Discovery Early Career Researcher Award Funding Rules for funding commencing in 2014
Australian Research Council Act 2001
I, CHRIS EVANS, Minister for Tertiary Education, Skills, Science and Research, 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 21 January 2013
Chris Evans
Minister for Tertiary Education, Skills, Science and Research
Table of Contents
Key Dates. 3
Contacts. 3
1...... Name of Funding Rules. 4
2...... Commencement 4
3...... Definitions. 4
4...... Introduction. 6
4.1...... Overview 6
4.2...... Discovery Early Career Researcher Award (DECRA) 6
4.3...... Selection Criteria 7
4.4...... Organisational Statement in respect to the Research Environment 7
5...... Funding. 8
5.1...... Level and Period of Funding 8
5.2...... Budget Items Supported 8
5.3...... Budget Items Not Supported 8
5.4...... Research/Activities Not Supported 9
6...... Organisational Types, Roles and Eligibility. 9
6.1...... Eligible Organisations 10
6.2...... Discovery Early Career Researcher Award 10
7...... Number of Proposals, Funded Projects and Cross-Scheme Eligibility. 11
7.1...... Number of Proposals and Funded Projects 11
7.2...... Duplication 12
7.3...... Proposal Eligibility 12
8...... Submission of Proposals. 12
8.1...... Proposals 12
8.2...... Submission of Proposals in the RMS 13
8.3...... Closing Time for Proposals 13
8.4...... Certification in the RMS 13
8.5...... Conflict of Interest 13
9...... Selection and Approval Process. 13
9.1...... Assessment and Selection Process 13
9.2...... Rejoinder 14
9.3...... Request Not to Assess 14
9.4...... Recommendations and Offer of Funding 14
10.... Appeals Process. 15
11.... Reporting Requirements. 15
11.1.... Progress Reports 15
11.2.... End of Year Reports 15
11.3.... Final Report 15
11.4.... Audited Financial Statement 16
12.... Fundamental Principles of Conducting Research. 16
12.1.... Ethics and Research Practices 16
12.2.... Applicable Law 16
12.3.... Confidentiality 16
12.4.... Intellectual Property 17
12.5.... Incomplete or Misleading Information 17
12.6.... Publication and Dissemination of Research Outputs 18
Appendix A Eligible Organisations. 19
A1.1... Higher Education Organisations 19
A1.2... Other Eligible Organisations 20
Key Dates
Please refer to the Important Dates page on the ARC website for key dates and updates relevant to these Funding Rules - www.arc.gov.au/media/important_dates.htm.
Contacts
Researchers should direct requests for information to the Research Office within their organisation.
ARC Contacts
by mail to:
by courier to:
DECRA Coordinator
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
DECRA Coordinator
Australian Research Council
Level 2, 11 Lancaster Place
Majura Park
CANBERRA ACT 2609
Email: ARC-DECRA@arc.gov.au
Phone: 02 6287 6600
Fax: 02 6287 6638
Web: 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
Other:
RMS Support Team: rms@arc.gov.au
Post-award enquires: ARC-postaward@arc.gov.au
1. Name of Funding Rules
These Funding Rules are the Australian Research Council Discovery Early Career Researcher Award Funding Rules for funding commencing in 2014.
2. Commencement
These Funding Rules shall take effect upon registration on the Federal Register of Legislative Instruments.
3. 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 under the Discovery Early Career Researcher Award scheme and which will be responsible for the administration of the funding if the Project is approved for funding.
ARC means the Australian Research Council, as established under the Australian Research Council Act 2001.
ARC Act means the Australian Research Council Act 2001.
ARC Award means a named Award within any ARC scheme where the salary is funded wholly or partly by the ARC, and includes Discovery Outstanding Researcher Award, Discovery Indigenous Award or Discovery Early Career Researcher Award.
ARC College means a body of scholars appointed to assist the ARC to identify research excellence, to moderate external assessments and to 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.
ARC Research Centres Program encompasses any research centre wholly or partly funded by the ARC and includes Centres of Excellence, Co-funded Centres and Special Research Initiatives.
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.
Centre Personnel means the Centre Director, Research Director, Chief Operations Officer, Chief Investigators or Specified Personnel in the ARC Research Centres Program.
Chief Investigator (CI) means a researcher who satisfies the eligibility criteria for a CI under these Funding Rules.
Commonwealth means the Commonwealth of Australia.
Commonwealth-funded Research Centre means a research centre established under a competitive Commonwealth scheme and includes Cooperative Research Centres and National Health and Medical Research Council (NHMRC) Grants and Centres of Clinical Research Excellence.
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.
