Funding Rules for schemes under the Discovery Program for the years 2014 and 2015
Australian Research Council Act 2001
I, Christopher Pyne, Minister for Education, having satisfied myself of the matters set out in section 59 of the Australian Research Council Act 2001, approve these Funding Rules under section 60 of that Act.
Dated 7th January 2014
Christopher Pyne
Minister for Education
Table of Contents
Key Dates. 4
Contacts. 4
Part A - General rules for schemes under the Discovery Program... 5
A1. Name of Funding Rules. 5
A2. Commencement. 5
A3. Definitions. 5
A4. Introduction.. 7
A4.1 Overview.. 7
A4.2 Research/Activities Supported. 8
A5. Funding.. 9
A5.1 Level and Period of Funding. 9
A5.2 Budget Items Supported. 9
A5.3 Budget Items Not Supported. 10
A6. General Eligibility Requirements. 11
A6.1 Eligible Organisations. 11
A6.2 Limits on Projects and Proposals. 11
A6.3 Eligibility process. 12
A7. Submission of Proposals. 12
A7.1 Proposals. 12
A7.2 Submission of Proposals in RMS. 12
A7.3 Closing Time for Proposals. 13
A7.4 Certification in RMS. 13
A7.5 Conflict of Interest 13
A8. Selection and Approval Process. 13
A8.1 Assessment and Selection Process. 13
A8.2 Rejoinder 14
A8.3 Request Not to Assess. 14
A8.4 Recommendations and Offer of Funding. 15
A9. Appeals Process. 15
A10. Reporting Requirements. 16
A10.1 Progress Reports. 16
A10.2 End of Year Reports. 16
A10.3 Final Report 16
A11. Fundamental Principles of Conducting Research.. 16
A11.1 Ethics and Research Practices. 16
A11.2 Applicable Law.. 17
A11.3 Confidentiality. 17
A11.4 Intellectual Property. 18
A11.5 Publication and Dissemination of Research Outputs. 18
A11.6 Incomplete or Misleading Information. 18
A12. Eligible Organisations. 19
A12.1 Higher Education Organisations. 19
A12.2 Other Eligible Organisations. 20
Part B – Scheme-specific rules for Australian Laureate Fellowships for funding commencing in 2014 21
B1. Interpretation.. 21
B2. Additional definitions for Part B.. 21
B3. Objectives. 21
B4. Selection Criteria.. 22
B5. Funding.. 24
B5.1 Level and Period of Funding. 24
B5.2 Budget Items Supported. 24
B6. Employment of Australian Laureate Fellows. 25
B7. Roles and Eligibility.. 25
B7.1 Additional Eligible Organisations. 25
B7.2 Additional eligibility criteria for Australian Laureate Fellows. 25
B7.3 Eligibility Criteria for Postdoctoral Research Associates (PDRAs) 27
B7.4 Eligibility Criteria for Postgraduate Researchers (PGRs) 27
B8. Kathleen Fitzpatrick Australian Laureate Fellowship and Georgina Sweet Australian Laureate Fellowship. 27
B9. Salary Support. 28
Part C - Scheme-specific rules for Discovery Projects for funding commencing in 2015 29
C1. Interpretation.. 29
C2. Objectives. 29
C3. Selection Criteria.. 29
C4. Funding.. 30
C4.1 Level and Period of Funding. 30
C5. Budget Items Supported.. 30
C6. Roles and Eligibility for Researchers. 31
C6.1 Additional eligibility criteria for Discovery Projects. 31
C6.2 Eligibility Criteria for Chief Investigators (CIs) 31
C6.3 Eligibility Criteria for Partner Investigators (PIs) 32
Part D - Scheme-specific rules for Discovery Early Career Researcher Award for funding commencing in 2015. 33
D1. Interpretation.. 33
D2. Additional definitions for Part D.. 33
D3. Objectives. 33
D4. Selection Criteria.. 33
D5. Organisational Statement in respect to the Research Environment. 34
D6. Funding.. 34
D6.1 Level and Period of Funding. 34
D6.2 Budget Items Supported. 35
D6.3 Budget Items Not Supported. 35
D7. Scheme specific eligibility requirements. 35
D7.1 Additional Eligible Organisations. 35
D7.2 Application Limits. 35
D7.3 DECRA Candidate and Role. 36
Part E - Scheme-specific rules for Discovery Indigenous for funding commencing in 2015 38
E1. Interpretation.. 38
E2. Additional Definition for Part E.. 38
E3. Introduction to Discovery Indigenous. 38
E3.1 Overview.. 38
E3.2 Objectives. 38
E3.3 Selection Criteria. 38
E3.4 Organisational Statement in Respect to the Research Environment 39
E4. Funding.. 39
E4.1 Level and Period of Funding. 39
E4.2 Budget Items Supported. 40
E5. Organisational Types. 40
E5.1 Host Organisations. 40
E5.2 Other Organisations. 40
E6. Roles and Eligibility for Researchers. 41
E6.1 Researcher Roles and General Eligibility. 41
E6.2 Eligibility Criteria for Chief Investigators (CI) 41
E7. Discovery Indigenous Award.. 42
E7.1 Eligibility Criteria for a Discovery Indigenous Award (DIA) 42
E7.2 Level and Period of Funding for a Discovery Indigenous Award (DIA) 42
Key Dates
Please refer to the Important Dates page on the ARC website at http://www.arc.gov.au/media/important_dates.htm for key dates and updates relevant to these Funding Rules.
Contacts
Researchers should direct requests for information to the Research Office within their organisation.
ARC Contacts can be located on the ARC website at www.arc.gov.au.
Appeals must be addressed and sent:
by mail to:
or
by courier to:
The Appeals Officer
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
Or by email to: appeals@arc.gov.au
The Appeals Officer
Australian Research Council
Level 2, 11 Lancaster Place,
Majura Park
CANBERRA ACT 2609
Part A - General rules for schemes under the Discovery Program
A1. Name of Funding Rules
These Funding Rules are the Australian Research Council Funding Rules for schemes under the Discovery Program for the years 2014 and 2015.
These Funding Rules apply to: Australian Laureate Fellowships for funding commencing in 2014, Discovery Projects for funding commencing in 2015, Discovery Early Career Researcher Award for funding commencing in 2015, and Discovery Indigenous for funding commencing in 2015.
A2. Commencement
These Funding Rules shall take effect upon registration on the Federal Register of Legislative Instruments.
A3. Definitions
In these Funding Rules, unless the contrary intention appears:
Adjunct or Emeritus Appointment or equivalent means that an Eligible Organisation has a formal agreement with a researcher which establishes an ongoing association with the Eligible Organisation, of the nature of an Emeritus or honorary academic or visiting fellow. The ARC may seek documentary evidence of such an association if it is considered necessary.
Administering Organisation means an Eligible Organisation which submits a Proposal for funding and which will be responsible for the administration of the funding if the Project is approved for funding.
Applicant means the Administering Organisation. Funding under the Discovery Program is provided to Administering Organisations, not to individual researchers.
ARC means the Australian Research Council, as established under the ARC Act.
ARC Act means the Australian Research Council Act 2001.
ARC Award means a named Award position within any ARC scheme where the salary is funded wholly or partly by the ARC.
ARC College of Experts means a body of experts of international standing appointed to assist the ARC to identify research excellence, moderate external assessments and recommend fundable Proposals.
ARC Fellowship means a named Fellowship position within any ARC scheme where the salary is funded wholly or partly by the ARC.
Award of PhD Date means the date of conferral of a PhD, not the date of submission of the thesis, nor the date the thesis was accepted by the examination board.
Chief Investigator (CI) means a researcher who satisfies the eligibility criteria for a CI under these Funding Rules.
Commencement Date means the date on which funding commences as defined for each scheme in Parts B to E of these Funding Rules.
Commonwealth means the Commonwealth of Australia.
Conflict of Interest means any conflict of interest, any risk of a conflict of interest and any apparent conflict of interest arising through a party engaging in any activity, participating in any association, holding any membership or obtaining any interest that is likely to conflict with or restrict that party participating in the Project. The ARC Conflict of Interest and Confidentiality Policy is available on the ARC website at www.arc.gov.au.
Discovery Program refers to, for the purposes of eligibility, the schemes funded under the Discovery Program of the NCGP which consist of: Australian Laureate Fellowships, Discovery Early Career Researcher Award, Discovery Indigenous, Discovery Projects and Future Fellowships, and other schemes as updated from time to time.
Eligible Organisation means an organisation listed in A12.
Field Research means the collection of information integral to the Project outside a laboratory, library or workplace setting and often in a location external to the researcher’s normal place of employment.
Funding Agreement means the agreement entered into by the ARC and an Administering Organisation when a Proposal from that organisation is approved for funding.
GST has the meaning as given in section 195-1 of the A New Tax System (Goods and Services Tax) Act 1999.
Instructions to Applicants means a set of instructions prepared by the ARC to assist Applicants in completing the application form and associated documentation.
Medical and Dental Research means research and/or training primarily and substantially aimed at understanding or treating a human disease or health condition, as defined in the ARC Medical Research Policy available on the ARC website at www.arc.gov.au.
Minister means the Minister from time to time responsible for the administration of the ARC Act.
