Checklist for Collaborative Research*

(*Note: Please refer to the overleaf for the definition of collaborative research. Collaborative research projects of AoE/GRF etc are not covered in the definition as their funding is considered as research grants. For such a project, there should be a letter of collaboration and a research proposal to be endorsed by the DRC and the HoD/DoS. Academic colleagues involved as Co-Investigators in these AoE/GRF projects where funding will be transferred from other UGC-funded institutions need not fill in this checklist. They shouldcomplete Form RC/53 for setting up the project account.)

Please tick “” one of the boxes:

1. The funding is a donation (i.e., without any conditions attached to the funding).

Please submit the following documents to the RO for processing:

  • completed Donation Confirmation Form (For Research Purpose Only)#
  • completed Don Form 2 (Application for Acceptance of Donation)##
  • research proposal endorsed by the DRC for undertaking the research
  • this checklist

#Donation Confirmation Form (For Research Purpose Only)can be downloaded at .

##Don Form 2 (Application for Acceptance of Donation) can be downloaded at .

2. The funding comes from a private or public organisation or a university but is not a donation.

What have been agreed on the overhead charges and IPR? (Please refer to the Policy Guidelines overleaf.) Information should be contained in Parts III and IV of Form RC/47.

If the funding is in a currency other than HK$ or US$, please liaise with the funding body to provide the funding in US$as far as practicable to minimise the effects of fluctuation in exchange rates.

Documents required for processing:

  • agreement[1] [all academic agreements are to be vetted by the Legal Counsel and signed by the VP(RD)]
  • research proposal endorsed by the DRC for undertaking the research
  • Form RC/47
  • Form RC/59[2] (if this form has not been submitted before)
  • this checklist

3.The funding comes in the form of a sub-contract (i.e., the funding will come from a “party” who actually takes part in the signing of an agreement and/or the liaison with the funding agency).

What have been agreed on the overhead charges and IPR? (Please refer to the Policy Guidelines overleaf.) Information should be contained in Parts III and IV of Form RC/47.

If the funding is in a currency other than HK$ or US$, please liaise with the funding body to provide the funding in US$ as far as practicable to minimise the effects of fluctuation in exchange rates.

Documents required for processing:

  • agreement1 [all academic agreements are to be vetted by the Legal Counsel and signed by the VP(RD)]
  • research proposal endorsed by the DRC for undertaking the research
  • Form RC/47
  • Form RC/592 (if this form has not been submitted before)
  • this checklist
  • contract signed between the “party” and the funding agency

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Research Office

(Checklist for Collaborative Research)

Policy Guidelines on Collaborative Research

Collaborative Research is defined as the type of research for which funds are obtained from a private company or a public body where the funds received do not fully cover the total cost of the research to be conducted, i.e., the funds received may only be adequate to pay for the salaries of the research personnel or the stipends of the research students plus the purchase of equipment and consumables, but are not enough to fully pay for PolyU’s overheads and for the time of our academic staff spent in supervising the research, etc. Under such circumstances, the funds provided by the external source go totally to the academic department concerned and our own existing staff do not receive remuneration for getting involved in the research project. Since the external source only partially meets the overall cost, one of the following applies, depending upon the size and proportion of funding provided by the funding-provider, with regard to the Intellectual Property Rights (IPR) on the outcomes of such collaborative research:

(a) PolyU fully owns the IPR but gives the company itself a non-exclusive right# to use the inventions generated from the project free of charge for their own use (however, this right is not transferable, i.e., the company cannot sub-license this right to third parties), or

(#Granting the sponsor the right to use an invention does not mean that the technology that underpins the invention is to be transferred to the sponsor.)

(b) PolyU and the company share the IPR equally.

Our first choice should be (a). We should only accept (b) if the company is not willing to accept (a) and if the company has paid more than half of the total cost of the project.

The VP(RD) is the approving authority for such collaborative research projects, and the Research Office is the administrative office.

In the Report on Higher Education in Hong Kong of March 2002, one of the final recommendations made by the UGC was "The Government to create more sources for research funding and to ask existing sources to fund projects on a full cost basis." The reason for this is to prevent the making of hidden subsidies to non-UGC-funded activities. The UGC is of the view that institutions should, as a matter of principle, levy overhead charges on such activities, including projects funded by other Government departments/agencies.

To follow the recommendation made by the UGC, PolyU requires all Principal Investigators to request a flat rate of 15% overhead (based on the total expenditure) in their application/proposal supported by all funding bodies. Deviation from the guiding principles stated above will be considered by the VP(RD) on individual merits, with full justification provided by the Principal Investigator concerned.

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[1]Two original copies (one for the collaborative party and the other one for the RO to keep) are required after approval by the VP(RD).

[2]Form RC/59 should be completed and passed to RO for processing before any application and/or solicitation for external funding support for your research activities, including all kinds of research funding scheme (administered by RO or known to you through other means), funding support from individuals or other entities for collaborative research projects.