1. USM WAY FORWARD : NEW RU GRANT FUNDING
Since 1969
November 2009

2. INNOVATION-BASED ECONOMY
GOALS
Of RDC funding
In Malaysia
Experts in
Various Fields
INNOVATION-BASED
ECONOMY
Pivoting Science, Technology and Arts to create Innovations
Wealth
Creation
Societal Well Being
Knowledge Generation and
Consolidation

3. Current R&D FUNDING At USM
TechnoFund
ScienceFund
FRGS/SAGA/RU
Outside agencies/USM
Incentive
/short term
Value
Analysis
Concept/
Idea
Basic R
Applied
Prototype
Development
via Cradle
R&D
COMMERCIALISATION
PRE-R&D
PRE-COM
Incubation/
Early
Growth
Mature
Stage
Realisation
VCs, MAVCAP,MOF, Industries
CRDF,TAF/ TAF-W
MTDC grants
InnoFund
Types of RU:
Potential (indiv)
Eureka
Fundamental
Golden goose

4. There is a need to design the RU funding to show continuity and nurture young researchers to become mature research leaders
From individual to team to cluster

5. Definitions
Group is when all are working together but there is a leader and a group of people that do their own work. Some pull their weight but others are in the there for a ride. The members may/not understand the whole mission and vision of the group. Equivalent to “mini MOSTI”. USM is not in favour of this. It does not nurture nor enrich the group.
A team is when all members are equally important. They all pull their weight and there must be bonding with rapport and trust among each other to deliver. They all understand the whole mission and vision of the team. Each team is multidisciplinary and show sustainability of cohorts. A mature team can become a cluster.

6. From team to cluster to center to institute
Teams must be allowed to nurture. Spirit of trust and sharing must be enforced.
Teams can gather together working on an area of focus and develop into a Cluster. A cluster is a combined number of teams with the shared mission to deliver the vision of the cluster. The cluster is usually headed by a mature research leader with a proven track record.
Cluster formation cannot be forced. There must be rapport among the team members
Within each cluster, it must be multi-disciplinary, inter-PTJ, inter-institution. Must show sustainability of cohorts
A mature Cluster may eventually become CoE or strong enough to be an institute.
A group of Clusters may also form an institute.

7. Cluster Definition: Multidisciplinary Inter PTJ National linkage CoE
International linkage
Mission
Vision
Proven track record
Sustainable with Continuity
Problem solving
CoE
Matured Cluster
New team

8. Cluster CoE Team 1 Team 6 Team 2 Team 5 Team 3 Team 4
Combination of Teams
Team 1
Team 6
Institute
Cluster
Combination of Clusters
Team 2
Team 5
Team 3
Team 4

9. Way Forward: New RDC funding at USM SILING PERUNTUKAN (RM)
JENIS GERAN
Geran Insentif
Geran Jangka Pendek
(Young researchers)
Geran RU
Geran RU Berpasukan
(Team)
Geran RU Kluster
(Cluster)
SILING PERUNTUKAN (RM)
RM5,000
RM40,000
RM250,000
RM1 juta
RM 5 juta
TEMPOH
1 tahun
2 tahun
3 tahun
4 tahun
5 tahun
CATATAN
Pensyarah dan Gred 41 ke atas
Kelulusan TNC (P&I)
Individual
Penilaian peringkat Pelantar
Competitive
Min : 2 researchers
Peringkat pelantar + 2 panel dari pelantar lain
Team based
Peringkat pelantar + 2 panel dari Pelantar lain
Panel luar
Highly competitive
Cluster based
Panel luar sahaja
HIGHLY competitive
Competitive grants
Young researchers nurtured to become mature research leaders
Young researchers nurtured to become matured research leaders

10. RU GRANTS
All RU grants are now considered as competitive grants and agressively monitored.
RU funds will be made available to individuals, teams or clusters. The RU grants are henceforth named as:
RU (for Individuals - RU) (Max ceiling: RM 250,000 for 3 years)
RU Team (RUT) (Max ceiling: RM 1 million for 4 years)
RU Cluster (RUC) (Max ceiling: RM 5 million 5 years)
To encourage researchers to apply for outside grants, each researcher is allowed to be PI for only 2 RU grants at any one time.
Researchers can also form a team/cluster to bid on Advanced Study Initiatives (Top down projects) that will be determined by USM aligned with the priority areas of the country or of USM as part of its strategies as an APEX university. These topics will be announced from time to time.

