Call for Preliminary Proposals
Theme-based Research
Scheme 2017/18 (Seventh Round)
Call for Preliminary Proposals
Purpose
The Research Grants Council (RGC) is inviting the eight University Grants Committee (UGC)-funded universities to submit preliminary proposals for the Theme-based Research Scheme (TRS) 2017/18 (Seventh Round).
Objectives of the Scheme
2. To reaffirm its continued support to research and development, the Government set up a Research Endowment Fund (REF) with a one-off grant of $18 billion in 2009. The investment income1 from up to $4 billion will be used to finance research projects on specific themes under the TRS. The objective of this scheme is to focus academic research efforts of the UGC-funded universities on themes of strategic importance to the long-term development of Hong Kong.
1 The funding available for the TRS depends on the investment returns of the REF.
Preliminary Proposals
3. All applications should be made under one of the research themes and one of the grand challenge topics under the respective theme as listed below:
| (a) | Promoting Good Health | |
| 1. Infectious
Diseases 2. Understanding Disease Mechanisms to Improving Health 3. Stem Cells and Regenerative Medicine 4. Wellness Enhancement |
||
| (b) | Developing a Sustainable Environment | |
| 1. Water
Pollution and Water Treatment 2. Sustainable Built Environment 3. Energy Harvesting, Conversion and Conservation 4. Air Quality |
||
| (c) | Enhancing Hong Kong's Strategic Position as a Regional and International Business Centre | |
| 1. Hong Kong's
Future as an International Financial
Centre 2. Promoting Hong Kong's Business through Networking Capability 3. Promoting Hong Kong as a Centre of Excellence for Business Services 4. Innovation and Business Creation |
||
| (d) | Advancing Emerging Research and Innovations Important to Hong Kong | |
| 1. Big Data 2. Imaging, Robotics and Smart Manufacturing 3. Urban Infrastructure 4. E-learning and Digital Citizenship |
4. General information common to the four themes are set out at Annexes A and B. Details about the grand challenge topics are set out in Annex C.
5. The template on Call for Preliminary Proposals is at Annex D while an implementation timetable is at Annex E.
6. All applications must be submitted to the UGC Secretariat through the Research Office of the coordinating university by 5:00 pm on 23 September 2016. Please provide six hard copies and one soft copy of the proposals (allows search function and with size up to 5MB per proposal). The soft copy should contain all the information as presented in the hard copy. Please save all files in one CD or one USB memory stick, with the file names identical to the project reference number specified in the fifth paragraph off Annex D.
7. The guidelines for the handling of information and personal data contained in the applications are available at the RGC website http://www.ugc.edu.hk/doc/eng/rgc/form/GRF2.pdf.
Code of Conduct
8. The RGC is fully committed to the principle of honesty, integrity and fair play in the conduct of its business. All application should comply with the RGC Code of Conduct which is available on the RGC website http://www.ugc.edu.hk/eng/rgc/code_of_conduct.pdf.
RGC
July 2016
Annex A
Theme-based Research Scheme 2017/18 (Seventh Round)
General Points Applicable
to the Four Themes
| (a) | Preliminary proposals are called to improve the efficiency of both the proposal preparation process and the peer reviewing process. |
| (b) | The Research Grants Council (RGC) encourages collaboration amongst different universities and multiple disciplines with the view that complex problems and high impact projects would often require the participation of talents from multiple disciplines and different organisations. The formation of the complete research team would best be done at the beginning of the project even though it is reasonable to introduce new talents at various stages of the investigation when needed. |
| (c) | The RGC encourages evidence-based research and that data collected using the RGC funds should be made available to other researchers in a timely manner (detailed guidelines to be established, according to practices adopted by different disciplines, and having regard to the need for a longer closure period where patent applications are involved). |
| (d) | It would be best to involve stakeholders in all phases of the project, from steering of the research direction at the beginning, to provide advice, to transfer the results to impact the target sector of the society. |
| (e) | Applicants who contemplate applying for funding support from the Innovation and Technology Fund at a later stage may provide a technology transfer plan in the preliminary proposal for advance information of the Innovation and Technology Commission. This plan will not be assessed by the RGC for the purpose of shortlisting proposals, i.e. the assessment criteria as set out at Annex D will not be affected. |
| (f) | The proposal should include a knowledge dissemination plan with the aim to communicating the project outcomes to not only the research community but also other stakeholders such as the general public, relevant industrial sectors and policy makers. |