NCGP means the ARC’s National Competitive Grants Program.
NHMRC means the National Health and Medical Research Council.
Partner Investigator (PI) means a researcher who satisfies the eligibility criteria for a PI under these Funding Rules.
PhD is a qualification that meets the level 10 criteria of the Australian Qualifications Framework Second Edition January 2013.
Project means a Proposal approved by the Minister to receive funding from the ARC.
Proposal means a request to the ARC for the provision of funding which is submitted in accordance with the Funding Rules.
Research Environment means the laboratory, department, school, centre or institute within the Administering Organisation where research will be undertaken, and which provides opportunities for knowledge growth, innovation, collaboration, mentoring and student training.
Research Office means a business unit within an Eligible Organisation that is responsible for administrative contact with the ARC regarding Proposals and Projects.
RMS means the ARC’s online Research Management System.
Selection Advisory Committee (SAC) means a group of experts appointed to assist the ARC to evaluate Proposals and to provide a recommendation for funding to the ARC.
Special Condition means a special condition specified in a Funding Agreement which governs the use of the funding provided by the ARC.
Strategic Research Priorities means priority research areas identified by the Australian Government, and available via the ARC website at www.arc.gov.au.
UA means Universities Australia.
Workshop Services means specialised construction and maintenance activities carried out by a technician, often within a dedicated facility for working with materials such as wood, glass, metal or electronics.
A4. Introduction
A4.1 Overview
A4.1.1 These Funding Rules are a legislative instrument current as at the date of signing by the Minister and have been prepared in accordance with the requirements of the ARC Act in force then.
A4.1.2 These Funding Rules relate to schemes funded under the Discovery Program of the ARC’s National Competitive Grants Program. The Discovery Program supports the growth of Australia’s research and innovation capacity, which generates new knowledge resulting in the development of new technologies, products and ideas, the creation of jobs, economic growth and an enhanced quality of life in Australia.
A4.1.3 The Discovery Program aims to:
a. Fund excellent, internationally competitive research by individuals and teams that will produce high quality outcomes.
b. Build Australia’s research capacity through supporting and facilitating research training and career opportunities for excellent Australian and international researchers.
c. Support research in priority areas that will deliver national benefits.
d. Enhance research capacity and outcomes through support for international collaboration.
A4.1.4 The Discovery Program schemes provide funding to Administering Organisations to support research Projects.
A4.1.5 The ARC undertakes periodic evaluations of the performance and administration of the schemes under the NCGP.
A4.1.6 The Key Performance Indicators (KPIs) for the Discovery Program are specified each year in the ARC Portfolio Budget Statements and the ARC Strategic Plan. The KPIs focus on long-term outcomes as well as medium-term outcomes relating to building Australia’s research capacity, for example, research careers and training, contributions in areas of national need and research collaboration. These are addressed each year in the ARC’s annual report.
A4.2 Research/Activities Supported
A4.2.1 For the purposes of these Funding Rules, research is defined as the creation of new knowledge and/or the use of existing knowledge in a new and creative way so as to generate new concepts, methodologies, inventions and understandings. This could include synthesis and analysis of previous research to the extent that it is new and creative.
A4.2.2 This definition of research is consistent with a broad notion of research and experimental development comprising “creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man [humankind], culture and society, and the use of this stock of knowledge to devise new applications”[1].
A4.2.3 Except where such activities meet the definition of research in subsection A4.2.1, the Discovery Program does not support production of:
a. compilation of data, computer programs, research aids and tools;
b. descriptive data compilations, catalogues or bibliographies; or
c. teaching materials.
A4.2.4 The Discovery Program does not support Medical and Dental Research, as defined in section A3 of these Funding Rules.
A5. Funding
A5.1 Level and Period of Funding
A5.1.1 All amounts referred to in these Funding Rules are to be read as exclusive of GST (if any), unless expressly stated otherwise.
A5.1.2 The level and period of funding as well as details on supported budget items for each of the schemes under the Discovery Program are outlined in these Funding Rules.
A5.1.3 The ARC reserves the right to recommend funding levels which may be less than those requested in the Proposal, and a duration of ARC funding which may differ from that requested in the Proposal.
A5.1.4 The ARC will not duplicate funding for research or research infrastructure funded by the Commonwealth.
A5.1.5 The Proposal must list all current funding and requested funding for each participant under any ARC scheme and any other Commonwealth funding scheme.
A5.1.6 The Administering Organisation is responsible for any and all financial and taxation implications associated with receiving funds.
A5.2 Budget Items Supported
A5.2.1 Budget items that directly support a research program may be funded, including:
a. access to national and international research and infrastructure facilities including specialist archives, collections and databases;
b. access to Workshop Services linked to and justified explicitly against the Project (for example, machine tools and qualified technicians);
c. expenditure on Field Research essential to the Project, including technical and logistical support, and travel and accommodation costs;
d. expert services of a third party if the services are deemed to be directly related to and necessary for the proposed Project. Such services include, but are not limited to:
i. language translation services, transcribing services;
ii. purchase of bibliographical or archival material (electronic or hard copy); and
iii. data collection and analysis services;
e. equipment (and its maintenance) and consumables required for the Project. Funding will not be provided for equipment or consumables that are deemed to be for broad general use;
f. personnel: for example postdoctoral research associates, research assistants, technicians and laboratory attendants. Salary support must be requested at an appropriate salary level for the Administering Organisation, including 28 per cent on-costs. Where the scheme-specific Parts of these rules contain a specified salary level, only funding up to this level may be requested from the ARC;
g. higher degree by research stipends;
h. publication and dissemination of Project outputs and outreach activity costs;
i. specialised computer equipment and software essential to the Project;
j. teaching relief for CIs (not available for recipients of ARC Awards or Fellowships);
k. travel costs essential to the Project, including economy travel costs for domestic and/or international travel associated with the Project, including to foster and to strengthen collaborations between researchers in Australia and overseas;
l. web hosting and web development specific to the Project; and
m. workshops and conferences that are necessary for the conduct of the proposed research.
A5.2.2 All budget items must be justified in the Proposal to the satisfaction of the ARC.
A5.2.3 For all other scheme-specific budget items supported, refer to Parts B to E of these Funding Rules.
A5.3 Budget Items Not Supported
A5.3.1 Budget items which will not be supported by ARC funding and should not be requested in the budget include:
a. bench fees or similar laboratory access fees;
b. capital works and general infrastructure costs;
c. costs not directly related to research or the Project, including but not limited to professional membership fees, professional development courses, fees for patent application and maintenance, equipment for live music or drama performances, visas, relocation costs, costs of dependants, entertainment costs, hospitality costs, insurance, and other indirect costs;
d. fees for international students or the Higher Education Contribution Scheme (HECS) and Higher Education Loan Program (HELP) liabilities for students; and
e. salaries and/or on-costs, in whole or in part, for CIs or PIs.
A5.3.2 The following basic facilities must be provided and funded by the Administering Organisation, where relevant, and will not be funded by the ARC:
a. access to a basic library collection;
b. access to film or music editing facilities;
c. accommodation (for example, laboratory and office space, suitably equipped and furnished);
d. provision of basic computer facilities and standard software; and
e. standard reference materials or funds for abstracting services.
A5.3.3 For all other scheme-specific budget items not supported, refer to Parts B to E of these Funding Rules.
A6. General Eligibility Requirements
A6.1 Eligible Organisations
A6.1.1 A Proposal may only be submitted through the Research Office of an Eligible Organisation listed at Section A12.
A6.1.2 The Eligible Organisation that submits the Proposal will be the Administering Organisation. A Proposal may only be submitted once in the same funding scheme round regardless of any variation in the proposed research, the listed researchers and/or Administering Organisation.
A6.2 Limits on Projects and Proposals
A6.2.1 Within the Discovery Program a researcher can be funded for a maximum of:
a. two Projects as a CI, or
b. one ARC Fellowship or ARC Award, and one Project as a CI.
A6.2.2 These limits do not apply to Partner Investigators, or to other participants on Projects such as higher degree by research students and research assistants.
A6.2.3 A researcher cannot concurrently hold more than one ARC Fellowship or Award, and a holder of an ARC Fellowship or Award cannot concurrently hold a Fellowship from another Commonwealth funding agency.
A6.2.4 A proposal may only be submitted for funding that the researcher would be eligible to hold under these rules as at the Commencement Date of the Project/Fellowship/Award being applied for. The ARC will calculate this rule as at the closing time of submission of Proposals, by totalling:
a. the number of current Discovery Program CI roles, Fellowships or Awards for which the researcher will remain funded as at the Commencement Date of the funding being applied for; and
b. the number of Discovery Program Proposals submitted to the ARC which include that researcher as a CI, Fellow or Award recipient.
A6.2.5 For eligibility purposes a Project already receiving funding is considered to be funded for the years set out in the original Funding Agreement.
A6.2.6 Relinquishments of existing Discovery Program CI roles, Fellowships or Awards that are approved after the closing time of submission of Proposals will not be taken into account for the purposes of calculating the limits in this section.
A6.3 Eligibility process
A6.3.1 The ARC will assess whether a Proposal meets the requirements in these Funding Rules and may recommend that a Proposal that does not meet the requirements be deemed ineligible.