11. RU Team (RUT) Grants
RUT has a ceiling of up to RM 1 million for a maximum of 4 years .
Evaluated based on merit
Must show multi-disciplinary
Provide people-oriented solutions to sustainability issues, wealth creation and/or bottom billion agenda are encouraged
Need to show a minimum RU KPI of 25 with a minimum of 5 researchers
Submit evidence for verification of RU KPI

12. Combination of multidisciplinary
Team
Combination of multidisciplinary
Individuals
Individual project
Each team will be measured against RU KPIs
Minimum to qualify RU KPI =25

13. EXAMPLE: STRUCTURE WITHIN 1 TEAM
Diagnostic Research
Diagnostics
Research
Target selection,
characterisation
& validation
Multiplex
PCR:
Drug
Sensitivity
Diagnosis
Detect
Amplicon:
ELISA
Molecular
Beacon
PACHA
Test
Format:
Microfluidics
Biochip
Dipstick
Clinical
Trials
Pilot & Full Scale
Test Kit
Manufacturing
Diagnostics
Research
Target selection,
characterisation
& validation
Multiplex
PCR:
Drug
Sensitivity
Diagnosis
Detect
Amplicon:
ELISA
Molecular
Beacon
PACHA
Test
Format:
Microfluidics
Biochip
Dipstick
Clinical
Trials
Pilot & Full Scale
Test Kit
Manufacturing
Work
established
with track
record
Work in
progress
Preliminary
work
initiated
Work not done
expertise
required
available
not available
Thrust areas
& Subareas
Final
Objective
Key to Colour Scheme
Courtesy Prof Zainul F Zainuddin

14. EXAMPLE: STRUCTURE WITHIN 1 TEAM
Fundamental Research
Host risk/
Susceptibility
factors
Functional &
comparative
genomics
Host resistance
factors
Candidates for
Vaccines
Diagnostics
Drug Targets
Immunology
Enhancement
of immune
presentation
Cellular
receptors &
signaling
Fundamental
Research
Macrophage-
Mycobacterial
interactions
Validation
Bioinformatics
Molecular
mycobacteriology
Pathogenic
genes
Proteomics
Future tests &
development
Microarrays
Unique/novel
mycobacterial
factors
Antibiotic
resistance
mechanisms
Work
established
with track
record
Work in
progress
Preliminary
work
initiated
Work not done
expertise
required
available
Work not done
expertise
required
not available
Thrust areas
& Subareas
Final
Objective
Key to Colour Scheme
Courtesy Prof Zainul F Zainuddin

15. RU Cluster (RUC) Grants
Mature research leaders with proven track records are eligible to lead RUC grants
RUC has a ceiling of up to RM 5 million for a maximum of 5 years .
RUC are research funds that involve collaborations. Top down projects
1. Multi-disciplinary and single institution(USM) ;(inter-PTJ) or
2. Multi-disciplinary (inter-PTJ) and multi-institutional (inter- varsities) using (matching grant concepts for a max of RM 5 million for USM based-researchers only)
Evaluated based on merit .
All clusters upon evaluation must show RU KPI of average 50 (at least 3 years of data) with a minimum of 5 researchers to be eligible for application
Submit evidence for verification of RU KPI
Providing people-oriented solutions to sustainability issues, bottom billion and wealth creation agenda are mandatory
Clusters that are ready and show achievement of RU KPI – 75 or higher AFTER completion of the project can be considered by Senate to be recognised as a CoE

16. Combination of multidisciplinary Teams Inter-PTJ, Inter institution
Cluster
Combination of multidisciplinary Teams
Inter-PTJ, Inter institution
Team
Each cluster will be measured against RU KPIs.
Minimum to qualify = 50.

