NSFC/RGC 1b (Revised 5/16)
National Natural Science Foundation of China (NSFC)/
Research Grants Council (RGC) Joint Research Scheme for 2016/17
Application Form for Full Proposal
For completion by the Hong Kong applicant for submission of full proposal in June 2016.Please read the Explanatory Notes for completing the Application Form for Full Proposal (NSFC/RGC 2 (Revised 5/16)).
Please attach a copy of the NSFC application form (國家自然科學基金國際(地區)合作與交流項目申請書) properly completed by the Mainland applicant and submitted to the NSFCby its deadline in February 2016.
To safeguard the interests of the researcher and the institution, awardee institution bears primary responsibility for prevention, detection and investigationof research misconduct, including but not limiting to misusing of funds, data falsification, plagiarism and seeking duplicate funding for projects which the applicant has already completed partially or entirely. Concerning research grant applications, the institution is strongly advised to use anti-plagiarism software before submitting the application to the RGC.
PART I SUMMARY OF THE RESEARCH PROPOSAL
[To be completed by the applicant(s)]
1. Particulars of the Project
(a)(i) Names and Academic Affiliations of Principal Investigators:(in English and Traditional Chinese)
Name / Post / Unit / Department / InstitutionSurname
(with Title) / Other Name / Chinese Name (with Title)
Hong Kong
Mainland
(a)(ii)Title of Project: (in English and Traditional Chinese)
(a)(iii)Nature of Application:
(Please tick ‘’ as appropriate in the box)
New / Re-submission / Continuation(b)(i)Focus Area:
(Please tick ‘’ onefocusarea only)
Information Technology / Life Science / New Materials ScienceMarine and Environmental Science / Medicine / Management Science
Other (Please specify: ______)
(b)(ii)Project Field:
Primary Field Name: / & CodeSecondary Field Name: / & Code
(b)(iii) A maximum of five keywords to characterise the work of your proposal
(maximum30 characters for each keyword)
(b)(iv) The RGC Grant Requested:
[The amount shown here should be the same as shown in Section 3(a)of Part II below]
Total cost of the Hong Kong part of the joint project:
Total cost of the project / HK$Less:
Other research funds secured from other sources / HK$
Net amount requested from RGC (exclusive of on-costs): / HK$
(b)(v) The NSFC Grant Requested (exclusive of indirect costs): / RMB
(c)Abstract of Research comprehensible to a non-specialist (a maximum of 400 words in standard RGC Format):
PART IIDETAILS OF THE RESEARCH PROPOSAL
[To be completed by the applicant(s)]
RESEARCH DETAILS
1.Impact and Objectives
[A maximum of 800 words in total for the long-term impact and project objectives]
(a)Long-term impact
(b)Project Objectives
[Please list the objectives in point form below]
1.
2.
2. Background of research, research plan and methodology
[A maximum of seven A4 pagesin total in Standard RGC Format for items (a) and (b).]
(a)Background of research
(b)Research plan and methodology
(c)A maximum of two A4 non-text pages of attached diagrams, photos, charts, and table etc, if any
(d)Reference (a maximum of three pages for references is allowed for listing the publications cited in Sections 1 – 2. All full references should be provided, including all authors of each reference.)
PROJECT FUNDING
3.Cost and justification
(a)Estimated cost and resource implications (For Hong Kong Team):
[Please refer to Part II Section 3 of the Explanatory Notes for items permissible in the budget; detailed justification should be given in order to support the request for each item below (a maximum of 500 words for each box)]
Year 1
($) /Year 2
($) /Year 3
($) /Year 4($)
/Total
($)One-line Vote Items:
(i) Supporting Staff Costs
-Senior Research Assistant / Research Assistant / Post-doctoral Fellows / Research Postgraduate Students
-Others
Rank
Monthly Salary x No. x Months
Justification:
(ii)Equipment Expenses
[please itemize and provide quotations for each item costing over $200,000]
Justification:
(iii)Outsourcing Expenses of Research Work Outside Hong Kong
[please itemize your cost estimation with justification and provide quotations for work costing over $200,000]
Justification:
(iv)General Expenses
[please itemize and provide quotations for services / purchase costing over $200,000]
Justification:
Quotation provided:Yes No
-For expenditure relating to travels, please provide breakdowns as below:
Visits by Hong Kongteam:
For each proposed visit:
(a)Destination;(b) no. of days;(c) no. of team members; (d) passage cost for each team member
(e.g.Trip 1: (a) Shanghai; (b)5 days; (c) 2 members; (d)$4,500)
Receiving Mainland team:
For each proposed occasion: (a) No. of days; (b) no. of members; (c) subsistence per day per member
(e.g. Visit 1: (a) 4 days;(b)3 members; (c) $900)
Justification:
(v)Conference Expenses
Justification:
Earmarked Items:
(vi)High-performance Computing Services Expenses
