Central Policy Unit

CENTRAL POLICY UNIT

Application Form for

Public Policy Research Funding Scheme

Notes for Applicants

l In order to ensure consistency and fairness to all applicants, this application form must be completed in the following standard format. Failure to comply with the following format may lead to disqualification of the application.
Font: Georgia (for English); 新細明體 (for Chinese)
Font Size: 12 point
Spacing: Single-line spacing
Attached Document: Not allowed unless otherwise specified
l To safeguard the interests of the researcher and the institution/think tank, awardee institution/think tank bears the primary responsibility for prevention, detection and investigation of research misconduct, including but not limited to misuse of funds, data falsification, plagiarism and self-plagiarism. The institution/think tank is strongly advised to use anti-plagiarism software before submitting the application to the Central Policy Unit (CPU).
l All applicants must read the Guidance Notes in completing the application form.
l The English version shall prevail whenever there is any discrepancy between the English and Chinese versions.
For Official Use Only
Application No.:

CENTRAL POLICY UNIT

Public Policy Research Funding Scheme

Application Form

PART I SUMMARY OF RESEARCH PROPOSAL

[To be completed by the applicant(s)]

1.1 Name, Post, Affiliation and Contact Details of the Principal Investigator (PI):

Title
(Prof/Dr/
Mr/Ms) / Name / Post / Institution#
/Think Tank / Contact Details
(Tel & Email)
English
Chinese

# For PI in tertiary institutions, please also specify unit/department.

1.2 Title of Project:

(English)
(Chinese)
1.3 / Project Duration: / months
1.4 / Total amount: HK$

1.5 Indicative Research Areas

Please indicate the research area/s to which the project belongs by using the relevant CPU code. (See Annex I of the Guidance Notes.)

CPU Code:

1.6 A maximum of five keywords to characterise the work of your proposal

(a maximum of 30 letters for each keyword)

1)
2)
3)
4)
5)

1.7 Abstract of research comprehensible to a non-specialist

(a maximum of 400 words each in both English and Chinese)

PART II DETAILS OF THE RESEARCH PROPOSAL

2.1 Research Details

2.1.1 Objectives and Policy Implications

(a) Please list the objectives in point form below:

(b) Please state clearly the policy relevance of the proposal on public policy in Hong Kong : (a maximum of 400 words)

2.1.2 Background of Research, Research Plan and Methodology

(a) Background of research : (a maximum of 7 pages)

(b) Research plan and methodology : (a maximum of 7 pages)

[Please list the publications cited in Section 2.1.1 and 2.1.2. All references should be provided in full and include all authors.]

(d) Is access to Government or official data and records critical to the proposed project?

No
Yes
The approval of access to the related data/records / has been / is being sought.

[Note: If access to Government or official data and records is critical to the proposed project, please attach evidence in this application that the government department(s) or official agency(ies) has/have been approached for approval of access to the related data/records and subsequently provide confirmation of such approval.]

2.2 Project Funding: Cost and Justification

[There is no upper limit for each application. Institutions/think tanks are required to provide strong justification for any project costing over HK$1 million. PPR funds must not be used for (1) the remuneration of PIs and Co-Investigators (Co-Is), or to subsidise their salaries, including honorarium, in any way, if they are receiving any forms of salary/remuneration/honorarium/allowance by public funds; and (2) spending on equipment.

Funding support may be provided for the remuneration of research support staff who assist in conducting research work and are remunerated with salary. In case where a research supporting staff is employed for several projects, his/her salary should be apportioned accordingly. The policy on the prevention of double benefits also applies to the remuneration of research support staff. The underlying principle is to ensure prudent use of public resources.

Applicants who fail to comply with the rules on the prevention of double benefit will be required to refund the Government the benefits overpaid to them with interest.]

The project estimated cost and budget should be presented in the following format.