17. (combination of 5 teams)
TB CLUSTER
(combination of 5 teams)
EXAMPLE
Diagnostics
Vaccinology
Therapeutics
Fundamental
Health
System
Darker arrow shades indicate level of current accomplishment
of each team TB
RESEARCH
CLUSTER

18. EVALUATION POLICY
To ensure smooth transition of R-D-C, all Research platform evaluation committees must consist of individuals with the following capabilities to address issues on :
Ethics
Social aspects
Cultural aspects
Innovation aspects
Additional members are domain experts
The committee will also advise if the grant proposal need to be submitted to the animal or human ethics committee and biosafety committee
RU, RUT and RUC grants will be evaluated by the University Evaluation Committee via cycles (every 3 months; Mac, June, Sept and Dec) to ensure evaluation is thorough and grants can be disbursed on time
All RU grants can be submitted at any time but the evaluation exercise will occur in the cycles determined.

19. RESEARCH UNIVERSITY KEY PERFORMANCE INDEX (KPI) GUIDELINE FOR RESEARCHER

20. 1. Research University (RU) KPI categorized as follows:   Section B: Quantity and Quality of Researchers Section C: Quantity and Quality of Research Section D: Quantity of Postgraduates Section E: Quality of Postgraduates Section F: Innovation Section G: Professional Services and Gifts Section H: Networking and Linkages Researchers are advised to fill individually the ASSESSOR’S REPORT FORM that had been developed by Bahagian Pembangunan Lestari dan Korporat (BPLK) for RU grant application only.   3. The ASSESSOR’S REPORT FORM is an online system which can calculate automatically the marks of each section in RU KPI once the user key in the data/input. It is available at

21. 4.Researchers need to print out the marks and attach it with the Grant Application Form before submitting to School Research Committee (JKPTJ) or University Evaluation Committee (JKPU). Only applications that meet the minimum requirement of RU KPI will be considered. 5. Addressing the RU KPI as required in the Grant Application From:   i.RU - minimum of 10 marks for RU KPI Means that the total marks of the Principal Investigator (PI) and his co-researchers MUST at least achieve a minimum of 10 marks   ii.RU-Team – minimum of 25 marks for RU KPI Means that the total marks of the team members for the year evaluated (PI and co-researchers) This is to encourage formation of new teams MUST at least achieve a minimum of 25 marks..   iii. RU-Cluster – minimum of 50 marks for RU KPI Means that the total marks of the cluster (PI and co-researchers for at least 3 years) MUST at least achieve a minimum of 50 marks   6.For further information please contact the Science Officers of the respective Research Platforms.

22. PROSEDUR PERMOHONAN BARU GERAN PENYELIDIKAN
Bahagian Penyelidikan dan Inovasi
Universiti Sains Malaysia
Dokumen ini telah dikemaskini hasil sumbangan idea dari :
Pn Mazlita Zainal Abidin [Pelantar Sains Klinikal]
Pn Hariy Pauzi [Pelantar Kejuruteraan dan Teknologi]
En Muhammad Nasrul Abu Bakar [Pelantar Transformasi Sosial]
En Jeffiz Ezuer Shafii [Pelantar Teknologi Maklumat dan Komunikasi]
Tengku Ahmad Damitri Al-Astani Tengku Din [Pelantar Kesihatan dan Bioperubatan]
2009
Nursyatina Abdul Raof
PELANTAR SAINS FUNDAMENTAL
1/11/2009

23. CARTA ALIRAN PERMOHONAN BARU GERAN PENYELIDIKAN
BAHAGIAN PENYELIDIKAN DAN INOVASI
7. Status Permohonan
Gagal
Lulus
6. Dekan Penyelidikan
RUT & RUC
Penambahbaikan
JP/RU
Berkenaan
1. P
2. JKPTJ
3. JKE
4. PP
RUT & RUC Berkenaan
Permohonan Lengkap
5. JKPU
9. RCMO
8. TNC (P&I)