[please provide quotations]
Justification:
(vii)Research-related Software License / Dataset
[please itemize and provide quotations for each item]
Justification:
(viii)Total Cost of the project
Less:
(ix) Other research funds secured from other sources
(x)Amount requested from RGC:
(b) Declaration on the Equipment Procurement
(i) / I declare that no equipment is requiredOR
(ii) / I declare that the equipment indicated at 3(a)(ii) above is not available in the institution
OR
(iii) / I declare that all or some of the equipment (please provide details in the following text box)indicated at 3(a)(ii) above is available in the institution but cannot be used by me in view of the following reasons (a maximum of 500 words)
Reasons: (Maximum 500 words)
(c) Declaration on high-performance computing services
(i) / I declare that no high-performance computing service is requiredOR
(ii) / I declare that the high-performance computing services indicated at 3(a)(vi) above arenot available in the institution
OR
(iii) / I declare that all or some of the high-performance computing services (please provide details in the following text box) indicated at 3(a)(vi) above are available in the institution but cannot be used by me in view of the following reasons (a maximum of 500 words)
Reasons: (Maximum 500 words)
(d)Declaration on the research-related software licence/dataset
(i) / I declare that no research-related software licence/dataset is requiredOR
(ii) / I declare that the research-related software licence/datasetindicated at 3(a)(vii) above is not available in the institution(s)
OR
(iii) / I declare that all or some of the research-related software licence/dataset (please provide details in the following text box) indicated at 3(a)(vii) above is available in the institution but cannot be used by me in view of the following reasons (a maximum of 500 words)
Reasons: (Maximum 500 words)
4.Existing facilities and major equipment availablefor this research project
(a maximum of 400 words)
5.Funds secured or to be secured
(a)Other research funds already secured for this research proposal
[The amount will be deducted from the total cost of the project in Section 3(a) of Part II above.]
SourceAmount ($)
(b)Other research funds to be or are being sought for this research proposal
[If funds under this item are secured, the amount of the RGC Grant to be awarded may be reduced.]
SourceAmount ($)
DECLARATION OF SIMILAR OR RELATED PROPOSALS
[Please refer to the Explanatory Notes for information required and implications for non-disclosure of similar or related proposals.]
6.Re-submission but not supported previously
(a)Is this proposal a re-submission or largely similar to a proposal that has been submitted to but not supported by the UGC/RGC or other funding agencies?
Yes / NoIf yes, please state the funding agency(ies)and the funding programme(s):
Reference No(s) [for UGC/RGC projects only]:Project Title(s):
[if different from Section 1(a) of Part I above]
Date (month/year) of application(s):
Outcome:
(b)If this application is the same as or similar to the one(s) submitted but not supported previously, what were the main concerns/suggestions of the reviewers then?
(c)Please give a brief response to the points mentioned in 6(b) above, highlighting the major changes that have been incorporated in this application.
7.Submission of a new proposal or proposal similar or related to on-going and completed projects, and proposals pending funding approval
(a)Is/are there any other proposal(s) being submitted by the Hong Kong PI or Co-Is to the RGC (including those submitted by the PI or Co-Is through other institutions) in this funding exercise?
Yes / NoIf yes, please give the following details -
Proposal(s) submitted by the Hong Kong PI in the capacity of Co-I(i) / Proposal No(s):
(ii) / ProposalTitle(s):
(iii) / Name of HKPI(s) of the Proposal(s):
(iv) / A brief account of the proposal(s) and an explanation of the differences between the proposal(s) concerned and this application if the two proposals are similar or related (a maximum of 400 words) [If you have any difficulty in making the declaration, please explain]:
[If you have any difficulty in making the declaration, please explain]
Proposal(s) submitted by the Hong Kong Co-I(s) in the capacity of PI or Co-I
(i) / Name of the Co-I(s) concerned:
(ii) / Proposal No(s):
(iii) / ProposalTitle(s):
(iv) / Capacity: / PI / Co-I
(v) / Name of HKPI(s) of the Proposal(s):
(vi) / A brief account of the proposal(s) and an explanation onthe differences between the proposal(s) concerned and this application if the two proposals are similar or related(a maximum of 400 words) [If you have any difficulty in making the declaration, please explain]:
[If you have any difficulty in making the declaration, please explain]
(b)(i)Is there similar research being carried out by the Hong Kong PI or Co-I(s)or their collaborators?