2.2.1 Estimated Cost and Resource Implications

(a) Research support staff

(i) Title & number of staff proposed to be engaged or employed

(ii) Salary level(s)

(iii) Duration of employment

(iv) Duties

Number of staff x Monthly Salary x Months

(b) Public dissemination

(i) Details (e.g. seminar, workshops, etc)

(ii) Justification

(i) Details

(ii) Justification

(d) Relief teacher

(i) Title & number of relief teacher(s) proposed to be engaged or employed

(ii) Salary level(s)

(iii) Duration of employment

(iv) Duties

Number of relief teacher(s) x Monthly Salary x Months

(e) Others

(i) Details (e.g. audit fee)

(ii) Justification

(f) / Subtotal (a)+(b)+(c)+(d)+(e) /
(g) / Overhead = ( % of subtotal )
(h) / Total amount requested /
(i) / Have you previously/currently applied for any other funding for the proposed project?
/ No
/ Yes, Please specify:

2.3 Particulars of PIs and Co-I(s)

2.3.1 Investigator(s) Information

Investigators / Title
(Prof/Dr/
Mr/Ms) / Name / Post / Institution#
/Think Tank
PI
Co-I(s)*
Co-I(s)*

# For PI and Co-I(s) in tertiary institutions, please also specify unit/department.

* There is no limit on the number of Co-Is.

2.3.2 Curriculum Vitae (CV) of Investigator(s)

For the PI and each Co-I, please provide CV (a maximum of 400 words per person) in the following format:

(a) Name

(b) Academic qualifications

(d) Previous positions held (with dates)

(e) Previous relevant research work

(f) Publication records

Section A - Five most representative publications in recent five years

Section B - Five representative publications beyond the recent five-year period (latest publication entered first)

(g) Others (please specify)

2.4 Grant Record of Investigator(s)

2.4.1 Details of Research Projects

(a) Details of on-going and completed research projects funded from all sources undertaken by the PI (in PI or Co-I capacity) in the past five years:

Project Title / PI / Co-I / Funding
Source(s) and
Amount(HK$) / Start
Date
(DD/MM/YYYY) / Estimated
Completion
Date
(DD/MM/YYYY)

(b) Details of on-going and completed research projects funded from all sources undertaken by each Co-I (in PI capacity) in the past five years:

Name of
Co-I(s) / Project
Title / Funding
Source(s) and
Amount(HK$) / Start
Date
(DD/MM/YYYY) / Estimated
Completion
Date
(DD/MM/YYYY)

2.4.2 Major research output of previously funded projects undertaken by the PI and each Co-I relevant to this application:

[In descending chronological order, and please provide a summary (a maximum of 400 words) on the progress/major findings/public dissemination/academic or policy impact, etc. of the projects.]

2.5 Data Archive

2.5.1 Is the proposed project likely to generate data set(s) of retention value?

Yes / No

If yes, please describe the nature, quantity and potential use of the data set(s) in future:

2.6 Research Ethics/Safety Approval

2.6.1 / I confirm that the research proposal / involves / / does not involve human
subjects (e.g. potential physical or psychological harms, discomfort or stress to human participants that a research project might generate, subjects’ privacy etc.).

2.6.2 Please tick ‘Ö ’ in the appropriate boxes to confirm if approval for the respective ethics and/or safety issues is required and has been / is being obtained from the PI’s institution/think tank.

Approval
not required / Approval
obtained / Approval
being sought
(i) / Human research ethics
(ii) / Animal research ethics
(iii) / Biological safety
(iv) / Ionizing radiation safety
(v) / Non-ionizing radiation safety
(vi) / Chemical safety

2.6.3 If approval is required by other authorities, please indicate below the names of the authorities and the prospects of obtaining such approval. If not applicable, please put down "N.A.":

2.7 Proposed Reviewers

2.7.1 List of Proposed Reviewers

[The PI should make the list of nominated reviewers available to the Co-I(s) for making declaration.]

Title
(Prof/Dr/
Mr/Ms) / Name
(English) / Name
(Chinese) *if applicable / Post / Institution / Contact Details
(Tel & Email)
1
2
3
4
5

2.7.2 Declaration of any past and present relationship between the investigator(s) i.e., PI and Co-I(s), and the nominated reviewers (minimum one tick per reviewer):

Nature of relationship
(please elaborate in 2.7.3) / Reviewer
(1) / (2) / (3) / (4) / (5)
Supervisor or Supervisee of PhD or MPhil studies
Advisor or Advisee in research studies/ research projects
Colleagues in the same organisation
(please specify if in the same department)
Collaborators in research projects/ programmes (Co-I or Co-PI of proposals whether funded or not)
Co-authors of papers/patents/publications
Partners or co-organisers of major events
Long-time personal friends
Teacher at undergraduate studies
Fellow members of the same editorial board
Others (please specify)
None

2.7.3 Indicate the name of PI/Co-I(s) and the nature of the relationship declared in 2.7.2 (e.g. when and where the relationship was/is developed, name/nature of project, publications or events involved):

2.8 Declaration

2.8.1 I / We have fully read the Guidance Notes issued by the CPU and agree to be bound by the provisions therein, including those on Intellectual Property Rights and the use of data for archiving. I/We confirm that all information contained in this application form is accurate and truthful.