24. . PEMOHON (P)
) Pemohon boleh memuat turun borang permohonan geran penyelidikan melalui laman web
) Permohonan geran penyelidikan boleh dibuat sepanjang tahun.
) Borang permohonan hendaklah dikepilkan bersama-sama :
i. Lampiran A - Senarai Semak Pemohon Geran Penyelidikan
i. Lampiran B - Butiran Ringkas Penyelidik dan Penyelidik bersama
ii. Lampiran C - Borang RU KPI
) Bagi permohonan Jangka Pendek (JP) dan RU yang telah lengkap perlu dihantar kepada Jawatankuasa Penyelidikan Pusat Tanggungjawab (JKPTJ)
) Manakala, permohonan RU Berpasukan (RUT) dan RU Kluster (RUC) yang telah lengkap dihantar terus ke Pelantar Penyelidikan (PP) yang berkenaan
f) Pemohon perlu memastikan kriteria geran penyelidikan dipenuhi seperti berikut:
i. JP ≤ RM 40K (maksimum 2 tahun)
i. RU≤ RM 250K (maksimum 3 tahun)
ii. RUT ≤ RM 1 juta (maksimum 4 tahun)
V. RUC ≤ RM 5 juta (maksimum 5 tahun)

25. . JAWATANKUASA PENYELIDIKAN PUSAT TANGGUNGJAWAB (JKPTJ)
) Permohonan akan dinilai oleh JKPTJ dari segi :
. Lengkap dan menepati syarat Lampiran A, Lampiran B dan Lampiran C
) Pengerusi JKPTJ perlu mengesahkan sama ada permohonan memerlukan penambahbaikan atau dimajukan untuk kelulusan Dekan/Pengarah PTJ
) Sebarang penambahbaikan yang dilakukan oleh penyelidik adalah di bawah tanggungjawab JKPTJ
) Selepas itu, permohonan perlu diluluskan oleh Dekan/Pengarah PTJ terlebih dahulu
) Permohonan yang telah lengkap akan dihantar ke :
. Jawatankuasa Etika (JKE) sekiranya berkenaan
i. Terus ke PP

26. . JAWATANKUASA ETIKA(JKE)
) Borang permohonan boleh dimuat turun melalui laman web
) Permohonan akan dinilai sama ada oleh JKE Manusia (JEPEM) atau /dan JKE Haiwan
) JP dan RU :
. Permohonan akan dihantar oleh JKPTJ ke JKE
i. JKE akan memaklumkan sebarang penambahbaikan yang perlu dilakukan oleh pemohon sebelum dimajukan ke PP
ii. Jika diluluskan akan dihantar terus ke PP
) RUT dan RUC :
. Permohonan akan diterima dari PP
i. JKE akan memaklumkan sebarang penambahbaikan yang perlu dilakukan oleh pemohon sebelum dimajukan ke PP
Ii. Jika diluluskan akan dihantar kembali ke PP

27. 4. PELANTAR PENYELIDIKAN (PP)
) Permohonan dipastikan lengkap dan memenuhi kriteria geran penyelidikan yang dipohon serta mematuhi syarat yang ditetapkan seperti (1 c)
) Permohonan disemak sama ada memerlukan kelulusan JEPEM atau/dan JKE Haiwan bagi RUT dan RUC
[Tindakan: C41]
) Maklumat permohonan geran yang lengkap direkod dan dimaklumkan kepada pemohon dalam tempoh 3 hari bekerja dari tarikh terima
[Tindakan: N17]
) Permohonan RU, RUT dan RUC akan diproses 4 kali setahun
) Tarikh tutup proses pentadbiran adalah pada setiap 15 haribulan Mac, Jun, September dan Disember
) Sebarang permohonan yang dihantar selepas tarikh tutup proses pentadbiran ini akan diproses selepas 3 bulan berikutnya