| (g) | The project should have a plan for the training of future research talents and a plan to transfer relevant research results to benefit education such as degree programs, course work, etc. |
| (h) | The maximum duration of a project should be five years, and there will be sunsetting provisions prescribing a review at two years and four years after the start of the project. The project team could submit a proposal approaching the end of the project with a view to continuing the research initiative or bringing the research efforts to a more advanced phase. |
| (i) | The total approved budget for a funded project comprises (i) direct project cost; (ii) on-costs to be provided directly to university's management to cover overhead expenditure for the project (the on-cost rate for the TRS projects funded in 2017/18 will be 27% of the direct project cost); and (iii) annual allowance of the Project Coordinator (PC1) (the current rate of PC allowance is $0.308 million per year). |
| (j) | The ceiling of direct project cost per project to be awarded by the RGC is $75 million (or $15 million per year for up to five years). Projects with exceptional reasons and justification may be allowed to exceed the $75 million direct project cost limit. There is no funding floor for the projects. Within the $75 million direct project cost limit, projects of different scale are eligible to apply. With reference to the past exercises, the typical funding per project is expected to be in the range of $10 million to $40 million, inclusive of on-costs and PC allowance. |
| (k) | Coordinating universities are required to commit at the application stage that they would contribute 10% of the total approved budget, in real money, for a funded project. Under the matching requirement, the ratio of 90% (RGC) : 10% (university) applies to direct project cost, on-costs and PC allowance. |
| (l) | To ensure that the PCs of major projects will spend reasonable time on project management, a PC of major projects (i.e. projects funded under the TRS and the Areas of Excellence Scheme) should hold no more than two on-going projects at the same time. The PCs and coordinating universities are required to commit at the application stage that if the project is funded, the PC would spend sufficient time on the project throughout the project period. The length of time spent should be commensurate with the PC allowance for a funded project to release/partly release the PC from normal teaching and administration duties to focus efforts on the research project. |
| (m) | PCs of funded projects are required to include in the completion reports URL links to the university's repository or the publishers' websites so that the public can have quick and easy access to the manuscripts or journal articles (though the public may be required to subscribe at the publishers' websites). They are also encouraged to include in the completion reports the data repositories where research data of their projects can be accessed and shared; and |
| (n) | As an initiative to highlight the impact of the TRS on research and societal development in Hong Kong and worldwide, coordinating universities are required to commit at the application stage that if the project is funded, they would provide a video clip on the research project and achievements to publicise the project's research achievements within three months upon satisfactory rating of completion report. The video should be bilingual (e.g. English narration with Chinese subtitles or vice-versa) and lasts for about three minutes, its format should be supported by YouTube. It will be vetted by the relevant Monitoring and Assessment Panel. PCs of completed projects are also encouraged to upload the video clips onto their universities' own websites or video channels. |
1 An annual allowance of up to a maximum of two-month average salary of a Chair Professor will be provided to each funded project to release/partly release the PC from his/her normal teaching and administration duties to focus his/her efforts on the research project. There is no need for the PC to apply and the allowance will be disbursed to respective coordinating universities.
Annex B
SMatching Funding
for Projects under the
Theme-based Research Scheme 2017/18 (Seventh
Round)
Operational Arrangement
I. Submission of preliminary proposals
II. Submission of full proposals
III. Announcement of funding results
IV. Monitoring and Assessment of Funded
Project
V. Return of Unspent Project Fund
Annex C
Theme-based Research Scheme 2017/18 (Seventh Round)
Themes and Topics
Theme 1 - Promoting Good Health
This theme aims to promote health and prevent disease of special importance in Hong Kong and to contribute to the well-being of society at the regional and global levels.
Proposals are sought to address one or more of the following:
1. Infectious Diseases
2. Understanding Disease Mechanisms to Improving
Health
3. Stem Cells and Regenerative Medicine
4. Wellness Enhancement
Priority will be given to proposals that develop new knowledge in fundamental mechanisms of disease; solve major applied problems in health; develop, use, and/or evaluate novel innovative technologies; or provide new knowledge on diseases and conditions of special importance to Hong Kong.