A6.3.2 A decision under subsection A6.3.1 may be made by the ARC at any stage during assessment of the Proposal and may result in non-progression of the Proposal through the assessment process.
A6.3.3 For additional scheme-specific eligibility requirements refer to Parts B to E of these Funding Rules.
A7. Submission of Proposals
A7.1 Proposals
A7.1.1 The Proposal must be submitted as a mature research plan presenting the proposed Project ready for implementation and must contain all the information necessary for its assessment without the need for further written or oral explanation, or reference to additional documentation, unless requested by the ARC.
A7.1.2 All details in the Proposal must be current at the time of submission.
A7.2 Submission of Proposals in RMS
A7.2.1 Administering Organisations must submit Proposals through RMS unless otherwise advised by the ARC.
A7.2.2 All Proposals must meet the format and content requirements, including certification, as set out in the RMS online form and the relevant scheme Instructions to Applicants.
A7.3 Closing Time for Proposals
A7.3.1 The online form completed within RMS must be submitted by the relevant scheme closing date and time on the Important Dates page on the ARC website at www.arc.gov.au.
A7.3.2 Additions, deletions and modifications will not be accepted after submission, unless invited by the ARC.
A7.3.3 Upon receipt of a written request with justification from the Administering Organisation the ARC may approve the withdrawal of a Proposal. The ARC will only approve such a request in exceptional circumstances.
A7.4 Certification in RMS
A7.4.1 The Administering Organisation must certify a Proposal online in RMS. Research Offices should ensure that the Research Office delegate role is authorised in RMS to certify and submit Proposals.
A7.4.2 The ARC reserves the right at any point in the process to seek evidence from the Administering Organisation to support the certification of Proposals.
A7.5 Conflict of Interest
A7.5.1 Each participant or organisation named in a Proposal must declare to the Administering Organisation at the date of submission any Conflict of Interest that exists or is likely to arise in relation to any aspect of the Proposal.
A7.5.2 If a Conflict of Interest exists or arises, the Administering Organisation must have documented processes in place for managing the Conflict of Interest for the duration of the Project. Such processes must comply with the NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2007), the ARC Conflict of Interest and Confidentiality Policy and any relevant successor documents.
A7.5.3 As part of the certification at A7.4.1, the Administering Organisation must certify that all Conflicts of Interest have been disclosed in accordance with A7.5.1, and that any Conflict of Interest will be managed in accordance with A7.5.2.
A8. Selection and Approval Process
A8.1 Assessment and Selection Process
A8.1.1 Assessment of Proposals is undertaken by the ARC, which has the right to make recommendations for funding to the Minister, based on any number of assessments or solely on the basis of its expertise.
A8.1.2 All Proposals will be considered against the eligibility criteria for the relevant scheme and compliance with these Funding Rules.
A8.1.3 All Proposals may be:
a. assigned to independent assessors, from a range of organisations, who will assess and report, which may include written comments, on the Proposal against the selection criteria; and
b. ranked and allocated a budget, relative to other Proposals, by the ARC College of Experts or a Selection Advisory Committee (SAC), on the basis of the Proposal, any assessors’ reports and any rejoinder.
A8.1.4 The ARC may cease the progression of Proposals at any time during the selection process. Grounds for cessation include, but are not limited to:
a. not meeting the eligibility criteria set out in these Funding Rules; or
b. providing incomplete, inaccurate or misleading information.
A8.1.5 Following the recommendations of the ARC College of Experts or a SAC, the CEO will make recommendations to the Minister in relation to which Proposals should be approved for funding, which Proposals should not be approved for funding, and the level of funding and duration of Projects.
A8.1.6 The ARC has procedures in place for managing organisational and personal Conflicts of Interest for assessors, members of the ARC College of Experts or a SAC, members of other ARC Committees and ARC staff.
A8.2 Rejoinder
A8.2.1 The Administering Organisation may be given the opportunity for a rejoinder to assessors’ written comments, and to provide any additional information requested by the ARC. Names of assessors will not be provided to the Administering Organisation or to Proposal participants.
A8.3 Request Not to Assess
A8.3.1 Administering Organisations may name any person or persons whom they do not wish to assess a Proposal by submitting a ‘Request Not to Assess’ form available on the ARC website at www.arc.gov.au. This form must be received by the ARC by the relevant scheme closing date and time available on the Important Dates page on the ARC website at www.arc.gov.au.
While the ARC may accommodate such requests, only one request may be submitted per Proposal and any request containing more than three individual assessors to be excluded for a Proposal must be directly supported in writing by the Deputy Vice-Chancellor (Research) or equivalent of the Administering Organisation.
A8.4 Recommendations and Offer of Funding
A8.4.1 In accordance with the ARC Act, the ARC CEO will submit funding recommendations to the Minister for consideration. The Minister will determine which Proposals will be approved and the amount and timing of funding to be paid to Administering Organisations for approved Proposals.
A8.4.2 Under the ARC Act, the Minister must not approve for funding any Proposal that fails to meet the eligibility criteria set out in these Funding Rules.
A8.4.3 All Administering Organisations will be notified of the outcomes of their Proposals (including Proposals not recommended for funding). Outcomes, funding allocations and other relevant information about the successful Proposals will be published on the ARC website.
A8.4.4 Administering Organisations whose Proposals are approved will be notified in a letter of offer that will indicate the funding to be offered and provided with a copy of a Funding Agreement for signing.
A8.4.5 The ARC may vary the funding approval if, in the opinion of the ARC, the particular circumstances of the Project warrant variation. Any variation or change will accord with the relevant Funding Rules and Funding Agreement.
A9. Appeals Process
A9.1 Applicants for funding under the schemes of the NCGP are able to submit an appeal against administrative process issues. The appeals process is designed to ensure that the Proposal has been treated fairly and consistently in the context of selection procedures.
A9.2 Appeals will be considered only against administrative process issues and not against committee decisions, assessor ratings and comments or the assessment outcome.
A9.3 Appeals must be submitted by the Administering Organisation on the ARC Appeals Form on the ARC website at www.arc.gov.au, authorised by a Deputy Vice-Chancellor (Research) or equivalent. Appeals must be received within 28 days of the date of the notification to the Administering Organisation of the outcome of Proposals. The ARC will not accept appeals later than 5.00 pm (AEDT/AEST) on the appeals submission due date.
A9.4 Appeals must be sent to the Appeals address advised at the beginning of these Funding Rules. The ARC will accept both electronic and hard copy Appeal submissions.
A9.5 Applicants for funding may at any time seek to appeal ARC decisions using available external appeal options. Regarding available options for external appeal, the Administrative Appeals Tribunal does not have general power to review ARC decisions.
A10. Reporting Requirements
Details of ARC reporting requirements can be found on the ARC website at www.arc.gov.au.
A10.1 Progress Reports
A10.1.1 For all years except the final year, Progress Reports must be submitted if significant issues are affecting the progress of the Project. The report must specify the actions being taken to address the issues.
A10.1.2 If the ARC is not satisfied with the progress of any Project, further payment of funds will not be made until satisfactory progress has been made on the Project. If satisfactory progress is still not achieved within a reasonable period of time, the funding may be terminated and all outstanding monies will be recovered by the ARC.
A10.1.3 When required, Progress Reports must be submitted by 31 March in the year following each calendar year for which the funding was awarded as directed by the ARC.
A10.2 End of Year Reports
A10.2.1 The Administering Organisation must submit an End of Year Report by 31 March in the year following each calendar year for which the funding was awarded, in accordance with the instructions to be provided by the ARC each year.
A10.3 Final Report
A10.3.1 A Final Report must be submitted for the Project within 12 months of the final payment or within 12 months of the final approved carryover of funds.
A10.3.2 The Final Report must address compliance with the ARC Open Access Policy as detailed at A11.5.
A10.3.3 If any reports are not submitted or are not satisfactory to the ARC this will be noted against future Proposals submitted by all participants on the Project.
A10.3.4 The ARC may also seek additional information about subsequent publications after submission of the Final Report.
A11. Fundamental Principles of Conducting Research
A11.1 Ethics and Research Practices
A11.1.1 All Proposals and ARC-funded research Projects must conform to the principles outlined in the following and their successor documents:
a. NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2007);
b. as applicable, the NHMRC/ARC/UA National Statement on Ethical Conduct in Human Research (2007);
c. as applicable, NHMRC Values and Ethics: Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health Research (2003);
d. as applicable, Australian Institute of Aboriginal and Torres Strait Islander Studies Guidelines for Ethical Research in Australian Indigenous Studies (2011); and
e. as applicable, the Australian Code for the care and use of animals for scientific purposes (2013) endorsed by the NHMRC, the ARC, the Commonwealth Scientific and Industrial Research Organisation and UA.
A11.1.2 If there is any conflict between a successor document and its predecessor, then the successor document prevails to the extent of any inconsistency.
A11.2 Applicable Law
A11.2.1 The ARC is required to comply with the requirements of the Privacy Act 1988 and the Freedom of Information Act 1982.