DECRA means Discovery Early Career Researcher Award.
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.
Eligible Organisation means an organisation listed in Appendix A.
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.
Medical and Dental Research means research and/or training primarily and substantially aimed at understanding or treating a human disease or health condition, and as defined on the ARC website at www.arc.gov.au/applicants/md_research.htm.
Minister means the Minister responsible for the administration of the ARC Act, or the Minister’s delegate.
National Research Priorities means priority research areas identified by the ARC and advertised on the ARC website at www.arc.gov.au and updated from time to time.
NCGP means the National Competitive Grants Program.
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.
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.
Special Condition means a special condition specified in a Funding Agreement which governs the use of the funding provided by the ARC.
UA means Universities Australia.
4. Introduction
4.1 Overview
4.1.1 These Funding Rules are current as at the date of signing and have been prepared in accordance with the requirements of the ARC Act in force then.
4.1.2 The DECRA scheme is funded under the Discovery Program of the ARC’s NCGP.
4.1.3 The DECRA scheme provides funding to Administering Organisations to support research.
4.1.4 Under the DECRA scheme up to 200 three year awards will be offered to early career researchers each year.
4.1.5 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 and understandings. This could include synthesis and analysis of previous research to the extent that it is new and creative.
This definition of research is consistent with a broad notion of research and experimental development (R&D) 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].
4.1.6 The ARC undertakes periodic evaluations of the performance and administration of the scheme under the NCGP.
4.2 Discovery Early Career Researcher Award
4.2.1 The objectives of the 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 National Research Priority areas to improve research capacity and policy outcomes; and
d. enable research and research training in high quality and supportive environments.
4.3 Selection Criteria
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?
b. DECRA Candidate 35%
- research opportunity and performance evidence (ROPE); 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 value for money?
4.4 Organisational Statement in respect to the Research Environment
The Administering Organisation must provide a statement in relation to the Research Environment, approved by the Deputy Vice Chancellor (Research), Chief Executive Officer 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.
5. Funding
5.1 Level and Period of Funding
5.1.1 All amounts referred to in these Funding Rules are to be read as exclusive of GST (if any), unless expressly stated otherwise.
5.1.2 A DECRA recipient may be awarded ARC funding of up to $131,740 per year of funding. The per annum salary contribution from the ARC is fixed at $91,740, 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.
5.1.3 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 6.2.6, a DECRA Project may be undertaken on a part-time basis not exceeding six consecutive years.
5.1.4 Funding for a DECRA Project will commence effective 1 January 2014, unless other arrangements are approved by the Minister.
5.1.5 The Administering Organisation is responsible for any and all taxation implications associated with receiving funds.
5.2 Budget Items Supported
5.2.1 Budget items which directly support the research Project may be funded from the project costs, 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. equipment;
d. expenditure on fieldwork essential to the project, including technical and logistical support, and travel and accommodation costs;
e. maintenance;
f. personnel: for example, research associates and assistants, technicians and laboratory attendants. Salary support must be requested at an appropriate salary level for the Eligible Organisation, including 28 per cent on-costs;
g. PhD stipends, at a minimum of $24,653 (2013$) per annum (up to one per Proposal) for students enrolled at Eligible Organisations;
h. specialised computer equipment and software essential to the Project; and
i. 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 is permitted for the DECRA Recipient only. Travel costs related to carrying out fieldwork research are not included.
5.2.2 All eligible requested funding costs must be justified in the Proposal to the satisfaction of the ARC.
5.3 Budget Items Not Supported
5.3.1 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 proposed Project. Examples include but are not limited to: professional membership fees, fees for patent application and holding, visas, relocation costs, costs of dependants, insurance, and mobile phones (purchase or call charges); and
d. fees for international students or the Higher Education Contribution Scheme (HECS) and Higher Education Loan Program (HELP) liabilities for students.
5.3.2 The following basic facilities must be provided and funded by the Administering Organisation and be accessible to the DECRA Recipient where relevant:
a. access to a basic library collection;
b. access to film or music editing facilities;
c. accommodation (for example, laboratory and office, suitably equipped and furnished);
d. provision of basic computing facilities such as desktop computers, portable computer devices, printers, word processing and other standard software;
e. standard reference materials or funds for abstracting services;
f. use of photocopiers, telephones, mail, fax, email and internet services; and
g. web hosting and web development.
5.4 Research/Activities Not Supported
5.4.1 Except where such activities meet the definition of research in section 4.1.5, the DECRA scheme 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.