Proposals should give the rationale for the diseases and the approaches selected and how new funding would accelerate discovery or translation that would not be accomplished by current RGC funding mechanisms.
In areas where Hong Kong has established programs of research, Theme-based support could also be used to establish how to overcome "barriers" in disseminating or translating new discoveries to improving and maintaining individual or population health; building a cadre of future scientists; making the transition to international prominence.
Topic 1: Infectious Diseases
Research proposals should focus on infectious
diseases which are prevalent in Hong Kong
and neighbouring region, or areas that the
Hong Kong academic community has a competitive
edge. Possible areas include hepatitis viruses;
influenza; EBV and nasopharyngeal carcinoma;
HIV; drug-resistant pathogens; emerging
infectious diseases; novel diagnostics;
treatment/drug discovery/traditional Chinese
medicine; vaccine and other prevention measures;
and psychosocial and cultural determinants
of health behaviours relevant to the transmission
and prevention of infectious diseases.
Topic 2: Understanding Disease Mechanisms
to Improving Health
Research proposals should focus on interdisciplinary
study of fundamental biology to improving
health with special relevance to Hong Kong
and the region, including but not limited
to Down's syndrome, nasopharyngeal carcinoma,
hepatic and lung cancer, neurological diseases
and aging. Possible areas include understanding
of the molecular and cell biology of these
diseases; clinical validation of putative
bio-markers; novel therapeutic strategies;
drug development; bioinformatics; prediction,
prevention and treatment of human disease.
Topic 3: Stem Cells and Regenerative
Medicine
Research proposals should focus on the study
of stem cells and regenerative medicine
that exploit the special competitive advantages
of the Hong Kong research environment such
as access to embryonic stem cell and cost
effective animal facilities. Possible areas
include embryonic stem cells; postnatal
and adult stem cells; induced pluri-potent
stem cells and reprogramming; tissue engineering
and the development of novel technologies
for the culture, analysis and imaging of
stem cells; organ regeneration; disease
modelling; and production of therapeutically
relevant cell types from stem cells, their
validation in animal models and/or clinical
trials and associated manufacturing challenges.
Topic 4: Wellness Enhancement
Research proposals should focus on interdisciplinary
studies that identify and promote modifiable
factors associated with good health outcomes
in individual Hong Kong/Chinese residents
and the populations of Hong Kong and China
throughout the lifespan that could transform
the field of health promotion globally.
Possible areas may include the formulation
and testing of bio-psycho-social models
of health; the examination of sleep factors
and circadian rhythms as determinants of
good health; and the behavioural, communication,
and economic science that identify and promote
healthy life-style, including recreational
and sports activities, in a variety of populations
(e.g., children, adolescents, pregnant mothers,
working adults, care-givers, the aging).
Theme 2 - Developing a Sustainable
Environment
This theme aims to promote a responsible form of development friendly to our environment. Given the trans-boundary nature of environmental problems, research collaboration with other associated areas is strongly encouraged.
Under this theme, proposals are sought to address fundamental and applied research issues on one or more of the following four topics:
1. Water Pollution and Water Treatment
2. Sustainable Built Environment
3. Energy Harvesting, Conversion and Conservation
4. Air Quality
Priority will be given to proposals that provide novel analytical approaches, develop innovative technologies, provide fresh empirical evidence, science-based simulation and modelling, and which provide practical insights to educate the public and to assist policy decisions by government and industry on issues of importance to Hong Kong, the Pearl River Delta and beyond.
Topic 1: Water Pollution and Water
Treatment
Proposals should focus on research pertaining
to the sustainable use of water resources,
enhancement of water quality, chemical characterization
and mitigation of pollutants, social and
economic impacts of water pollution, innovative
technologies on water treatment, identification
of the sources and transport mechanisms
of the pollutants, and protection of the
health and beneficial uses of the aquatic
ecosystem in Hong Kong and the Pearl River
Delta.
Topic 2: Sustainable Built Environment
Proposals should focus on enhancing the
sustainability of the built environment,
especially issues relating to the provision
of high quality working and living environments,
green buildings, and the social, economic
and environmental impact of urban development.