A11.3 Confidentiality
A11.3.1 The ARC will treat information contained in a Proposal as confidential. However, the ARC may disclose information contained in a Proposal, or otherwise provided to the ARC, to the extent that the information is:
a. disclosed by the ARC to its advisors (including assessors), officers, employees or other third parties in order to assess, evaluate or verify the quality, accuracy or completeness of a Proposal;
b. disclosed by ARC personnel to third parties to enable effective management or auditing of the Discovery Program schemes or any Funding Agreement;
c. disclosed by the ARC to the Minister;
d. shared by the ARC within the agency, or with another Commonwealth Department or agency, where this serves the Commonwealth’s legitimate interests;
e. authorised or required by law to be disclosed;
f. disclosed in accordance with any other provision of these Funding Rules or the Funding Agreement; or
g. in the public domain.
A11.3.2 Where information contained in a Proposal is made available to third parties for evaluation, assessment or audit purposes the ARC will require the third parties to maintain the confidentiality of the material, including any intellectual property contained in the Proposal.
A11.3.3 In addition to the exemptions listed at A11.3.1, the ARC may publicise and report offers or awards of funding, including the following information about the proposed Project: the name of the Administering Organisation and any other parties involved in or associated with the Project; named participants and their organisations; the proposed research program (the title and summary descriptions of the Project); classifications and international collaboration country names; and the level and nature of financial assistance from the ARC. Administering Organisations should ensure that information contained in the Proposal title and summary descriptions would not, if released, compromise their own requirements for confidentiality (such as protection of intellectual property).
A11.3.4 In making public information about a Proposal which has been approved for funding, the ARC may use a Project description, including title and summary, which may differ from that provided in the Proposal.
A11.4 Intellectual Property
A11.4.1 The ARC does not claim ownership of any intellectual property in a Proposal or in any research arising from a Project.
A11.4.2 The Administering Organisation must adhere to an intellectual property policy, approved by the Administering Organisation’s governing body, which has as one of its aims the maximisation of benefits to Australia arising from research. Unless otherwise approved by the Commonwealth, the Administering Organisation’s intellectual property policy must comply with the National Principles of Intellectual Property Management for Publicly Funded Research and/or any successor document/s.
A11.5 Publication and Dissemination of Research Outputs
A11.5.1 All Proposals and ARC-funded research projects must comply with the ARC Open Access Policy on the dissemination of research findings, which is available at www.arc.gov.au. In accordance with this policy, any publications arising from a Project must be deposited into an open access institutional repository within a twelve month period from the date of publication.
A11.5.2 Researchers and institutions have an obligation to care for and maintain research data in accordance with the Australian Code for the Responsible Conduct of Research (2007). The ARC considers data management planning an important part of the responsible conduct of research and strongly encourages the depositing of data arising from a Project in an appropriate publically accessible subject and/or institutional repository.
A11.6 Incomplete or Misleading Information
A11.6.1 It is a serious offence to provide false or misleading information to the Commonwealth.
A11.6.2 If the ARC considers that a Proposal is incomplete, inaccurate or contains false or misleading information, the ARC may in its absolute discretion decide to recommend that the Proposal not be approved for funding.
A11.6.3 A decision under subsection A11.6.2 may be made by the ARC at any stage during the assessment of the Proposal and may result in non-progression of the Proposal through the assessment process.
A11.6.4 Examples of misleading information and misconduct include:
a. providing fictitious research opportunity and performance evidence;
b. plagiarism;
c. making false claims in publications records (such as describing a paper as accepted for publication when it has only been submitted);
d. making false claims in relation to qualifications and/or appointments;
e. making false certifications; or
f. failing to disclose to the Administering Organisation the existence, and nature, of actual or potential Conflicts of Interest of any of the parties involved in the Proposal/Project (such as any affiliations or financial interest in any organisation that has a direct interest in the matter or outputs of the Project).
A12. Eligible Organisations
A12.1 Higher Education Organisations
Australian Capital Territory
The Australian National University
University of Canberra
New South Wales
Australian Catholic University
Charles Sturt University
Macquarie University
Southern Cross University
The University of New England
The University of New South Wales
The University of Newcastle
The University of Sydney
University of Technology, Sydney
University of Western Sydney
University of Wollongong
Northern Territory
Batchelor Institute of Indigenous Tertiary Education
Charles Darwin University
Queensland
Bond University
Central Queensland University
Griffith University
James Cook University
Queensland University of Technology
The University of Queensland
University of the Sunshine Coast
University of Southern Queensland
South Australia
The Flinders University of South Australia
The University of Adelaide
University of South Australia
Tasmania
University of Tasmania
Victoria
Deakin University
La Trobe University
MCD University of Divinity
Monash University
Royal Melbourne Institute of Technology (RMIT University)
Swinburne University of Technology
The University of Melbourne
University of Ballarat
Victoria University
Western Australia
Curtin University of Technology
Edith Cowan University
Murdoch University
The University of Notre Dame Australia
The University of Western Australia
A12.2 Other Eligible Organisations
Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS)
Additional Eligible Organisations may be specified on a scheme by scheme basis.
Part B – Scheme-specific rules for Australian Laureate Fellowships for funding commencing in 2014
B1. Interpretation
Part B contains the scheme-specific rules for Australian Laureate Fellowships for funding commencing in 2014.
The Commencement Date for Australian Laureate Fellowships for funding commencing in 2014 is 1 July 2014.
B2. Additional definitions for Part B
Postdoctoral Research Associate (PDRA) means a postdoctoral research associate funded by the Commonwealth through the Administering Organisation, who will be employed on the Project.
Postgraduate Researcher (PGR) means a postgraduate research student funded by the Commonwealth through the Administering Organisation, who will undertake a higher degree by research through the Project.
B3. Objectives
B3.1 The objectives of the Australian Laureate Fellowships scheme are to:
a. attract and retain outstanding researchers and research leaders of international reputation;
b. strengthen Australia’s international research standing and increase world-class research capability in Australia;
c. provide an excellent research training environment and exemplary mentorship to nurture early-career researchers;
d. expand Australia’s knowledge base by supporting ground-breaking, internationally competitive research;
e. forge strong links among researchers, the international research community and/or industry; and
f. support research that will result in economic, environmental, social and cultural benefits for Australia.
B3.2 Preference will be given to researchers who will play a significant, sustained leadership and mentoring role in increasing Australia’s internationally competitive research capacity.
B3.3 Up to 17 Australian Laureate Fellowships may be awarded for funding commencing in 2014, including named fellowships as outlined in subsection B3.4.
B3.4 Up to two named Australian Laureate Fellowships may be awarded to successful female Australian Laureate Fellows for funding commencing in 2014. A Kathleen Fitzpatrick Australian Laureate Fellowship will be available to a highly ranked female candidate from the humanities, arts and social science disciplines, and a Georgina Sweet Australian Laureate Fellowship will be available to a highly ranked female candidate from the science and technology disciplines. Recipients will be provided with additional funding to undertake an ambassadorial role to promote women in research. Recipients will be subject to the same conditions and obligations that apply to Australian Laureate Fellowships as outlined in these Funding Rules, as well as meeting the additional requirements outlined in Section B8 of these Funding Rules.
B4. Selection Criteria
B4.1 All Proposals that meet the eligibility criteria will be assessed and merit ranked using the following selection criteria:
a. Investigator 40%
(i) Research Opportunity and Performance Evidence (ROPE):
- evidence of outstanding research output and achievement;
- potential to undertake ground-breaking research;
- outstanding leadership ability;
- potential to create an enduring legacy that would be enhanced by the Australian Laureate Fellowship; and
- contribution to national and international public policy debates and initiatives.
(ii) time and capacity to undertake the proposed research.
b. Project/Program of Research Activity 30%
(i) Innovation
- Are the project aims and concepts original and innovative, representing the leading edge of research in the field?
- Will new methods, technologies, theories or ideas be developed?
- How does the research program enhance innovation in Australia?
(ii) Approach
- Are the conceptual framework, design, methods and analyses adequately developed, well integrated and appropriate to the aims of the project?
(iii) Significance and national benefit
- Does the research address an important problem?
- How will the anticipated outcomes advance the knowledge base?
- Is there a major contribution to public policy formulation and debate?
- Will the proposed research maximise economic, environmental, social, health and/or cultural benefit to Australia?
- Will the proposed research be cost-effective and value for money?
- What is the potential for the research to contribute to the Strategic Research Priorities?
- Will this research sustain and/or enhance international research collaboration?
c. Mentoring/Capacity Building 30%
- Does the Australian Laureate Fellowship Candidate demonstrate in the proposal the capacity to build world-class and innovative research groups/teams and/or centres over the term of the proposed project?
- Does the Australian Laureate Fellowship Candidate demonstrate exceptional ability to supervise and to mentor postdoctoral researchers and other early-mid career researchers?
- Does the Australian Laureate Fellowship Candidate have a record of successful postgraduate supervision, where applicable?
- Does the Australian Laureate Fellowship Candidate provide evidence in the proposal of a suitable Research Environment for postgraduate students and postdoctoral researchers?
- Does the Australian Laureate Fellowship Candidate demonstrate exceptional leadership and the organisational ability to ensure the development of scale and focus in research?
- Does the Australian Laureate Fellowship Candidate provide evidence of the potential to attract financial resources to enhance research capacity?