5.4.2 The DECRA scheme does not support medical and dental research, defined as research and/or training primarily and substantially aimed at understanding or treating a human disease or human health condition. This includes, but us not limited to, Projects that involve any of the following:
a. late pre-clinical or early human trials of a human therapeutic agent, material or diagnostic test or device; or other interventional research involving humans;
b. using material collected from human subjects for the primary purpose of studying the underlying causes, prevalence, epidemiology or mode of inheritance of a disease or human condition; or
c. using established animal models or established cell lines for the purpose of studying the underlying causes, prevalence, epidemiology or mode of inheritance of a human disease or human health condition.
6. Organisational Types, Roles and Eligibility
6.1 Eligible Organisations
6.1.1 A Proposal may only be submitted by an Eligible Organisation listed at Appendix A.
6.2 Discovery Early Career Researcher Award Eligibility
6.2.1 A DECRA Candidate must at the closing time of submission of Proposals:
a. have been awarded a PhD on or after 1 March 2008; or
b. commensurate with a period of significant career interruption (between 1 March 2005 to 1 March 2013) have been awarded a PhD awarded on or after 1 March 2005. The following types of interruption will be considered:
i. carer’s responsibility;
ii. disruption due to international relocation for international post-doctoral studies not exceeding more than 3 months;
iii. illness;
iv. maternity or parental leave; and/or
v. unemployment or non-research employment where the work is predominantly non-research (not exceeding three years).
6.2.2 A DECRA Recipient must hold an appointment at the Administering Organisation for the duration of the Award. This excludes honorary, adjunct or equivalent appointments.
6.2.3 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. 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.
6.2.4 A DECRA Recipient must legally reside predominantly in Australia for the duration of the Award.
6.2.5 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.
6.2.6 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), but the FTE of the DECRA Recipient 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.
6.2.7 A DECRA Recipient cannot commence another ARC Fellowship until the entire DECRA salary component has been expended.
6.2.8 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 6.2.7.
6.2.9 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 Final Reports.
6.2.10 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 funding for this purpose. The Administering Organisation must seek ARC approval for any extension to the life of the Project exceeding the 14 weeks paid maternity leave. The funding for this purpose is to be claimed by the Administering Organisation through submission of a Variation of Funding Agreement.
6.2.11 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 funding for this purpose 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.
6.2.12 A DECRA Recipient cannot spend more than one third of the duration of the Award overseas or engaged in international travel.
6.2.13 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.
7. Number of Proposals, Funded Projects and Cross-Scheme Eligibility
7.1 Number of Proposals and Funded Projects
7.1.1 A DECRA Candidate may be nominated on no more than one DECRA Proposal in this funding round, calculated as at the closing time of submission of Proposals, regardless of any subsequent change in, or withdrawal of, Proposals. Submitting Proposals that exceed this limit will result in all Proposals involving the relevant researcher not being recommended for funding.
7.1.2 A DECRA Recipient cannot apply for a subsequent DECRA.
7.1.3 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.
7.1.4 A DECRA Recipient may only be funded concurrently for one Project under the following Schemes and Program combined: Discovery Projects, Discovery Indigenous Researchers Development or Discovery Indigenous schemes, or Centre Personnel receiving funding under the ARC Research Centres Program.
7.1.5 Researchers will not be permitted to relinquish a CI, ARC Fellowship, ARC Award or Centre Personnel role or existing ARC grants held on 1 January 2013, to circumvent the limit in 7.1.4.
7.1.6 A researcher cannot be involved in more than the maximum number of Projects (including ARC Awards and Fellowships) permitted in 2014. This number is calculated at the closing time of submission of Proposals by totalling the number of Projects receiving funding in 2014 and the number of Proposals submitted for funding commencing in 2014. A Project is considered to be funded for the years set out in the Funding Agreement.
7.1.7 An ARC Fellowship or ARC Award recipient cannot concurrently hold more than one ARC Fellowship or ARC Award. An ARC Fellowship or ARC Award recipient may only apply for another ARC Fellowship or ARC Award in the final year of that Fellowship or Award. Some schemes have restrictions on the number of times applications can be submitted.
7.1.8 A DECRA Candidate for funding commencing in 2014 cannot apply for another ARC Fellowship or ARC Award commencing in 2014.
7.1.9 An ARC Fellowship or ARC Award recipient cannot concurrently hold a fellowship from another Commonwealth funding agency. Commencement of ARC Fellowships and ARC Awards cannot be deferred to allow the completion of another Commonwealth funded fellowship. The ARC will not accept applications for ARC Fellowships or ARC Awards where the candidate has applied, or intends to apply, for another Commonwealth-funded fellowship within the six months before or after the ARC closing date for Proposals.
7.2 Duplication
7.2.1 The ARC will not duplicate funding for research, including infrastructure, funded by the Commonwealth as at 1 January 2014.