Sub-topics suggested are integrated building
design, building materials, indoor air quality,
wind induced vibrations, urban planning
in relation to the ventilation, energy consumption,
energy generation, etc.
Topic 3: Energy Harvesting, Conversion
and Conservation
Proposals should focus on multidisciplinary
research on photovoltaics, solid-state lighting,
energy conversion and storage systems, power
grids, and solar, wind and wave energy harvesting.
The proposed projects should also aim at
creating IP rights and patents to help transform
Hong Kong into a knowledge-based economy.
Topic 4: Air Quality
Proposals should focus on the challenge
to improve the air quality of Hong Kong
and the Pearl River Delta through integrated
multidisciplinary research and involvement
of stakeholders including the government,
business and NGOs. Radically new approaches
directed towards monitoring, experimental
modelling, mapping, chemical characterization
and mitigation of air-borne pollutants to
allow the formulation of appropriate policy
and strategy of air quality management are
encouraged.
Theme 3 - Enhancing Hong Kong's Strategic
Position as a Regional and International
Business Centre
To capitalize on the emerging economic significance of China, it is of paramount importance for Hong Kong to deepen its appreciation of the dynamic development of regional Asian economies so as to enhance its position as an economic hub.
Under this theme, proposals are sought to address fundamental research issues on one or more of the following four topics:
1. Hong Kong's Future as an International
Financial Centre
2. Promoting Hong Kong's Business through
Networking Capability
3. Promoting Hong Kong as a Centre of Excellence
for Business Services
4. Innovation and Business Creation
The success of various business sectors in Hong Kong can be attributed to multiple enabling factors including Hong Kong's global connectivity and strong links with the Mainland; its investments in human resources (including, but not limited to education); and Hong Kong's legal and governance systems. These enablers are considered relevant to all the topics identified under this theme.
Priority will be given to proposals that provide novel analytical approaches, develop innovative methodologies, offer new theoretical insights, and generate fresh empirical evidence that yield practical insights for policymakers and relevant stakeholders on issues of importance to Hong Kong's economy. Proposals should have strong foundations in theory, and be grounded in the extant research within the relevant fields.
Topic 1: Hong Kong's Future as an
International Financial Centre
Research proposals should advance analytical,
empirical and institutional knowledge that
is relevant to enhancing Hong Kong's role
as a leading international financial centre.
Topics of interest include, but are not
limited to, the economics of financial innovation;
the sources, mechanisms and management of
global systemic risk; issues relating to
market microstructure in Asian financial
markets; internationalization of the Renminbi;
consequences of the liberalization and global
integration of Chinese financial markets;
and the economic geography of Hong Kong's
strategic location in the Pearl River Delta.
Topic 2: Promoting Hong Kong's Business
through Networking Capability
Research proposals should advance analytical,
empirical and institutional knowledge that
is relevant to enhancing Hong Kong's networking
capability relating to the flows of goods,
services and capital across global markets.
Topics of interests include, but are not
limited to, the contribution of transport
and logistics networks in the Pearl River
Delta to Hong Kong's growth and future development;
Hong Kong's role as an orchestration point
for supply network coordination in emerging
economies; the significance of cultural
and linguistic factors in expanding business
networks; multiculturalism as a business
capability; business applications of new
domains in social media and crowd sourcing;
and the impact of social networks on corporate
decisions and strategies.
Topic 3: Promoting Hong Kong as a
Centre of Excellence for Business Services
Research proposals should advance analytical,
empirical and institutional knowledge that
is relevant to enhancing Hong Kong's role
as a centre of excellence for innovation
in business services. Topics include, but
are not limited to, mechanisms for inter-organizational
learning and innovation; intellectual property
rights management; optimization methods
for service delivery; extensions to the
provision of public and social services;
extensions to the cultural and media industries;
the cultural and social psychological aspects
of employee motivation in service organizations.
Topic 4: Innovation and Business
Creation
Research proposals should advance analytical,
empirical and institutional knowledge that
is relevant to enhancing the creation and
incubation of new business, as well as the
revitalization of existing enterprises.
