Research Development Fund Policy

Effective from 1 September 2024

1. Introduction

Xi’an Jiaotong-Liverpool University (XJTLU) is committed to being a leading research-led University, recognizing that high-quality research leads directly enhances research-led teaching, enriches the student experience, and improves the university’s standing in both national and international rankings. As part of our strategic vision to further strengthen our international standing, XJTLU has established the Research Development Fund (RDF). The RDF aims to foster a supportive and dynamic research environment, to empower newly appointed staff to develop their initial or most recent research projects, to encourage the production of research with significant impact on audiences both within and beyond the academic community, and to create pathways leading to the award of competitive external funding. Through the achievement of these objectives, the RDF is a vital part of XJTLU’s commitment to excellence in research.

In this context, the RDF is composed of two funding schemes targeted towards newly appointed academic staff members: the RDF Start-up Fund (also referred to as RDF-A) and the RDF Catalyst Fund (also referred to as RDF-B). RDF-A is available to all academic staff upon joining XJTLU, while RDF-B is available to candidates with outstanding track records onboarding onto senior positions within the University. The next sections provide further details on these two schemes.

2. General Framework of the RDF

1. The RDF aims to provide new academic staff with an opportunity to apply for internal funding to kick-start their research at XJTLU upon joining.
2. The RDF will support and help to develop projects that have the potential to produce excellent research with impact that significantly enhances knowledge and understanding.
3. Applicants are expected to leverage their RDF success to secure external funding and/or to deliver other research outputs.
4. XJTLU full-time academic staff members can be awarded a specific scheme of the RDF (RDF-A and RDF-B) only once while employed at XJTLU.
5. The maximum duration of an RDF project is limited to three years. For exceptional cases, request for extension can be sent to the Research Management Office (RMO).
6. Funding applications for a teaching-related research project should normally be directed to the Teaching Development Fund.

3. RDF-A: Start-up Fund

XJTLU recognizes the importance of providing newly appointed faculty members with the necessary financial support to initiate their research activities promptly. This support facilitates the launch of initial research projects, promotes innovation, ensures high-quality research output. Strategic funding through initiatives like the RDF-A: Start-up Fund is essential in cultivating a robust and dynamic research environment, thereby advancing the university’s mission to achieve and sustain research distinction.

3.1 Eligibility

Applicants should meet the following eligibility requirements:

• Applicants should be XJTLU full-time academic staff and within the first three years of their employment with the University;
• Applicants should normally have a PhD degree. Should this not be the case, applicants need to provide two reference letters from scholars in the same field of research who hold senior academic titles. Applicants also need to provide evidence of his/her previous research output.

3.2 Application Rounds

1. There will normally be two application rounds in each academic year, with deadlines set on March 1st and September 1st respectively. Applications received after the deadline will be deferred to a subsequent round.
2. Applications should be submitted through the Research Administration System (RAS).

3.3 Review Process

1. Applications will be reviewed by a panel of reviewers appointed by each School/Academy. The School/Academy panels will evaluate applications according to pre-defined criteria including, though not necessarily limited to, academic rigour, originality, potential to generate further external funding, and the presence of pathways to social impact broadly- conceived. Appendix A of this Policy provides further information about the criteria used to prioritise applications.
2. Feedback from School/Academy panels will then be reported to the Chair of the University Research Committee for the final decision to be made. The University Research Committee may request further information if such is deemed necessary to ensure feasibility, value for money and academic quality. The decisions made by the University Research Committee will be final.
3. The outcome of each application will result in a “Fund”, “Revise and Resubmit“, or “Reject”. Applications resulting in a “Revise & Resubmit” can only be resubmitted in a subsequent round of RDF application.
4. Reviewers’ feedback on RDF applications will be collated and sent to the applicants along with the announcement of the outcome.
5. When there is a need to make major amendments to the research topics or the budget of the approved RDF Project, amendment requests should be submitted by the PI and approved by the Chair of the University Research Committee (or designee).

3.4 Project budgeting

The maximum funded amount for an RDF-A project is normally RMB 100,000. Projects Budgeting more than RMB 100,000 will be regarded as exceptional.

Budgeting for the project should be conducted based on the need of the proposed research project, on the principle of efficiency in light of the research objectives, and should be in line with university regulations.

