Applications for Allocations from the
Collaborative Research Fund for 2011/2012

I am writing to invite applications for allocations from the Collaborative Research Fund (CRF) for 2011/2012 and to provide details of the procedures to be followed.

Types of Grants

The Research Grants Council (RGC) has set aside $60.95 million (inclusive of 15% on-costs) for the CRF 2011/2012 exercise. There are two types of grants under the CRF:

Equipment Grant

The main objectives of Equipment Grant are to:

1. enable the acquisition of major research facilities or equipment, including major library acquisitions for research, which cannot otherwise be afforded by one institution and which can be used for collaborative research; and

2. assist institutions in “leveraging” support from equipment suppliers with a view to stretching the value of the RGC's funds further than could normally be possible by making small allocations in connection with individual projects.

The selection criteria to be adopted by the RGC for evaluation of Equipment Grant proposals are at Annex A.

Group Research Grant

The main objective of Group Research Grant is to encourage research groups in UGC-funded institutions to engage in collaborative research across disciplines and / or across institutions with a view to enhancing the research output of institutions in terms of the level of attainment, quantity, dimensions, and / or speed. It provides funding for staff, equipment and general expenses related to the supported projects. In assessing proposals, the RGC puts emphasis on capacity building and the potential of a proposal to develop into an area of strength. Evidence of inter-disciplinary or inter-institutional collaboration would be an advantage but not a condition of application.

The selection criteria to be adopted by the RGC for evaluation of Group Research proposals are at Annex B.

Project Co-ordinators (PC) of group research projects can apply for “renewal” funding. In the 2010/2011 exercise, applications for “renewal” funding are invited from group research projects that were funded in 2007/2008 and 2008/2009. For the projects funded in 2008/2009, since most of them will not be completed until May 2012 and depending on the progress of the research projects, the research teams may choose to defer their “renewal” applications to the next exercise.

To qualify for “renewal” funding, the research teams must demonstrate that remarkable results have been achieved in their current research and there is a good argument and prospect for further research work to continue in the relevant area. A “renewal” proposal should be an extension of the current project led by the same PC and should not constitute any major overlap with research work supported by other UGC/RGC grants. A “renewal” proposal should have its own goal and a new or extended research objective. The applications will be assessed alongside with other group research proposals and will be counted towards the existing institutional quota on submission. A PC is only allowed to submit one single proposal in the 2011/2012 exercise, irrespective of new or renewal application.

For any “renewal” proposal to be funded in the 2011/2012 exercise, the “renewal” project must start upon the completion of the current one before the end of the academic year 2011/2012 (i.e. 30 June 2012). Prior approval of the RGC for variation to the stipulated schedule must be sought in case a research team has difficulty in adhering to the schedule, though approval may only be given in very exceptional circumstances. All funded “renewal” proposals are subject to the same monitoring and accounting requirements as applicable to other newly funded projects under the scheme.

Quota of Applications

Each institution may submit up to a total of 10 proposals, covering equipment, group research and renewal proposals.

Deadline of Submission

All applications must be submitted to the UGC Secretariat by 5:00 pm on 20 June 2011. Please provide four hard copies and one soft copy of the proposals (with size up to 5 MB per proposal). The shortlisting results will be announced by November 2011 through the institutions. The project teams of shortlisted proposals will be invited to selection interviews which are tentatively scheduled for 12 to 14 December 2011. Additional hard copies of each shortlisted proposal will be required to be submitted to the Secretariat on or before 23 November 2011. The funding decision will be announced by end December 2011 / early January 2012.

Application Procedures

Application Forms

Applications for Equipment Grant should be submitted on CRF(E)1 and those for Group Research Grant and Renewal Funding should be submitted on CRF(GR&R)1. The applicants should read the related explanatory notes, CRF(E)2 and CRF(GR&R)2 before completing CRF(E)1 and CRF(GR&R)1 respectively. Each proposal should include a covering one-page summary with a maximum of 400 words prepared in accordance with the template at Annex C. The forms and the explanatory notes can be downloaded from the RGC website (http://www.ugc.edu.hk/rgc).

For “renewal” funding, an up-to-date progress report on the current research project as well as the covering one-page summary of the application proposal should be submitted together with the application form.

Update of Proposals

Applicants may provide a brief update on or before 10 October 2011 should there be any significant changes to the applications after submission, including the eligibility of the PCs, modification of scope, budget proposals etc. It should be emphasized that applicants should not use the opportunity to revise their proposals substantially.

Research Ethics / Health and Safety Approval

Both the applicants and the institutions are required to indicate in the application forms that appropriate approvals have been or are being obtained for projects involving experiments on human or animal subjects or requiring ethics or health and safety clearance. Where such approval is required but has not yet been obtained, the institution should ensure that the approval is submitted to the RGC by 28 October 2011. Otherwise, the RGC will regard this CRF application as being withdrawn and will stop the processing of the application.

Enquiries

If your staff have any enquiries about the application procedures or other aspects of this circular, please call Mrs Alice Sham, Assistant Secretary-General (Research) 1 (Tel; 2844 9996 or email: asham@ugc.edu.hk) or Miss Stephanie Cheung, Senior Research Administrator (1) (Tel: 2844 9989 or email: scheung@ugc.edu.hk).

Annex A

Selection Criteria for Equipment Grant Proposals

The RGC takes into account the following factors in assessing the fundability of a proposal:

1. the merit of the proposal, its contribution to academic / professional development and potential for application, and benefit to tertiary institutions in particular and Hong Kong in general;;

2. the scope for collaborative research / joint use, and the degree of such usage;

3. feasibility in implementation;

4. any institutional support, including that of the sponsoring/collaborating institutions;

5. the prospect of external funding;

6. maximum value for money; and

7. the availability of similar facilities / library acquisitions elsewhere in Hong Kong.

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Annex B

Selection Criteria for Group Research Grant Proposals

The RGC takes into account the following factors in assessing the fundability of a proposal:

1. the academic merits and science content;

2. the long term goal of the proposal and its potential to develop into an area of strength;

3. the opportunities for effective synergism among the participating researchers, research groups and institutions; and

4. the viability of the proposal, particularly in terms of its project management. The project team’s ability to put in place an effective governance structure to monitor collaborating work and to ensure prudent deployment of resources would be important considerations.

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Annex C

Template for the Covering One page Summary

The One-page Summary should be in A-4 paper and in a maximum of 400 words set out the required information in the following order:

1. the relevant funding category under which the proposal is submitted (e.g. Equipment Grant/Group Research Grant/Renewal Funding);

2. the title of the proposal (in both Chinese and English);

3. the name(s) of the coordinating institution and other collaborating institution(s);

4. brief description (in bullet form) of the key objectives and major deliverables of the proposal;

5. the name(s) of the Project Coordinator and Co-investigator(s), and their respective department(s)/unit(s); and

6. the amount of funding being sought from the RGC.

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