B5. Funding
B5.1 Level and Period of Funding
B5.1.1 The Administering Organisation must provide a salary of a Level E professorial appointment (or equivalent) for the Australian Laureate Fellow, with the ARC providing the salary supplement.
B5.1.2 The level of salary supplement that will be provided by the ARC for an Australian Laureate Fellow is specified in section B9. In addition to the salary supplement and salary-related (on-cost) support, the ARC may provide:
a. additional funding for up to two PDRAs (for five years each);
b. up to two PGRs (for four years each); and
c. project funding of up to $300,000 per annum (for up to five years). Requests for project funding may include additional PDRAs and PGRs.
B5.1.3 Funding may be payable under these Funding Rules for Australian Laureate Fellowships in respect of the financial year 2014-15 and any subsequent years to which the ARC Act applies. Funding for approved Projects will commence with effect 1 July 2014, unless other arrangements are approved by the ARC.
B5.1.4 Australian Laureate Fellowships are normally funded for five years on a full-time basis, subject to sufficient funding being available for Australian Laureate Fellowships, the provisions of the ARC Act, and continued satisfactory progress of the Project.
B5.1.5 PDRAs are normally awarded for five years on a full-time basis, subject to sufficient funding being available and continued satisfactory progress of the PDRA as determined by the ARC. The ARC supports part-time employment for PDRAs subject to the employment conditions of the Administering Organisation.
B5.1.6 PGRs are normally funded for four years on a full-time basis, subject to sufficient funding being available and continued satisfactory progress of the PGR as determined by the ARC.
B5.2 Budget Items Supported
B5.2.1 In addition to budget items supported under section A5.2, the following Project costs may be supported under the Australian Laureate Fellowships scheme:
a. personnel (salaries and on-costs), including;
i. Australian Laureate Fellow, PDRAs, and PGRs as outlined in section B9;
ii. technicians, laboratory attendants and research assistants; but excluding those items not permitted under subsection A5.3.1; and
b. domestic and international economy travel costs, subject to the policies of the Administering Organisation, for the Australian Laureate Fellow, PDRAs, PGRs and research support personnel only. Funding is permitted for domestic and international economy travel associated with the Project, including to foster and strengthen collaborations between researchers in Australia and overseas;
c. funding where the candidate has applied for either the Kathleen Fitzpatrick Australian Laureate Fellowship or Georgina Sweet Australian Laureate Fellowship and intends to use these funds as part of their ambassadorial role to promote women in research.
B6. Employment of Australian Laureate Fellows
B6.1.1 The Administering Organisation must provide Australian Laureate Fellows with a Level E professorial appointment (or equivalent) and salary for the duration of the Australian Laureate Fellowship.
B6.1.2 The Administering Organisation must employ the Australian Laureate Fellow on a full-time basis for the duration of the Australian Laureate Fellowship. In exceptional circumstances other appointments may be approved where, in the view of the ARC, such appointments would enhance the Fellowship. Approval for any such appointments must be sought from the ARC, and will be at the absolute discretion of the ARC.
B7. Roles and Eligibility
B7.1 Additional Eligible Organisations
B7.1.1 In addition to the organisations listed in A12, the following organisations are eligible to submit Proposals for Australian Laureate Fellowships for funding commencing in 2014:
Australian Nuclear Science and Technology Organisation (ANSTO)
Commonwealth Scientific and Industrial Research Organisation (CSIRO)
The Australian Institute of Marine Science (AIMS)
B7.2 Additional eligibility criteria for Australian Laureate Fellows
B7.2.1 A Proposal must nominate one Australian Laureate Fellowship Candidate. Australian Laureate Fellowship Candidates may be nominated on no more than one Proposal in this funding round, evaluated as at the closing time of submission of Proposals, regardless of any subsequent change in, or withdrawal of, Proposals.
B7.2.2 Australian Laureate Fellows cannot apply for a subsequent Australian Laureate Fellowship.
B7.2.3 A Proposal may be submitted for an Australian Laureate Fellowship on behalf of an Australian or international researcher. An Australian Laureate Fellowship Candidate may hold a continuing or non-continuing appointment in Australia or overseas at the time the Proposal is submitted.
B7.2.4 At the time of the submission of a Proposal, all obligations regarding previously funded ARC Projects involving the Australian Laureate Fellowship Candidate must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory Progress and Final Reports.
B7.2.5 Australian Laureate Fellows who are not Australian citizens must obtain a legal right to work and reside in Australia for the duration of the Australian Laureate Fellowship.
B7.2.6 Australian Laureate Fellows must reside in Australia for a minimum of three out of the five years of the Fellowship, except where ARC approval has been granted.
B7.2.7 Australian Laureate Fellows are expected to pursue research that is at the international leading edge in their field. To facilitate this aim, Australian Laureate Fellows may, with the approval of the ARC undertake research outside Australia for periods of up to two years in total, providing that the Administering Organisation clearly demonstrates this is in the best interests of the research and its outcomes, and of national benefit to Australia.
B7.2.8 Prior to the commencement of an Australian Laureate Fellowship, any existing responsibilities must be relinquished, except the Australian Laureate Fellowship Level E salaried position, unless otherwise approved by the ARC. ARC approval must also be obtained for any post-award responsibilities.
B7.2.9 Australian Laureate Fellows are normally expected to work a minimum of 85 per cent (0.85 Full Time Equivalent (FTE)) on research and research capacity-building activities. Research capacity-building activities could include research leadership in teams and centres (ARC Centres or other research-related centres) and supervision of postgraduate students, but do not include a major role in administration. While an Australian Laureate Fellow’s principal duty is to undertake research, it is also important to specify in the Proposal the role he/she would be expected to play within the Administering Organisation, and if applicable, the ARC Centre or other research-related centre.
B7.2.10 The Administering Organisation must ensure the Australian Laureate Fellow has access to periods of up to 14 weeks paid maternity leave where such leave is taken during the course of the Australian Laureate Fellowship. The ARC will provide up to 14 weeks additional funding per period for this purpose, and the Australian Laureate Fellowship period will be extended for a period equivalent to the duration of paid maternity leave. The funding for this purpose is to be claimed by the Administering Organisation through submission of a Variation of Funding Agreement.
B7.2.11 The Administering Organisation must ensure that Australian Laureate Fellows are entitled to take up to two weeks paid partner/parental leave at the time of birth or adoption to the parent who is not identified as the primary caregiver during the course of the Australian Laureate Fellowship. The ARC will provide up to two weeks additional funding for this purpose per period, and the Australian Laureate Fellowship period will be extended for a period equivalent to the duration of the paid partner/parental leave. The funding for this purpose is to be claimed by the Administering Organisation through submission of a Variation of Funding Agreement.
B7.2.12 The Australian Laureate Fellow may spend up to 0.15 FTE of her/his time on teaching activities. Supervision of honours or postgraduate students is not included in this limit. The Australian Laureate Fellowship will not be extended to accommodate any periods of teaching.
B7.3 Eligibility Criteria for Postdoctoral Research Associates (PDRAs)
B7.3.1 A PDRA must have been awarded a PhD or obtain approval from the ARC as having a research degree or experience equivalent to the award of a PhD.
B7.3.2 The total number of funded PDRA full-time equivalent (FTE) positions can be varied to meet the needs of the Project. It is the responsibility of the Administering Organisation to ensure that the total number of funded FTE equivalent Positions is not exceeded over the life of the Project.
B7.3.3 Approval may be sought from the ARC for a PDRA to undertake overseas research for a total of up to two years, provided that it is in the best interests of the research and its outcomes, and of national benefit to Australia.
B7.4 Eligibility Criteria for Postgraduate Researchers (PGRs)
B7.4.1 To be eligible to receive postgraduate research funding, a student must:
a. be enrolled in a full-time higher degree by research at an Eligible Organisation;
b. have an appropriate Honours 1 or 2A (or equivalent) undergraduate degree (this may be relaxed where a candidate has developed considerable research expertise in industry);
c. not be receiving similar funding or stipend from another Commonwealth program;
d. not have completed a degree at the same level or at a higher level in the same field of endeavour; and
e. not previously have held an Australian Postgraduate Award (APA) or Australian Postgraduate Award Industry (APAI) unless it was terminated within the first six months of the earlier award.
B8. Kathleen Fitzpatrick Australian Laureate Fellowship and Georgina Sweet Australian Laureate Fellowship
B8.1 The Kathleen Fitzpatrick Australian Laureate Fellowship and Georgina Sweet Australian Laureate Fellowship aim to encourage applications from female research leaders of international repute.
B8.2 These two fellowships involve the provision of additional funding of up to $20,000 per annum (for five years) to each of the successful recipients to undertake an ambassadorial role to promote women in research and to mentor early career researchers, particularly women, to encourage them to enter and establish careers in research in Australia.
B8.3 A Kathleen Fitzpatrick Australian Laureate Fellowship will be available to a highly ranked female candidate from the humanities, arts and social science disciplines, and a Georgina Sweet Australian Laureate Fellowship will be available to a highly ranked female candidate from the science and technology disciplines.
B8.4 Recipients of a Kathleen Fitzpatrick Australian Laureate Fellowship and Georgina Sweet Australian Laureate Fellowship must be female, and must also meet the eligibility criteria for Australian Laureate Fellows outlined in Section B7.2 of these Funding Rules. Candidates will be required to indicate their willingness to take on the ambassadorial role within their Proposal, including providing a brief outline of their proposed activities.