Budgeted expenses should fall within the following three categories:

• Equipment
• Operational Expenses
• Labour Expenses

Appendix B in this policy provides detailed instructions on project budgeting.

3.5 Project Completion

1. The Principal Investigator(PI) should submit the completion report with supporting documents for research outcomes within 3 months after the completion date. Failure to submit the completion report by the deadline may result in negative impacts on PDR.
2. Outcomes of the RDF in the form of journal publications should acknowledge the RDF project in the publication as the first acknowledgement. Electronic copies of publications (including conference papers, journal papers, book chapters, etc.) should be submitted as supporting documents along with the completion report.
3. A presentation of the research project is expected to be conducted in front of an audience of peers in the department/school/academy through research seminars before the submission of the completion report.
4. The completion report will be reviewed by the school panel and validated by the University Internal Review Panel. The result will be categorized as “Outstanding”, “Satisfactory”, or “Unsatisfactory”. Exemplary projects typically will be kept for demonstration purposes at a future stage.
5. The PI should claim all project expenditures within 3 months after the completion date. The remaining funds will be returned to the University 3 months after the completion date.

3.6 Termination of Employment of the Principal Investigator (PI)

1. Where a PI’s employment at XJTLU ceases before the funded project is fully completed, the funded RDF will normally be terminated rather than transferred to another staff member. If there is a Co-investigator and a strong rationale for the necessity of completion, the case will be considered by a panel in the School/Academy.
2. The PI will be expected to write a progress report on the funded project and submit it to RMO where duration exceed one year.
3. Expenditures associated with the project must cease as soon as the RMO is notified that the PI is leaving the University.

4. RDF-B: Catalyst Fund

The RDF-B is normally leveraged during the employment application process of new academic staff, where applicants with outstanding previous records applying to senior positions are considered for the awards of an RDF-B. The Catalyst Fund scheme under the RDF aims to support the University in achieving its strategic targets in terms of academic, educational, and societal impact priorities, as reflected in the provision of RDF-B awards.

4.1 Support Provided

Candidates are able to apply for up to 4 units of support, allocated to the four support types here under:

• Full doctoral scholarship (2 units per scholarship)
• Tuition-waiver doctoral scholarships (1 unit per scholarship)
• Research assistants for a duration of three years, with an annual salary at the University normal range for research assistantship (2 units per assistant)
• Registered postdoc researcher for a duration of two years (4 units per researcher)

The decision to award the RDF-B to a candidate, as well as the extent of the funding, will be determined by the University.

4.2 Eligibility

Applicants should meet the following eligibility requirements:

• The candidate should normally be in the process of applying for employment at the University for the role of Senior Associate Professor or above.
• The candidate must meet at least one of the following requirements:
  
  • Awardee, as PI, of a Chinese national-level talent programme (or equivalent in a country with renowned academic standards)
  • Awardee, as PI, of a highly-recognized and significant Chinese national level research funding programme (or equivalent in a country with renowned academic standards)
  • Have secured other outstanding achievements recognized by the university including but not limited to, being selected as academicians of China or other countries with renowned academic standards; identified as an annual highly cited scientist by a recognized institution or index.

4.3 Application and review process

1. Should the hiring schools/academies wish to recommend the RDF-B support to the new staff member, an agreement shall be reached between the hiring schools/academies and the candidate regarding the RDF-B support required and the outcome expected during the recruitment process. The hiring schools/academies then make a formal application to the Vice President Academic Affairs (VPAA) for the RDF-B on behalf of the candidate.
2. The VPAA reviews the applications in consultation with relevant experts of the field and decides the result and the extent of the support granted.

4.4 Project completion

1. At the end of the three-year funding period, the principal investigator shall submit the completion report based on the outcomes of the project. The completion report should be reviewed by the school/academy and then sent to VPAA for final review and approval.
2. The review of the project outcome will be categorized as “Satisfactory” or “Unsatisfactory”. In relevant instances, the assessment result can be rated as “Outstanding” if the project not only delivers the expected research outcome, but also meets one of the following conditions during the project implementation period:

• Awardee, as PI, of a Chinese national-level talent programme;
• Awardee, as PI ,of a highly recognized and significant Chinese provincial level or above research project or international cooperation project;
• Awardee, as PI, of a research award that is provincial level or above;
• Awardee, as PI, received cumulative research funding of over 6 million RMB (including funding received from government and industrial partners).