28. 5. JAWATANKUASA PENILAIAN UNIVERSITI (JKPU)
) Permohonan geran akan dinilai oleh JKPU di peringkat pelantar
) Keahlian JKPU adalah terdiri daripada:
i.Ahli JKPU Tetap : Dilantik oleh Naib Canselor setiap tahun
Ahli JKPU Gilir : Dicadangkan oleh ahli JKPU Tetap dan dilantik oleh Dekan Penyelidikan
) Keahlian JKPU ini berbeza mengikut jenis geran yang dipohon seperti berikut :
. JP: Jawatankuasa Penyelidikan Pelantar (JKPP) atau oleh penilai-penilai dalaman yang dikenalpasti dan dilantik oleh Dekan Penyelidikan
i. RU: Keahlian seperti i. DAN memerlukan 2 wakil ahli JKPP dari pelantar lain
ii. RUT: Keahlian seperti ii. DAN panel penilai luar USM
v. RUC: Panel penilai luar sahaja terlibat

29. JAWATANKUASA PENILAIAN UNIVERSITI (JKPU)
d) Pendekatan dan tempoh proses penilaian juga berbeza mengikut jenis geran yang dipohon
e) Bagi b) i. dan ii. , kaedah digunakan sama ada melalui mesyuarat yang ditetapkan oleh pelantar berkenaan dan/atau dihantar kepada penilai mengikut bidang kepakaran berdasarkan ‘nature of research proposal’. Tempoh 14 hari diperuntukkan bagi proses penilaian ini
f) Bagi b) iii. dan iv. , mesyuarat tahunan berkala JKPU
g) Walau bagaimanapun, JKPP berkenaan akan mencadangkan penilai luar untuk menilai permohonan bagi kajian yang tiada kepakaran di USM. Perlu diingatkan bahawa penilai-penilai luar perlu menandatangani borang ‘Non-Disclosure Agreement’ sebaik sahaja bersetuju menjadi penilai kepada permohonan tersebut

30. . DEKAN PENYELIDIKAN
) Permohonan yang diluluskan oleh JKPU akan diperakukan oleh Dekan Penyelidikan setelah semua aspek diteliti
) Tempoh perakuan adalah 3 hari selepas keputusan JKPU diperolehi
) Keputusan permohonan ini akan dimaklumkan kepada pemohon 2 hari selepas perakuan
[Tindakan: C41]

31. . STATUS PERMOHONAN
) Keputusan mesyuarat adalah seperti berikut:
. Lulus : Permohonan dihantar ke TNC(P&I) untuk kelulusan peruntukan
i. Penambahbaikan : Permohonan dikembalikan kepada pemohon untuk penambahbaikan selama 7 hari dari tarikh surat dikeluarkan
ii. Gagal : Permohonan dihantar ke RCMO untuk makluman

32. . TIMBALAN NAIB CANSELOR (PENYELIDIKAN DAN INOVASI) [TNC(P&I)]
) Kelulusan peruntukan oleh Timbalan Naib Canselor (Penyelidikan dan Inovasi) adalah 7 hari selepas perakuan Dekan Penyelidikan

33. . PEJABAT PENGURUSAN DAN KREATIVITI PENYELIDIKAN (RCMO)
) Permohonan pembukaan akaun geran ke pihak Bendahari dilakukan dalam tempoh 3 hari selepas kelulusan peruntukan TNC(R&I)
[Tindakan: W41]
) Surat tawaran akan dikeluarkan kepada pemohon dan salinan kepada Dekan Penyelidikan dalam tempoh 3 hari selepas penerimaan nombor akaun geran dari Bendahari [Tindakan: N41]
) Perakuan penerimaan geran oleh penyelidik perlu dilakukan dalam tempoh 2 hari setelah penerimaan surat tawaran geran dari Timbalan Naib Canselor (Penyelidikan dan Inovasi) diperolehi
) Surat status permohonan ‘Gagal’ akan dikeluarkan kepada pemohon dalam tempoh 3 hari selepas perakuan Dekan Penyelidikan
[Tindakan: N41]

34. 0. PEMOHON (P)
) Pemohon yang berjaya memulakan penyelidikan

35. Uphill Together via TEAMWORK
APEX Status
THANK YOU
USM Family
Since 1969