B8.5 Candidates who apply for a Kathleen Fitzpatrick Australian Laureate Fellowship or a Georgina Sweet Australian Laureate Fellowship will be assessed against the same selection criteria and will be subject to the same conditions and obligations that apply to all Australian Laureate Fellowship Candidates as outlined in these Funding Rules. Preference will be given to candidates who are able to demonstrate outstanding mentoring and capacity building qualities.
B8.6 Candidates who are unsuccessful in obtaining a Kathleen Fitzpatrick Australian Laureate Fellowship or a Georgina Sweet Australian Laureate Fellowship will still be considered for an Australian Laureate Fellowship.
B8.7 The ARC may in its absolute discretion decide not to award one or both of these named fellowships.
B9. Salary Support
B9.1 The ARC will provide a salary supplement to a Professorial Level E (or equivalent) salary for a successful Australian Laureate Fellow:
ARC Salary
Supplement
On-costs
28%
Total (2014$)
Australian Laureate Fellows
$117,620
$32,934
$150,554
B9.2 The ARC may provide the following amounts for up to two PDRAs and up to two PGRs:
ARC Salary
On-costs
28%
Total (2014$)
PDRA
$72,217
$20,221
$92,438
PGR
$25,406
N/A
$25,406
B9.3 The figures in this section are based on the 2014 levels of funding and will be subject to variation (for example, due to annual indexation). Updated levels will be available on the ARC website at www.arc.gov.au.
Part C - Scheme-specific rules for Discovery Projects for funding commencing in 2015
C1. Interpretation
Part C contains the scheme-specific rules for Discovery Projects for funding commencing in 2015.
The Commencement Date for Discovery Projects for funding commencing in 2015 is 1 January 2015.
C2. Objectives
C2.1 The objectives of the Discovery Projects scheme are to:
a. support excellent basic and applied research by individuals and teams;
b. enhance the scale and focus of research in the Strategic Research Priorities;
c. expand Australia’s knowledge base and research capability;
d. encourage research and research training in high-quality research environments;
e. enhance international collaboration in research; and
f. foster the international competitiveness of Australian research.
C3. Selection Criteria
C3.1 Proposals will be assessed and ranked using the following selection criteria:
a. Investigator(s) 40%
- Research opportunity and performance evidence (ROPE); and
- Time and capacity to undertake the proposed research.
b. Project Quality and Innovation 25%
- Does the research address a significant problem?
- Is the conceptual/theoretical framework innovative and original?
- What is the potential for the research to contribute to the Strategic Research Priorities?
- Will the aims, concepts, methods and results advance knowledge?
c. Feasibility and Benefit 20%
- Do the Project’s design, participants and requested budget create confidence in the timely and successful completion of the Project?
- Will the completed Project produce innovative economic, environmental, social and/or cultural benefit to the Australian and international community?
- Will the proposed research be cost-effective and value for money?
d. Research Environment 15%
- Is there an existing, or developing, supportive and high quality research environment for this Project?
- Are the necessary facilities available to complete the Project?
- Are there adequate strategies to encourage dissemination, commercialisation, if appropriate; and promotion of research outcomes?
C4. Funding
C4.1 Level and Period of Funding
C4.1.1 The minimum level of funding provided by the ARC under Discovery Projects is $30,000 per year of funding and the maximum is $500,000 per year of funding per Project.
C4.1.2 A Project may be applied for and awarded ARC funding for up to five consecutive years. A Proposal must request ARC funding in all years of the Project.
C4.1.3 Funding for approved projects will commence effective 1 January 2015, unless other arrangements are approved by the ARC.
C5. Budget Items Supported
C5.1 In addition to budget items supported under section A5.2, the following budget items may be supported:
a. higher degree by research stipends, at a rate of $25,406 (2014$) per year;
b. teaching relief for CIs up to a total of $40,000 per year per project;
c. travel costs essential to the Project, including economy travel costs for domestic and/or international travel and not exceeding $50,000, over the life of the Project. Funding is permitted for CIs, PIs and research support personnel. Travel costs related to carrying out Field Research are not included in this $50,000 limit on travel; and
d. International Collaboration Awards (ICAs) will be funded as a Special Condition and may be requested:
i. for up to two researchers (either CIs or PIs) per Proposal;
ii. for a CI to work overseas on the Project with an overseas based PI, and/or a PI based overseas to work in Australia on the Project. Preference will be given to overseas-based PIs to travel to Australia for collaborative research. ICAs do not fund travel to Australia by PIs located at an overseas campus of an Australian Eligible Organisation;
iii. to fund the following items: travel on international return economy class airfares, reasonable local travel, a living allowance and consumables. The living allowance should be based on standard institutional rates for academic visitors;
iv. for up to twelve months, per Award, over the life of the Project; and
v. up to a maximum amount of $20,000 per year of the Project per CI or PI.
C6. Roles and Eligibility for Researchers
C6.1 Additional eligibility criteria for Discovery Projects
C6.1.1 Roles that may be undertaken by researchers are:
a. Chief Investigator (CI); or
b. Partner Investigator (PI).
C6.1.2 A Proposal must nominate at least one CI; the first named CI will be the Project Leader.
C6.1.3 At the time of the submission of a Proposal, all obligations regarding previously funded Projects involving the nominated CIs on the Proposal must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory Progress and Final Reports.
C6.2 Eligibility Criteria for Chief Investigators (CIs)
C6.2.1 A researcher nominated on a Proposal as a CI must meet at least one of the following criteria as at 1 January 2015, and for the duration of the Project:
a. be an employee for at least half-time (50 per cent of Full Time Equivalent (FTE)) at one Eligible Organisation; or
b. be a holder of an Emeritus, Adjunct or equivalent appointment at an Eligible Organisation and not be employed more than half-time (50 per cent of Full Time Equivalent) at another organisation that:
i. is outside the Australian higher education sector, and
ii. engages in research funded predominantly from state/territory or Commonwealth Government funding sources; or
c. be an employee for at least 0.2 FTE (20 per cent of Full Time Equivalent) at one Eligible Organisation, and hold a paid position at a museum or herbarium. The museum or herbarium must be a state/territory or Commonwealth Government funded organisation not predominantly funded to carry out research, but with research-related purposes and objectives; or
d. be a Federation Fellow; or
e. be an Australian Laureate Fellow.
C6.2.2 Researchers undertaking a higher degree by research are not eligible to be CIs. Researchers must have their higher degree by research conferred by the Commencement Date of the Project in order to be eligible.
C6.2.3 A CI must take significant intellectual responsibility for the conduct of the Project and for any strategic decisions called for in its pursuit and the communication of results. A CI must have the capacity to make a serious commitment to carrying out the Project and cannot assume the role of a supplier of resources for work that will largely be placed in the hands of others.
C6.2.4 A CI must normally reside predominantly in Australia for the life of the Project. A CI may seek approval from the Administering Organisation to undertake Field Research, or study leave, directly related to the Project. Such absences must not total more than half the Project funding period.
C6.2.5 If a Proposal has been approved for funding and a CI is, at any time, no longer able to work as proposed on the Project, the Project may be continued provided that the Project still includes at least one CI who was named on the Proposal and any replacement CI is approved by the ARC and meets the CI eligibility criteria.
C6.2.6 If a Proposal has been approved for funding and the sole CI is, at any time, no longer able to work as proposed on the Project, the Project must be terminated.
C6.3 Eligibility Criteria for Partner Investigators (PIs)
C6.3.1 A researcher nominated as a PI on a Proposal:
a. must not meet the eligibility criteria for CI;
b. must take significant intellectual responsibility for the conduct of the Project and for any strategic decisions called for in its pursuit and the communication of results. The PI must have the capacity to make a serious commitment to carrying out the Project and cannot assume the role of a supplier of resources for work that will largely be placed in the hands of others; and
c. must secure cash or in-kind contribution or other resources from their own organisation for the Project (having regard to the total cost of the project and the relative contribution of other investigators).
C6.3.2 A researcher who is an employee of an Eligible Organisation listed in A12 who does not reside predominantly in Australia may be a PI.
Part D - Scheme-specific rules for Discovery Early Career Researcher Award for funding commencing in 2015
D1. Interpretation
Part D contains the scheme-specific rules for Discovery Early Career Researcher Award for funding commencing in 2015.
The Commencement Date for Discovery Early Career Researcher Award for funding commencing in 2015 is 1 January 2015.
D2. Additional definitions for Part D
DECRA Candidate means a researcher nominated in a Proposal for a Discovery Early Career Researcher Award.
DECRA Recipient means a researcher awarded funding under the Discovery Early Career Researcher Award scheme.
D3. Objectives
D3.1 The objectives of the Discovery Early Career Researcher Award (DECRA) scheme are to:
a. support and advance promising early career researchers;
b. promote enhanced opportunities for diverse career pathways;
c. focus research effort in the Strategic Research Priority areas to improve research capacity and policy outcomes; and
d. enable research and research training in high quality and supportive environments.
D3.2 Under the DECRA scheme up to 200 three year awards will be offered to early career researchers each year.