Yes / No(b)(ii)Is there related research being carried out by the Hong Kong PI or Co-I(s)or their collaborators?
Yes / NoIf yes to b(i) or b(ii), please give a brief account including the names of investigators, departmental and institutional affiliations, project title(s) and nature of the project(s): (a maximum of 400 words)
(c)(i)Is/Are there similar proposal(s) being submitted by the Hong Kong PI or Co-I(s) (in both capacity as PC/PI or Co-PI/Co-I) to other competitive funding schemes of theRGC orother funding agency(ies)or his/herinstitution(s)?
Yes / No(c)(ii)Is / Are there related proposal(s) being submitted by the Hong Kong PI or Co-I(s) (in both capacity as PC/PI or Co-PI/Co-I) to other competitive funding schemes of theRGC orother funding agency(ies)or his/her institution(s)?
Yes / NoIf yes to (c)(i) or (c)(ii), please give the following details -
Proposal(s) submitted by the Hong Kong PI
(i)The funding agency(ies) / institution(s) and the funding programme(s):(ii)ProposalNo(s) (for RGC funding schemes only):
(iii)Proposal Title(s):
(iv) / Capacity: / PC/PI / or Co-PI / Co-I
(v) / Name of PC/PI(s) of the Proposal(s):
(vi)A brief account of the proposal(s) including month & year of application and an explanation onthe differences between the proposal(s) concerned and this application (a maximum of 400 words) [If you have any difficulty in making the declaration, please explain]:
Proposal(s) submitted by the Hong Kong Co-I(s)
(i)Name of the Co-I(s) concerned:(i)The funding agency(ies) / institution(s) and the funding programme(s):
(ii)ProposalNo(s) (for RGC funding schemes only):
(iii)Proposal Title(s):
(iv) / Capacity: / PC/PI / or Co-PI / Co-I
(v) / Name of PC/PI(s) of the Proposal(s):
(vi)A brief account of the proposal(s) including month & year of application and an explanation onthe differences between the proposal(s) concerned and this application (a maximum of 400 words) [If you have any difficulty in making the declaration, please explain]:
(d)(i)Is/Are there similar project(s) / work by the Hong Kong PI or Co-I(s)or their Collaborator(s) (in both capacity as PC/PI or Co-PI/Co-I) already completed?
Yes / No(d)(ii)Is/Are there related project(s) / work by the Hong Kong PI or Co-I(s)or their Collaborator(s) (in both capacity as PC/PI or Co-PI/Co-I) already completed?
Yes / NoIf yes to (d)(i) or (d)(ii), please give the following details -
Project(s) by the Hong Kong PI
(i)The funding agency(ies) and the funding programme(s):(ii)Reference No(s) (for UGC / RGC funding schemes only):
(iii)Project Title(s):
(iv) / Capacity: / PC/PI / or Co-PI / Co-I
(v) / Name of PC/PI(s) of the Project(s):
(vi)A brief account of the project(s) including month & year of application for funding, if applicable, and an explanation onthe differences between the project(s) concerned and this application (a maximum of 400 words) [If you have any difficulty in making the declaration, please explain]:
Project(s) by the Hong Kong Co-I(s)/ Collaborator(s)
(i)Name of the Co-I(s) / Collaborator(s) concerned:(ii)The funding agency(ies)and the funding programme(s):
(iii)Reference No(s) (for UGC / RGC funding schemes only):
(iv)Project Title(s):
(v) / Capacity: / PC/PI / or Co-PI / Co-I
(vi) / Name of PC/PI(s) of the Project(s):
(vii)A brief account of the project(s) including month & year of application for funding, if applicable, and an explanation onthe differences between the project(s) concerned and this application (a maximum of 400 words) [If you have any difficulty in making the declaration, please explain]:
8. Particulars of PIs and Co-Is
(a) Investigators’ information
Name(s) and Academic Affiliations of Applicants: (in English and Traditional Chinese)
Hong Kong Team
Role / Name(with title) / Post / Unit / Department /
Institution / Current Member of the RGC Council / Subject Panels as at submissiondeadline
(Yes or No) / Name of RGC Council / Subject Panel / Number of Hours Per Week spent by Hong Kong Applicant on the proposal
Principal Investigator:
Co-investigator:
Mainland Team
Role / Name(with title) / Post / Unit / Department /
Institution / Current Member of the RGC Council / Subject Panel as at submission deadline
(Yes or No) / Name of RGC Subject Panel
Principal Investigator:
Co-investigator:
If the composition of the project team is different from the initial proposal, please mark the name(s) of the member(s) concerned with “*” and provide reasons for the change(s) below.
