学术副校长及 SMT 审批通过。

2.2.3 Approval of collaboration agreement: The collaboration agreement must contain clear collaboration approaches, collaboration content, ownership of intellectual property, confidentiality clauses, funding and payment schedule, cooperation period, etc.

合作协议审批：合作协议中必须有明确的合作方式、合作内容、知识产权归属、保密条款、经费投入和投入方式、合作期限等内容。

2.2.3.1 After the applicant submits the collaboration agreement to REIO, REIO shall check the content integrity of the collaboration agreement according to the proposal form, to verify the relevant background of the collaborative enterprise, and to ensure those conform to this regulation or related policies.

申请人将合作协议提交至科创办后，科创办结合提案表内容对合作协议的内容完整性进行核查，核实合作企业相关背景情况，并对不符合本管理办法及相关政策文件的内容提出修改意见。

2.2.3.2 The collaborative agreement shall be submitted to legal service to review after REIO’s checking and approved by the Associate Vice-President (research & impact) . The lawyer shall give advice on the possible legal risks regarding to the collaboration contents, and REIO shall communicate with the applicant for modification according to the lawyer's opinions.

经科创办核准通过的合作协议需经科研影响力助理副校长审批后，由科创办提交至律师处审核，律师针对合作内容可能存在的法律风险提出咨询意见，由科创办根据律师意见与申请人进行沟通、修改。

2.2.3.3 After the revised collaboration agreement is approved by Vice President in charge, the collaborative research institute shall be established with time consistent with the contract.

修改后的合作协议，需经分管副校长审批通过后，联合研究机构成立。

 

3. Operation 运行管理

3.1 An individual financial account shall be created for the collaborative research institute and managed by the University.

联合研究机构建立单独的财务账号并由学校对其使用进行管理。

3.2 The funds of collaborative research institute includes operation fee, research funds and overhead, which are uniformly incorporated into University’s Finance Office. The operation fee and research funds are allocated to the project financial account in Expense Control System. The research funds shall be budgeted and used separately on a project-basis. In principle, the funds of the collaborative research institute located outside the University is managed by the partner, and XJTLU has the right to raise audit request for its operation and funding.

联合研究机构经费包括建设运行经费、科研经费和学校管理费，统一进学校财务。运行经费和研发经费均拨款至研究机构的费控系统的项目账户管理，科研经费的使用需按科研项目制单独进行预算和使用。在校外挂牌的联合研究机构的经费管理原则上由合作方管理， 我校有权对其运营和经费情况提出审计需求。

3.2.1 The operation fee of the collaborative research institute refers to the expenses incurred in daily operation of the collaborative research institute, including conference expenses, hospitality expenses, travel expenses, labor fee for non-research staffs (staffs to promote development of the institute from perspective of business development and operation).

联合研究机构运行经费是维持联合研究机构正常运转发生的费用，包括会议费、餐饮费、差旅费、非研发需要的劳务费等资源拓展及运营人员需求方面的费用。

3.2.2 The research funds of the collaborative research institute refer to the research funds used for institute’s internal research projects or the research projects sponsored by a third-party. 联合研究机构科研经费是指用于执行本机构内部设置的科研课题或与第三方合作单位签订的科研项目所使用的研发经费。

3.2.3 The equipment purchased by the collaborative research institute are fixed assets of the University, which shall be governed by the relevant provisions of the University's assets management.

联合研究机构经费所购买的仪器设备属学校固定资产，执行学校资产管理相关规定。

3.3 The collaborative research institute shall adopt a combination of self-assessment, collaborator review and University review. The review shall focus on the received funds, research outputs, research awards, education, social services, academic exchanges, operation and management of the collaborative research institute, etc.

联合研究机构实行负责人自我考核评估、共建单位评估和学校审定相结合的方式，考 核评估主要针对联合研究机构到位经费、科研成果、科研获奖、人才培养、社会服务、学术交流、运行管理等内容展开。

3.4 University-level collaborative research institute shall be under supervision of XJTLU Research Committee.

校级联合研究机构由西浦科研委员会统一监督管理。

3.4.1 University-level collaborative research institute shall prepare the annual report as well as work and budget plans for the next year. The annual report shall be collected by XJTLU Research Committee.

校级联合研究机构须编制年度工作报告和下年度的工作计划及经费预算。年度工作报告由西浦科研委员会组织收取。

3.4.2 According to the collaboration period, XJTLU Research Committee will organize a panel for mid-term review of University-level collaborative research institute.

根据合作期限，由西浦科研委员会组织建立评审组，对校级联合研究机构进行中期评估。

3.4.3 At the end of cooperation of university-level collaborative research institute, XJTLU Research Committee shall organize a review panel for assessment of the continuous of the collaboration. The next collaboration agreement shall be signed upon assessment result, otherwise the institute will be automatically revoked. If there are other supports from XJTLU, they will be terminated on the end date of the collaboration.