D4. Selection Criteria
D4.1 Proposals will be assessed and ranked using the following selection criteria:
a. Project Quality and Innovation 40%
- Does the research address a significant problem?
- Is the conceptual/theoretical framework innovative and original?
- What is the potential for the research to contribute to the Strategic Research Priorities?
- Will the aims, concepts, methods and results advance knowledge?
b. DECRA Candidate 35%
- Research opportunity and performance evidence (ROPE); and
- Time and capacity to undertake the proposed research.
c. Research Environment 15%
- Is there a supportive and collaborative research environment for the project?
- Will the Project provide the DECRA Candidate with the capacity and opportunity to develop an independent record of innovative, high quality research?
- Are the necessary facilities available to complete the Project?
- Are there adequate strategies to encourage dissemination, commercialisation, if appropriate, and promotion of research outcomes?
d. Feasibility and Benefit 10%
- Are the design of the project and the expertise of the participants sufficient to ensure the Project can be completed with the proposed budget and timeframe?
- Will the completed Project produce innovative economic, environmental, social and/or cultural benefit to the Australian and international community?
- Will the proposed research be cost-effective and value for money?
D5. Organisational Statement in respect to the Research Environment
D5.1 The Administering Organisation must provide a statement in relation to the Research Environment, approved by the Deputy Vice Chancellor (Research) or equivalent, within the Proposal outlining the:
a. extent to which the DECRA Project aligns with the existing and/or emerging research strengths of the Administering Organisation;
b. arrangements under which the DECRA Candidate will be supported in a collaborative research environment; and
c. opportunities for the DECRA Candidate to demonstrate the level of independence required to be competitive for research and/or research and teaching pathways at the Administering Organisation during and after the Project.
D6. Funding
D6.1 Level and Period of Funding
D6.1.1 A DECRA recipient may be awarded ARC funding of up to $134,512 per year of funding. The per annum salary contribution from the ARC is fixed at $94,512 (2014$), including 28 per cent on-costs, and up to a maximum of $40,000 project costs. Salary and/or project costs will not be awarded separately.
D6.1.2 A DECRA may be applied for and awarded ARC funding for three consecutive years on a full-time basis. Subject to the conditions in section D7.3.9, a DECRA Project may be undertaken on a part-time basis not exceeding six consecutive years.
D6.1.3 Funding for a DECRA Project will commence effective 1 January 2015, unless other arrangements are approved by the ARC.
D6.2 Budget Items Supported
D6.2.1 Budget items which directly support the research Project may be funded from the project costs. A list of budget items which may be funded is provided at A5.2. Further clarification is provided for the following items:
a. Expenditure on Field Research essential to the Project, including technical and logistical support. Field Research travel and accommodation costs may be funded for the DECRA candidate and support personnel;
b. Higher degree by research stipends, at a rate of $25,406 (2014$) per annum (up to one per Proposal) for students enrolled at Eligible Organisations; and
c. travel costs essential to the Project, including economy travel costs for domestic and/or international travel not exceeding $50,000 over the life of the Project. Funding for travel is permitted for the DECRA Recipient only. Travel and accommodation costs related to carrying out Field Research are not included in this total.
D6.2.2 All eligible requested funding costs must be justified in the Proposal to the satisfaction of the ARC.
D6.2.3 Funding for the DECRA Recipient’s salary component may be used for other purposes to support the Project in exceptional circumstances with the approval of the ARC without extension to the life of the Project. The use of DECRA funding for other purposes does not confer an exemption from the rules in A6.2.
D6.3 Budget Items Not Supported
D6.3.1 A list of budget items which will not be supported by ARC funding and should not be requested in the budget is provided at A5.3.
D7. Scheme specific eligibility requirements
D7.1 Additional Eligible Organisations
D7.1.1 In addition to the organisations listed in A12, the following organisations are eligible to submit Proposals for Discovery Early Career Researcher Award for funding commencing in 2015:
Australian Nuclear Science and Technology Organisation (ANSTO)
Commonwealth Scientific and Industrial Research Organisation (CSIRO)
The Australian Institute of Marine Science (AIMS)
D7.2 Application Limits
D7.2.1 A DECRA Recipient cannot apply for a subsequent DECRA.
D7.2.2 DECRA Candidates may be nominated on no more than one Proposal in this funding round, evaluated as at the closing time of submission of Proposals, regardless of any subsequent change in, or withdrawal of, Proposals.
D7.2.3 A researcher may only apply for up to two DECRAs over the period in which they are eligible, unless otherwise approved by the ARC. This includes Proposals that have been withdrawn after the closing time of submission of Proposals, and Proposals which were deemed ineligible by the ARC.
D7.3 DECRA Candidate and Role
D7.3.1 A DECRA Candidate must at the closing time of submission of Proposals:
a. have been awarded a PhD on or after 1 March 2009; or
b. have been awarded a PhD on or after 1 March 2005, together with periods of significant career interruption (between the PhD award date and the closing time of submission of Proposals) which if taken into account would be commensurate with a PhD being awarded on or after 1 March 2009. Career interruptions of less than one month will not be considered. The following types of interruption will be considered:
(i) carer’s responsibility;
(ii) disruption due to international relocation for post-doctoral studies or other research employment not exceeding 3 months per international relocation;
(iii) illness;
(iv) maternity or parental leave; and/or
(v) unemployment, or non-research employment.
D7.3.2 A candidate who was awarded a PhD before 1 March 2005 is not eligible to apply for a DECRA regardless of any career interruption.
D7.3.3 A DECRA Recipient who is not an Australian citizen must obtain a legal right to work and reside in Australia for the duration of the Award.
D7.3.4 A DECRA Recipient must not spend more than one third of the duration of the Award outside Australia or engaged in international travel, except where ARC approval has been granted.
D7.3.5 A DECRA Recipient must take significant intellectual responsibility for the conduct of the Project and for any strategic decisions called for in its pursuit and communication of results.
D7.3.6 At the closing time of submission of Proposals, all obligations regarding previously funded Projects involving the DECRA Candidate must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory Progress and Final Reports.
D7.3.7 A DECRA Recipient must hold an appointment at the Administering Organisation for the duration of the Award. This excludes honorary, adjunct or equivalent appointments.
D7.3.8 A DECRA Candidate who holds a paid position at a museum or herbarium must be an employee for at least 0.2 FTE (20 per cent of Full Time Equivalent) at one Eligible Organisation for the duration of the Award. The museum or herbarium must be a state/territory or Commonwealth Government funded organisation not predominantly funded to carry out research, but with research-related purposes and objectives.
D7.3.9 The DECRA may be awarded on a full-time or part-time basis. The DECRA may be converted to (or from) part-time at any time to enable the DECRA Recipient to continue to fulfil family and/or carer responsibilities, provided that the DECRA does not exceed six years from the date of commencement (excluding any approved periods of suspension and/or maternity and/or partner/parental leave). A DECRA does not have a minimum full-time equivalent (FTE) for ARC purposes, but the FTE of the DECRA Recipient for ARC purposes must match that of the DECRA Recipient’s employment contract. The Administering Organisation and not the ARC is to manage changes to the DECRA Recipient’s working hours. The Administering Organisation will notify the ARC of any changes to working hours via Progress Reporting.
D7.3.10 The Administering Organisation must ensure a DECRA recipient has access to periods of up to 14 weeks paid maternity leave where such leave is taken during the course of the Award. The ARC will provide up to 14 weeks additional funding per period for this purpose, and the DECRA period will be extended for a period equivalent to the duration of paid maternity leave. The funding for this purpose is to be claimed by the Administering Organisation through submission of a Variation of Funding Agreement.
D7.3.11 The Administering Organisation must ensure that a DECRA Recipient is entitled to take up to two weeks paid partner/parental leave at the time of birth or adoption to the partner/parent who is not identified as the primary caregiver during the course of the DECRA. The ARC will provide up to two weeks additional funding for this purpose per period, and the DECRA period will be extended for a period equivalent to the duration of the paid partner/parental leave. The funding for this purpose is to be claimed by the Administering Organisation through submission of a Variation of Funding Agreement.
D7.3.12 The DECRA Recipient may spend up to 0.15 FTE of her/his time annually on teaching activities. The DECRA will not be extended to accommodate any periods of teaching. Supervision of honours or postgraduate students is not included in this limit.
Part E - Scheme-specific rules for Discovery Indigenous for funding commencing in 2015
E1. Interpretation
Part E contains the scheme-specific rules for Discovery Indigenous for funding commencing in 2015.
The Commencement Date for Discovery Indigenous for funding commencing in 2015 is 1 January 2015.
E2. Additional Definition for Part E
Indigenous Australian means an Australian of Australian Aboriginal or Torres Strait Islander descent who identifies as an Australian Aborigine or Torres Strait Islander and is accepted as an Australian Aborigine or Torres Strait Islander in the community in which he/she lives or has lived.
E3. Introduction to Discovery Indigenous
E3.1 Overview
E3.1.1 The Discovery Indigenous scheme provides funding to Administering Organisations to support research programs led by an Indigenous Australian researcher and builds research capacity of higher degree research and early career researchers.