Name of PI : / Signature :
Post of PI : / Date :

PART III ENDORSEMENT BY THE INSTITUTION/THINK TANK

[To be completed by the appropriate authority of the institution/think tank. Please tick ‘Ö ’ as appropriate in the boxes.]

3.1 Staff Eligibility Requirement for PPR

3.1.1 I confirm that:

(a) For the academic in the degree-awarding institutions as stated in 2.1 of the Guidance Notes:

the PI is teaching/eligible to teach undergraduate or above programmes at our institution and he/she meets fully the stipulated staff eligibility requirement for application.
[Where the PI is newly appointed, the institution has formally entered into a contract of service with him/her and the contract requires him/her to report duty by the time of vetting of applications.]

(b) For local non-profit making public policy research think tanks as stated in 2.1 of the Guidance Notes:

the think tank is a registered organisation
(for a think tank registered under the Companies Ordinance, please provide copy of the registration issued by the Companies Registry; or
for a think tank registered under the Societies Ordinance, please provide copy of the registration issued by the Hong Kong Police Force);
the think tank is non-profit making
(please provide copy of the registration issued by the Inland Revenue Department for charitable institution or trust of a public character, which is exempted from tax under Section 88 of the Inland Revenue Ordinance); and
the think tank has track record of public policy research (please provide a list of the publications in the past three years).

3.1.2 I confirm that:

(a) / the application has been evaluated and endorsed by the institution/think tank for submission to the CPU;

(b) the institution/think tank will inform the CPU as soon as the PI ceases to be eligible
to apply, receive or hold a PPR grant, and will withdraw the application, or once
supported and commenced, recommend to the CPU for approval a suitable new PI,
if any, to take over the funded project;

(c) the institution/think tank will inform the CPU as soon as the PI ceases to be employed by or associated with the institution/think tank and the subsequent replacement/ arrangement for completing the project;

(d) the institution/think tank understands that the PPR grant, if given, will be withdrawn if the project does not start within three months of the funding award. The institution/think tank should report to the CPU as soon as possible when a PI proceeds on no-pay leave/professional leave for a continuous or cumulative period exceeding 183 days within the project period;

(e) The institution/think tank understands that under the policy on the prevention of double benefits, the PPR grant, if given, must not be used to remunerate PIs and Co-Is, or to subsidise their salaries, including honorarium, in any way, if they are receiving any forms of salary/ remuneration/ honorarium/ allowance by public funds. Same policy also applies to the remuneration of research support staff. Failure to comply with the rules on the prevention of double benefit will be required to refund the Government the benefits overpaid to them with interest; and

(f) this application

is
is not

scanned by anti-plagiarism software.

3.2 Research Ethics/Safety Approval

(Please tick ‘Ö ’ as appropriate in the boxes)

3.2.1 I have examined the research proposal and confirm that:

(a) / the research proposal involves human subjects and human research ethics
approval has been obtained
approval is being sought
exemption has been obtained
exemption is being sought
OR
the research proposal does not involve human subjects

(b) The approval of the appropriate authority(ies) is not required or has been / will be obtained in respect of the following:

Approval
not required / Approval
obtained / Approval
being sought
(i) / Animal research ethics
(ii) / Biological safety
(iii) / Ionizing radiation safety
(iv) / Non-ionizing radiation safety
(v) / Chemical safety

Where such approval is required but has not yet been obtained, the institution/think tank will ensure that it will be obtained without delay. The institution/think tank understands that if no confirmation of such approval is provided to the CPU at the time of funding award being made, the CPU will regard this PPR application as being withdrawn and will stop processing it.

Signature of the Person-in-charge / Organisation Chop
Name: / Post:
Email: / Tel.:

(2014.07)