4.5 Termination of Employment of the Principal Investigator (PI)

Where a PI’s employment at XJTLU ceases before the funded project is fully completed, the following terms apply:

• Any granted headcount or resources left unused will be cancelled.
• Ongoing PhD and postdoctoral researchers will be transfer to another supervisor at XJTLU and will continue receiving relevant financial support until graduation or completion of the project.
• For ongoing research assistants, schools/academies will make appropriate arrangements according to the signed agreement and in line with University policies.

For inquiries, please contact the Research Management Office at RDF@xjtlu.edu.cn

Appendices:

Appendix A – Review Criteria of RDF applications (as below)

Appendix B – Guideline on the project budgeting (as below)

(Last review Date: 25-Jun-2024)

APPENDIX A: RDF-A Application – Review Criteria

1. Background

As a research-led University, XJTLU strongly believes in academic research as a catalyst for improvement, leading to enhanced learning experience for our students, greater impact of the University on society, as well as better recognition in world and national rankings. In order to provide our faculty with the best springboard to develop their research portfolio, the University has created the Research Development Fund (RDF), which aims to provide newly appointed faculty with the resources to quickly and effectively engage with research activities. The list of criteria here under will be used by reviewers to assess RDF applications. These will also be shared with applicants to inform their preparation of application materials.

2. Review Criteria for RDF applications

a) Significance, originality and creativity

• The project should deal with an important question and will have advanced or have substantial impact on the body of knowledge in in the specific field(s) of research.
• Research aims are feasible, focused, and clearly stated.
• The context and background for the research, and the extent to which the proposed research builds on what is known and contributes to it should be explained. Relevant current national and international research must be adequately cited.
• The project is innovative, original, and creative.

b) Methodological and theoretical robustness

• The connection between research aims, conceptual framework and research strategy should be relevant. Choices of research strategy and methods (collection, record, and analyses) should be adequately justified.
• Limitation of research and the potential audience of the research findings are clearly identified.
• Compliance with ethical and legal principles is essential.
• Research timeline must be realistic.

c) Research credibility and dissemination

• A dissemination and output strategy is clearly and realistically outlined, including top international journals, publishers, conferences, patents, etc.

d) Budget

• Expenses: The overall budget is sensible and adequate for the research proposed in accordance with the principle of value for money.

e) Overall quality of proposal

• The degree of compliance with the application guidelines (for instance, in line with the required word limit).
• Quality of contents, presentation, writing and referencing.

Appendix B: Guideline for RDF-A project budgeting

1. Equipment

Equipment refers to the costs related to the purchase or trial manufacturing of special equipment, upgrading of existing equipment, as well as leasing equipment from third parties during the process of project implementation. Computing instruments and equipment, and software can be itemized under equipment cost.

2. Operational Expenses

Operational expenses can cover the following items:

• Consumable expenses: refer to the costs related to the purchase, transportation, loading and unloading, and sorting of raw materials, auxiliary materials and consumables that are consumed during the process of project research.
• Testing/computation/analysis expenses: refer to the expenses related to fees paid to third parties (including the internal units with independent accounting) for testing, measuring and processing purposes during the process of project research.
• Reference/information dissemination expenses: refers to journal publication fees, literature search fees, professional communications fees, expenses for patent applications and other intellectual property related matters.
• Travel expenses: refer to domestic and international travel expenses incurred in relation to tasks including scientific experiments, scientific investigations, field trips, academic exchanges; Travel expenses can also include costs incurred in relation to the organization of seminars and workshops for this research project.

3. Labour Expenses

Labour expenses refer to the payments to the non-full-time research assistant during the implementation of the project as well as the costs incurred from hiring experts for consulting purposes.

Note: funding normally cannot be requested to cover the following:

• Publication fees of Open Access Journal
• Attendance at academic conferences – these can normally be requested through School/Academy budgets
• Purchase of books – these are normally met from the library budget
• Premium Computing equipment and accessories- computing equipment purchased through RDF funding should be selected based on functional needs. In cases where premium brands/models (e.g. Apple, Surface) are required to fulfill functional needs in the research project, a justification should be provided.