E3.2 Objectives
E3.2.1 The objectives of the Discovery Indigenous scheme are to:
a. develop the research expertise of Indigenous Australian researchers;
b. support fundamental research and research training by Indigenous Australian researchers as individuals and as teams;
c. support and retain established Indigenous Australian researchers in Australian higher education institutions; and
d. expand Australia’s knowledge base and research capability.
E3.3 Selection Criteria
E3.3.1 Proposals will be assessed and ranked using the following selection criteria:
a. Project Quality and Innovation 40%
- Does the research address a significant problem?
- Is the conceptual/theoretical framework innovative and original?
- Will the aims, concepts, methods and results advance knowledge?
- What is the potential for the research to contribute to the Strategic Research Priorities?
b. Investigator(s) 35%
- Research opportunity and performance evidence (ROPE).
- Time and capacity to undertake the proposed research.
c. Research Environment 15%
- Are there strategies for enabling collaboration with Australian Aboriginal and Torres Strait Islander communities where appropriate (for example, dialogue/collaboration with an Indigenous cultural mentor)?
- Is there an existing or developing, supportive and high quality Research Environment for this Project?
- Are the necessary facilities to complete the Project available?
- Are there adequate strategies to encourage dissemination, commercialisation, if appropriate; and promotion of research outcomes?
d. Feasibility and Benefit 10%
- Are the design of the Project and the expertise of the participants sufficient to ensure the Project can be completed within the proposed budget and timeframe?
- Will the completed Project produce innovative economic, environmental, social and/or cultural benefit to the Australian and international community?
- Will the proposed research be cost-effective and value for money?
E3.4 Organisational Statement in Respect to the Research Environment
E3.4.1 The Administering Organisation must provide a statement in relation to the Research Environment, approved by the Deputy Vice Chancellor (Research) or equivalent, within the Proposal outlining the:
a. extent to which the proposed Project aligns with the existing and/or emerging research strengths of the Administering Organisation; and
b. arrangements under which the proposed Project and investigators will be supported in a collaborative Research Environment.
E4. Funding
E4.1 Level and Period of Funding
E4.1.1 The minimum level of funding provided for a Project by the ARC under the Discovery Indigenous scheme is $30,000 per year and the maximum is $500,000 per year.
E4.1.2 A Proposal cannot request funding for a Discovery Indigenous Award (DIA) only.
E4.1.3 A Proposal must request ARC funding for three consecutive years.
E4.1.4 Funding for approved Projects will commence effective 1 January 2015, unless other arrangements are approved by the ARC.
E4.2 Budget Items Supported
E4.2.1 In addition to budget items supported under section A5.2, budget items which directly support a research program may be funded, including:
a. teaching relief for CIs up to a total of $40,000 per year per project;
b. travel costs essential to the Project, including economy travel costs for domestic and/or international travel and not exceeding $50,000, over the life of the Project. Funding is permitted for CIs and research support personnel. Travel costs related to carrying out Field Research are not included in this $50,000 limit on travel;
c. higher degree by research stipends at a rate of $25,406 (2014$) per year for up to two Indigenous Australian students enrolled at the Administering Organisation or another Eligible Organisation per Proposal; and
d. stipends to support Indigenous Australian Honours students, subject to the policies of the Administering Organisation.
E4.2.2 All eligible requested funding must be justified in the Proposal to the satisfaction of the ARC.
E5. Organisational Types
E5.1 Host Organisations
E5.1.1 A Proposal may identify no more than two Australian or international Host Organisations, where a DIA Candidate may, subject to the approval of the Administering Organisation, undertake research for up to twelve months in total, over the life of the Project.
E5.1.2 The Proposal must describe:
a. the extent of the collaboration between the DIA Candidate and the Host Organisation(s); and
b. how the Host Organisation(s) will provide a suitable Research Environment for the DIA Candidate.
E5.2 Other Organisations
E5.2.1 Eligible Organisations listed as contributors on the Proposal that are not the Administering Organisation will be Other Eligible Organisations.
E5.2.2 Organisations which are not Eligible Organisations or Host Organisations but which are listed on the Proposal as contributors will be Other Organisations.
E6. Roles and Eligibility for Researchers
E6.1 Researcher Roles and General Eligibility
E6.1.1 The only role that may be undertaken by a researcher is as a Chief Investigator (CI).
E6.1.2 A Proposal must nominate at least one CI; the first-named CI must be an Indigenous Australian researcher and will be the Project Leader.
E6.1.3 At the time of the submission of a Proposal, all obligations regarding previously funded ARC Projects involving the nominated CIs on the Proposal must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory Progress and Final Reports.
E6.2 Eligibility Criteria for Chief Investigators (CI)
E6.2.1 A researcher nominated on a Proposal as a CI must meet at least one of the following criteria as at 1 January 2015, and for the duration of the Project:
a. be an employee for at least half-time (50 per cent of Full Time Equivalent (FTE)) at one Eligible Organisation; or
b. be a holder of an Emeritus, Adjunct or equivalent appointment at an Eligible Organisation and not be employed more than half-time (50 per cent of Full Time Equivalent) at another organisation that:
(i) is outside the Australian higher education sector, and
(ii) engages in research funded predominantly from state/territory or Commonwealth Government funding sources; or
c. be an employee for at least 0.2 FTE (20 per cent of Full Time Equivalent) at one Eligible Organisation, and hold a paid position at a museum or herbarium. The museum or herbarium must be a state/territory or Commonwealth Government funded organisation not predominantly funded to carry out research, but with research-related purposes and objectives.
E6.2.2 A CI must take significant intellectual responsibility for the conduct of the Project and for any strategic decisions called for in its pursuit and the communication of results. A CI must have the capacity to make a serious commitment to carrying out the Project and cannot assume the role of a supplier of resources for work that will largely be placed in the hands of others.
E6.2.3 A CI must have a legal right to work and reside in Australia for the life of the Project.
E6.2.4 A CI may seek approval from the Administering Organisation to undertake Field Research, or study leave, directly related to the Project not exceeding 18 months over the life of the Project.
E6.2.5 Researchers undertaking a higher degree by research are not eligible to be CIs. Researchers must have their higher degree by research conferred by the Commencement Date of the Project in order to be eligible.
E6.2.6 If a Proposal has been approved for funding and a CI is, at any time, no longer able to work as proposed on the Project, the Project may be continued provided that the Project still includes at least one CI who was named on the Proposal and any replacement CI is approved by the ARC and meets the CI eligibility criteria.
E6.2.7 If a Proposal has been approved for funding with a sole CI and the sole CI is, at any time, no longer able to work as proposed on the Project, the Project must be terminated.
E7. Discovery Indigenous Award
E7.1 Eligibility Criteria for a Discovery Indigenous Award (DIA)
E7.1.1 A DIA Candidate must:
a. be an Indigenous Australian researcher; and
b. satisfy the eligibility criteria for a CI at E6.2.
E7.1.2 A DIA candidate must demonstrate how the Project quality would be enhanced by a DIA and detail the ways in which the additional research time would be utilised (for example, undertaking sustained Field Research, archival research of laboratory work).
E7.1.3 A researcher can only request one DIA in a scheme round.
E7.1.4 A DIA Candidate must hold an appointment at the Administering Organisation for the duration of the Award.
E7.2 Level and Period of Funding for a Discovery Indigenous Award (DIA)
E7.2.1 A DIA can only be awarded for the same duration as the Project.
E7.2.2 A CI awarded a DIA will not be awarded teaching relief.
E7.2.3 DIA funding may be used for other purposes to support the Project in changed circumstances with the approval of the ARC, without extension to the life of the Project. The use of DIA funding for other purposes does not confer an exemption from the rules in A6.2.
E7.2.4 DIA funding may be requested at one of five salary levels (2014$), which is either equivalent to or higher than the salary level of the CI as at the closing date for submission.
DIA Funding Levels
Salary
On-costs
28%
Total
DIA Level 1 (1.0 FTE)
$73,837
$20,675
$94,512
DIA Level 2 (1.0 FTE)
$86,868
$24,324
$111,192
DIA Level 3 (1.0 FTE)
$112,928
$31,620
$144,548
DIA Level 4 (1.0 FTE)
$130,302
$36,486
$166,788
DIA Level 5 (1.0 FTE)
$156,362
$43,782
$200,144
E7.2.5 The Administering Organisation must ensure a CI awarded a DIA has access to periods of up to 14 weeks paid maternity leave where such leave is taken during the course of the Award. The ARC will provide up to 14 weeks additional funding per period for this purpose, and the DIA period will be extended for a period equivalent to the duration of paid maternity leave. The funding for this purpose is to be claimed by the Administering Organisation through submission of a Variation of Funding Agreement.
E7.2.6 The Administering Organisation must ensure a CI awarded a DIA is entitled to take up to two weeks paid partner/parental leave at the time of birth or adoption to the partner/parent who is not identified as the primary caregiver during the duration of the Award. The ARC will provide up to two weeks additional funding for this purpose per period, and the DIA period will be extended for a period equivalent to the duration of the paid partner/parental leave. The funding for this purpose is to be claimed by the Administering Organisation through submission of a Variation of Funding Agreement.
[1] OECD (2002), Frascati Manual: Proposed Standard Practice for Surveys on Research and Experimental Development, Paris (Page 30).