校级联合研究机构合作期满后，合作双方如需继续共建，由西浦科研委员会组织建立评审组，评估通过后须签订下一期合作协议，否则将视为机构自动撤销，如学校有其他的支持政策，将在合作结束之日起终止支持。

3.5 School-level collaborative research institute shall be under supervision of XJTLU Research Institute-Sub Committee. At the end of cooperation of the collaborative research institute, XJTLU Research Institute-Sub Committee shall organize a review panel for assessment of the continuous of the collaboration. The next collaboration agreement shall be signed upon assessment result, otherwise the institute will be automatically revoked. If there are other supports from XJTLU, they will be terminated on the end date of the collaboration.

院级联合研究机构由院系监督管理日常运转。联合研究机构合作期满后，合作双方如需继续共建，由西浦科研机构委员会组织建立评审组，评估通过后须签订下一期合作协议，否则将视为机构自动撤销，如学校有其他的支持政策，将在合作结束之日起终止支持。

3.6 If the text and graphics containing ‘Xi'an Jiaotong-Liverpool University’ are quoted in text and pictures or other forms in commercial promotion media, please consult University Marketing and Communication（UMC）.

若在商业宣传推广介质中以文字、图片等各种形式引用含有 “西交利物浦大学” 的文字和图形，请咨询市场与交流办公室。

3.7 The collaborative research institute shall not set up branches without university’s approval.

未经审批，联合研究机构不得设立分支机构。

3.8 In case of any of the following circumstances, the collaborative research institute shall be disbanded after being approved by the Vice President in charge, reported by REIO. The assets shall be uniformly arranged and managed by the University:

• The agreement is not renewed by it expires.
• When either party fails to fulfill the contract, a request to disband shall be submitted to REIO under the condition that the specific solutions are mutually agreed through negotiation.

联合研究机构出现以下情况之一的，由科创办报分管副校长批准，予以撤销，资产由学校统一处置及管理：

• 协议到期后未进行合约再续约的；
• 双方未能按照合同履约时，在具体解决方案协商一致的情况下，向科创办提请申请

 

4. Ownership of Intellectual Property Right 知识产权归属

The ownership of the intellectual property right arising from the project undertaken by the collaborative research institute shall be governed by the following terms：

联合研究机构承担项目所产生的知识产权，其归属按下列条款执行：

4.1 The ownership of the intellectual property right arising from the project funded by the enterprise shall be as follows: the existing intellectual property rights of both parties involved in project research and development shall be owned by each party, and one party shall be responsible for keeping confidential for the other party. Intellectual property rights jointly acquired by the University and the enterprise during the project research and development shall be signed by both parties in the intellectual property agreement. The personnel involved in the research and development shall have the right of authorship, and the ranking order shall be determined by the University and the enterprise through negotiation. Under the same conditions, the enterprise shall enjoy the priority of commercial use, and the income distribution shall be stipulated separately. Without the written consent of both parties, neither party shall disclose, transfer or license the research outputs of the project to a third party in any ways.

由企业方资助的项目，其知识产权归属为：项目研发过程中涉及校企双方各自已有的知识产权归各自所有，一方有责任为另一方保密；项目研发过程中校企双方共同获得的知识产权由双方签署知识产权协议详细约定，参与研发的人员具有署名权，排名顺序由校企双方协商决定；同等条件下，企业方享有商业化使用的优先权利，所得收益分配另行约定；未经校企双方书面同意，任何一方不得以任何方式将项目研究成果泄露、转让或许可给第三方。

4.2 The ownership of intellectual property rights arising from other projects jointly undertaken by the University and the enterprise shall be claimed in accordance with the provisions of the project collaboration agreement.

由校企双方共同承担的其他项目所产生的知识产权，其归属按照项目合作协议的约定执行。

 

5. Supplementary Provisions 附则

5.1 The Research Engagement and Innovation Office shall be responsible for the interpretation of the Regulation.

本办法由科研生产力和创新办公室负责解释。

5.2 The Regulation shall be implemented as of the date of issue.

本办法自颁布之日起实施。

 

6. Appendix 附件

6.1 Appendix 1: Flowchart of Establishing a collaborative research institute 建立联合研究机构流程图
6.2 Appendix 2: Agreement template 合同模板
6.3 Appendix 3: XJTLU Collaborative Research Institute Establishment Proposal Form 西交利物浦大学联合研究机构建立提案表

 

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*(1) Non-independent legal entity refers to institute do not have legal personality.

*(2) 非独立法人指机构不具备独立法人资格。

*(3) The secondary institution refers to Schools\Institute\Innovative\ research unit subjected to XJTLU.

*(4) 二级单位是指西交利物浦大学下设的学院、研究院、科研创新载体和机构。

 

(Last review date: 16 Aug 2022)