(b)Curriculum vitae (CV) of applicants of both teams.
For each PI and Co-I, please attach a CV (a maximum of twoA4 pagesin standard RGC format or a maximum of 800 words) per person in the following format.
i)Name:
ii)Academic qualifications:
iii)Previous academic positions held (with dates):
iv)Present academic position:
v) Previous relevant research work:
vi)Publication records: (please refer to the Explanatory Notes Part II Section 8 for the format required by the RGC)
Section A – Five most representative publications in the recent five years
Section B – Five representative publications beyond the recent five-year period with the latest publication entered first
vii)Others (please specify):
(c)Plan(s) for collaboration in this application
[Indicate the role and the specific task(s) each PI and Co-I, if any, of both teams isresponsible for. Letter(s) of collaboration should be attached to the end of the application]
GRANT RECORD OF HONG KONG INVESTIGATORS
9.Details of Research Projects
(a)Hong Kong PI
Details of research projects undertaken by the PI (in a PI/PC or Co-I/Co-PI capacity) including (a) completed research projects funded from all sources (irrespective whether from UGC/RGC) in the past five years; and (b) on-going research projects funded from all sources (irrespective whether from UGC/RGC); (c) terminated projects funded by UGC/RGC in the past five years; and (d) unsuccessful proposals or withdrawn projects submitted to UGC/RGC in the past five years.
Project Ref. No.
/Status of
proposal/
project
(Completed,On-going,Terminated,
Unsuccessful,Withdrawn)
/Project Title
/PI/PC/Co-I/Co-PI
/Funding Source(s) and Amount ($)
/RGC/UGC Funding
(Yes/No) /Start
Date(if applicable)
/Estimated Completion
Date(if applicable)
/Number of Hours Per Week Spent by the Hong Kong PI in Each On-going Project*
*The PI is not required to report on the time spent in the capacity of Co-I in General Research Fund / Joint Research Schemes projects.
Please provide the objectives of eachproject listed in (a), (b) and (c) above.
Project Ref No. / Objectives(b)Hong Kong Co-I
Details of on-going research projects funded from all sources (irrespective whether from UGC/RGC)undertaken by each Co-I (in a PI/PC capacity).
Name of Co-I(s)
/Project Title
/Project Ref. No.
/ Funding Source(s) and Amount ($) /Start
Date
/ EstimatedCompletionDate
10.Major research output of previously funded projects
Major research output of previously funded projects (RGC and non-RGC sources), in descending chronological order, undertaken by the PI and Co-I(s) of the Hong Kong team relevant to this application.
[Please provide a summary (a maximum of 400 words in total) on the progress/publications/ conferences/student-training or output in any other formats of the projects, with the relevant project reference no.]
ANCILLARY INFORMATION
11.Research Ethics/Safety Approval and Access to Government / Official / Private Data and Records
[Please refer to the Explanatory Notes Part II Section 11 for the responsibilities and implications]
(a)Research Ethics / Safety Approval
(i) / I confirm that the research proposal / involves / / does not involve human subjects.(ii)Please tick ‘’ 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 Hong Kong PI’s institution. Hong Kong PIs are encouraged to seek necessary approval before application deadline as far as possible.
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
(iii)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.”.
(b)Access to Government / Official / Private Data and Records
(i)Is access to Government or official or private data and records critical to the research proposal?
Yes / NoIf approval is required, please indicate below the names of the agency(ies) of obtaining such approval.
(ii)Please tick ‘’ in the appropriate boxes to confirm if approval for access to the related data/record has been / is being obtained from the relevant agency(ies). If approval has been obtained, please provide evidence.
Lists of agency(ies) / Approval not required / Approval obtained / Approval being sought[Note: Hong Kong PIs are encouraged to seek necessary approval before application deadline as far as possible.]
12.Proposed reviewers
(a)List of proposed reviewers:
Hong Kong PI assumes full responsibility for reporting all the relationship(s) between himself/herself as well as his/her Co-Is with each of the nominated external reviewers. To avoid any possible or perceived conflict of interests, external reviewer(s) having any of the following relationship(s) with theHong Kong PIshould not be nominated –
(a)Is currently employed / was employed from 18June 2014 to 17June 2016by the institution of the PI;
(b)Holds adjunct, honorary or visiting position(s) in the institution of the PI;
(c)Serves as consultant / advisor to a committee or department of the institution of the PI;
(d)Submitted applications as Project Coordinator, PI, Co-Principal Investigator (Co-PI), Co-I or Collaborators in the same funding exercise;
(e)Has pre-reviewed the application;