Application for Setting up an Account for a Research Project

Application for Setting up an Account for a Research Project

(Other than the funding schemes for which the RO issues calls for applications &

Collaborative Research)

Performance Pledge: The RO will set up a project account within 14 working days

(on receipt of a full and complete application, and appropriate approval) 

Notes:

This form is only applicable to projects OTHER THAN: (i) those under the funding schemes for which the RO issues call for applications; and (ii) those belong to collaborative research in which case form RC/47 should be used. Examples of projects which this form is applicable include projects supported by research grants obtained from open bidding funding schemes inside or outside Hong Kong for which the RO does not issue call for applications, projects where funding is transferred from other institutions/organizations for use by our academic staff involved as Co-Investigators (Co-Is), and projects supported by internal funding like Faculty’s Reserve, Dean’s Reserve, DEA or One-line Budget.
For internal funding, full-time academic staff in PolyU substantive staff grades mapped to grades A– Ias defined by the UGC (except visiting or temporary academic staff) and those senior executives who are appointed to a non-academic position and are offered a concurrent appointment as academic staff members by the University will be eligible to act as Principal Investigators (PIs). For external funding, all staff members in academic departments/division/schools, irrespective of their grades, are eligible to apply as PI on condition that they have fulfilled the eligibility criteria imposed by the funding bodies and that their appointment period in PolyU is long enough to cover the project period.
The following documents are required to be attached to this application form: (i) Letter of collaboration/ grant approval (for externally-funded projects); and (ii) Research proposal.
Please note that all the information and personal data you have submitted in connection with this application, together with the subsequent assessment information, may be made available to various parties concerned for the purposes of application, research project monitoring and administration, and for other related purposes.
Research projects which are funded by external bodies and administered by the RO will be monitored by the Research Committee in the same manner as internally-funded projectsif there are no specific reporting requirements laid down by the external funding bodies. PIs are requested to make reference to the existing rules and regulations detailed in the Handbook for Projects and Grants.

Part I – Research Team of the Project
Name of PI / (Title) / (Surname) / (Other Names) / Staff No.
Dept. & Cost Centre / Post / Extension
No. / Name / Dept. for internal team member(s) (Institution for external one(s)) / Post / Role^ / Staff No.+ / Ext.+
1
2
3

^ Co-PI, Co-I or Team Member + For PolyU staff only

Declaration [To be completed by internalteam member(s) who does/do not have a doctoral degree]

Please tick only one of the following: / PI / No. 1 / No. 2 / No. 3
(i) / I am registered for a higher degree. I declare that this project does not overlap with my higher degree studies.
(ii) / If I later register for a higher degree/ an additional higher degree, I will report this to the RC and I understand that the grant may be withdrawn if it is considered that a potential overlap exists.
(iii) / I will not register for a higher degree in the future.
Signature:
Date:

* Please delete as appropriate in the following.