Areas of study include, but are not limited
to, technology commercialization; family
businesses; business alliances; governance
mechanisms and capital allocation in high-growth
businesses; growth strategies for small
and medium sized enterprises; structure
and processes in social enterprises (for-profit
entrepreneurs, public-private alliances,
and non-governmental organizations); the
culture and social psychology of entrepreneurs;
application of design thinking; entrepreneurial
decision-making; talent development and
retention to foster entrepreneurship and
innovation; risk-taking and opportunity
identification; and corporate entrepreneurship.
Theme 4 - Advancing Emerging Research
and Innovations Important to Hong Kong
This theme aims at advancing our knowledge and facilitating the development and application of research innovations important to Hong Kong. This will contribute to powering world-class industries and developments at the local, national, regional and global levels, and capitalize on Hong Kong's existing strengths in research and innovation. The theme echoes the great importance the Government attaches to the innovation and technology industries as well as research in humanities and social science.
Proposals are sought in this round to address one or more of the following (these topics will be reviewed and may be revised in future):
1. Big Data
2. Imaging, Robotics and Smart Manufacturing
3. Urban Infrastructure
4. E-learning and Digital Citizenship
The research should impact on the creation, application, and transfer of knowledge in Hong Kong, and possibly the Mainland and the region, and should foster interaction with our neighbours and help Hong Kong researchers leverage their research strengths.
Priority will be given to proposals that involve inter-institutional and cross-disciplinary collaborations, both basic and applied. Partnering with stakeholders including Government agencies and the industrial sector is encouraged.
Topic 1: Big Data
This topic covers computational and analytical
approaches suitable for handling very large
and potentially heterogeneous data. Activities
may range from machine-learning research,
development of distributed computational
approaches, cloud-enabled implementation,
to cross-domain big data analytics. Research
proposals should be motivated by applications
relevant to Hong Kong, including but not
limited to, smart cities, e-learning, data-driven
policy-making, health, e-finance, mobile
data, and the internet-of-things.
Topic 2: Imaging, Robotics and Smart
Manufacturing
Research proposals should focus on (1) image
acquisition, processing and analysis, and
visualization for sub-topics such as, but
not limited to, disease detection, sensing
and actuation, and real-time 3-dimensional
modelling; (2) smart robotic technologies
in applications such as, but not limited
to, autonomous navigation, bio-manipulation,
manufacturing, and services in high-risk
environments; and (3) smart manufacturing
in technologies such as, but not limited
to, bio-printing, medical devices, and complex
multi-material composites. Investigations
on nanoscale technologies and manufacturing
and the social implications of human-machine
interactions are also encouraged.
Topic 3: Urban Infrastructure
The grand challenge in Urban Infrastructure
addresses the research and implementation
of the "Smart City", which involves
the use of technologies to provide intelligent
response to the needs of the city. Proposals
should focus on smart buildings, intelligent
transportation systems, urban geo-informatics
which studies the structure, algorithms,
behaviour, and interactions of natural and
artificial systems in the urban context,
and resilience of infrastructure networks
such as water, power, gas, transportation,
and communication.
Topic 4: E-learning and Digital Citizenship
Research proposals should focus on advancing
digital technologies for learning, development
of twenty-first century skills, teaching
creativity, problem-solving and innovation,
social inclusion, equity and the digital
divide, life-long learning and policy-implications,
and the role of other stakeholders including
parents, employers and professional associations.
Research is also encouraged on how the provision
of digital literacy evolves as labour market
demands and education systems change.
Annex E
Research Grants Council
Theme-based Research Scheme 2017/18 (Seventh
Round)
Implementation Timetable
| Timing |
Event |
| July 2016 | The Research Grants Council (RGC) invites preliminary proposals from universities |
| 23 September 2016 (5:00 pm) | Deadline for universities to submit preliminary proposals to the RGC |
| October - December 2016 | Review of preliminary proposals by the RGC |
| mid December 2016 | The RGC to finalise the shortlist |
| late December 2016 | Universities to be informed of shortlisted proposals and invited to submit full proposals |
| late February / early March 2017 | Deadline for universities to submit full proposals |
| mid March - May 2017 | Peer Review of full proposals by Selection Panel and external reviewers |
| late May 2017 | Universities to be informed of projects invited for interview |
| June 2017 | Selection Panel to conduct interviews and to evaluate the full proposals, and the RGC to make funding decisions on the advice of the Selection Panel |
| July 2017 | The RGC to announce funding results |