Part II – Funding Agency
Name of Funding Agency
(Please also state the country for an overseas agency)
Nature of Funding Agency / * Government in Mainland or HK / Government-related body in Mainland or HK / Statutory Body in Mainland or HK / Charity / NGO / University /
Others (please specify): ______
Part III – Project Details
Project Title
Project Duration / month(s) [As confirmed by the funding agency, it is a must/ not
necessary* to seek approval from the agency for project extension.]
Total Amount Secured / HK$ / [If the funding is in a foreign currency other than US$,
please liaise with the funding agency the possibility to release the funds in US$
to minimize the effects of fluctuations in exchange rates.]
Commencement Date / Keywords
(up to 4) / 1. / 2.
3. / 4.
Budget Breakdown [As confirmed by the funding agency, it is a must/ not necessary* to seek approval from
the agency for budget virement]:
Staffing / (a) Salary: HK$
(b) MPF#: HK$
Equipment / HK$
General Expenses / HK$
Conference Attendance / HK$
Contract for service / HK$
Insurance / HK$
Overhead Charge ## / HK$ / (i.e. / % of the total direct cost of the project)
# 5% of the employee’s monthly income or HK$1,500, whichever is less.
## It is the University’s policy that a flat rate of at least 15% overhead (of the total direct cost) should be charged for projects supported by external funding body. Any shortfall should be borne by the department concerned and the University Central on a 1:1 ratio.Exemptions with strong justifications will be considered by VP(RD) on a case-by-case basis. Funding bodies below are exempted from the provision of overhead with any shortfall in overhead charges being waived and wholly supported by the University Central: (a) Governments, Government-related Bodies, and Statutory Bodies in Mainland and Hong Kong; (b) Charities; (c) Non-governmental Organisations (NGOs); and (d) Universities.
I would like to carry out the research because (please tick only one of the following justifications):
(a)The research is in line with the core research strength and development of the University.
(b)It is a new area of research development which is worth exploring.
(c)It is contributory to accomplishing the societal mission of the University.
(d)Others, please specify:
Payment by the Funding Agency(Please put a tick in the appropriate box.)
One-off payment
By reimbursement
By instalment (There are a total of instalments. The instalments will be paid by the Funding
Agency on the following due dates:
Instalment No.
(1st, 2nd etc.) / Due Date
(dd/mm/yyyy) / Instalment No.
(1st, 2nd etc.) / Due Date
(dd/mm/yyyy)
Research Ethics/Safety Approval [Please read the policy and procedures for safety approval available on the website of the Health, Safety & Environment Office. For projects involving animal or human subjects, ethical approval must be obtained. Please refer to Sections 5.2 and 5.3 (relevant to animal subjects) and Sections 5.4 and 5.5 (relevant to human subjects) in the Handbookfor Projects and Grants for details.]
I confirm that approval (^Please tick as appropriate):
^has been obtained@ / ^is not required / ^will be obtained before the start of the project@@
Human Research Ethics
Animal Research Ethics
Biological Safety
Ionizing Radiation Safety
Non-ionizing Radiation Safety
Chemical Safety
@ Please attach a copy of the approval to this application.
@@ Please provide a copy of the approval to RO as and when it is ready.
Submission of Progress/Final Report to the Funding Agency(Please tick the appropriate box.)
Submission of progress/final report to the Funding Agency is not required. The progress/final report
will be submitted via the University internal Annual Research Monitoring Exercise (ARMEx).
Submission of progress/final reports to the Funding Agency is required. The due dates for
submitting reports are shown below:
Report Type / Due Date (dd/mm/yyyy) / Report Type / Due Date (dd/mm/yyyy)
Progress/Final* / Progress/Final*
Progress/Final* / Progress/Final*
Progress/Final* / Progress/Final*
Progress/Final* / Progress/Final*
Part IV – Signature of Applicant (PI)
I declare that the team member(s), if any, listed under Part I above has(have) agreed to participate in this project as planned if this application is approved. I/We understand that the project, although being externally-funded, is subject to the same kind of monitoring and administration as internally-funded projects, apart from following the requirements of the external funding body. I/We agree to comply with the prevailing rules and regulations detailed in the Handbook for Projects and Grants.
Signature / Date
Applicant (PI)
Part V – Endorsement of Departmental/Faculty Research Committee/School Board
On behalf of the DRC (FRC/School Board if the DRC Chair is one of the research team members), I confirm that the research proposal accompanying this Application Form has been vetted and endorsed by the DRC/FRC/School Board*.
Comments (if any):
Name / Signature / Date
Chair, DRC/FRC/School Board*
Part VI– Endorsement of Head of Department/Dean of School/Dean of Faculty/DP
Note: If the Head of Department/Dean of School is one of the research team members, this part should be completed/signed by the Dean of Faculty concerned/DP.
I endorse the above application.
Comments (if any):
Name / Signature / Date
Head of Department/Dean of School/
Dean of Faculty/DP*
Part VII – Approval of Budget Holder (for Internally-funded Projects)
I approve the above application supported by *Faculty’s Reserve/ Dean’s Reserve/DEA/One-line Budget/ Others (please specify):
Comments (if any):
Name / Signature / Date
Budget Holder
Part VIII – Approval of Vice President (Research Development)
(for externally-funded projects with no provision of overhead charge or the provision is less than 15%)
(VP(RD)’s approval NOT REQUIRED.)
Overhead charge is 15% of the total direct cost of the project.
Provision of overhead by the funding body is exempted because the funding body is a (a) government, government-related body or statutory body in Mainland/ Hong Kong; (b) charity; (c) non-governmental organisation (NGO) or (d) university.
Overhead charge is % (i.e. 0% or less than 15%) of the total direct cost of the project. The shortfall will be borne by the department concerned and the University Central on a 1:1 ratio.
(VP(RD)’s approval REQUIRED.)
Overhead charge is % (i.e. 0% or less than 15%) of the total direct cost of the project. The department requested exemption from bearing the shortfall with strong justifications provided for VP(RD)’s consideration.
I approve / do not approve * the request for exemption for the department to bear the shortfall in overhead according to the justification provided.
Comments (if any):
Signature / Date
VP(RD)