7.2.2 The Proposal must list all current funding and requested funding for the DECRA Candidate under any ARC scheme, including Projects, Awards and Fellowships, or any other Commonwealth funding scheme.
7.3 Proposal Eligibility
7.3.1 The ARC will assess whether a Proposal meets the eligibility requirements in these Funding Rules and may recommend that a Proposal that does not meet the requirements be deemed ineligible.
7.3.2 A decision under clause 7.3.1 may be made by the ARC at any stage during assessment of the Proposal and may result in non-progression of the Proposal to the next level of assessment.
8. Submission of Proposals
8.1 Proposals
8.1.1 The Proposal must be submitted as a mature research plan presenting the proposed research ready for implementation and must contain all the information necessary for assessment without the need for further written or oral explanation, or reference to additional documentation, unless requested by the ARC.
8.1.2 All details in the Proposal must be current at the time of submission.
8.2 Submission of Proposals in the RMS
8.2.1 Administering Organisations must submit Proposals through the RMS unless otherwise advised by the ARC.
8.2.2 All Proposals must meet the format and content requirements, including certification, as set out in the RMS form and the DECRA Instructions to Applicants for funding commencing in 2014.
8.3 Closing Time for Proposals
8.3.1 The online form completed within the RMS must be submitted by the closing date and time on the Important Dates page on the ARC website at www.arc.gov.au/media/important_dates.htm.
8.3.2 Additions, deletions and modifications will not be accepted after submission, unless invited by the ARC.
8.3.3 Upon receipt of a written request from the Administering Organisation, the ARC may approve the withdrawal of a Proposal. The ARC will consider the request to withdraw a Proposal but may choose not to give effect to such a request.
8.4 Certification in the RMS
8.4.1 The Administering Organisation must certify a Proposal online in the RMS. Research Offices should ensure that the Research Office delegate role is authorised in the RMS to certify and submit Proposals.
8.4.2 The ARC reserves the right at any point in process to seek evidence from the Administering Organisation to support the certification of Proposals.
8.5 Conflict of Interest
8.5.1 All parties involved in or associated with a Proposal must declare at the closing time of submission any Conflict of Interest that exists or is likely to arise in relation to any aspect of the Proposal.
8.5.2 The ARC’s Conflict of Interest policy and management practices are available on the ARC website at www.arc.gov.au.
8.5.3 All Proposals must include a declaration of any Conflicts of Interest with members of the ARC College. A list of ARC College members is available on the ARC website at www.arc.gov.au.
8.5.4 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) and any relevant successor document.
9. Selection and Approval Process
9.1 Assessment and Selection Process
9.1.1 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.
9.1.2 All Proposals will be considered against eligibility criteria and compliance with these Funding Rules.
9.1.3 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, on the basis of the Proposal, any assessors’ reports and any rejoinder.
9.1.4 Following the recommendations of the ARC College or other Selection Advisory Committee, the Chief Executive Officer must make recommendations to the Minister in relation to what Proposals should be approved and at what level of funding, and what Proposals should not be approved.
9.1.5 Unsuccessful applicants may be provided with feedback on their Proposal, where available.
9.1.6 The ARC has procedures in place for managing organisational and personal Conflicts of Interest for assessors, members of the ARC College, members of other ARC Committees and ARC staff.
9.2 Rejoinder
9.2.1 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.
9.3 Request Not to Assess
9.3.1 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/applicants/request_notassesform.htm. This form must be received by the ARC by the closing date and time on the Important Dates page on the ARC website at www.arc.gov.au/media/important_dates.htm. The ARC will consider the justification put forward to exclude any person as an assessor, but may choose not to give effect to such a request.
9.4 Recommendations and Offer of Funding
9.4.1 In accordance with the ARC Act, the ARC Chief Executive Officer 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.
9.4.2 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.
9.4.3 All Administering Organisations will be notified of the outcomes of their Proposals (including Proposals not recommended for funding).
9.4.4 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. Outcomes of the selection process will also be made available on the ARC website.
9.4.5 The Minister may vary the funding approval if the ARC recommends that the particular circumstances of the Project warrant variation. Any variation or change will accord with the DECRA Funding Rules and Funding Agreement.
10. Appeals Process
10.1.1 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 applicant has been treated fairly and consistently in the context of selection procedures.
10.1.2 Appeals will be considered only against administrative process issues and not against committee decisions, assessor ratings and comments or the assessment outcome.
10.1.3 Appeals must be submitted by the Administering Organisation on the ARC Appeals Form on the ARC website at www.arc.gov.au/applicants/appeals.htm, authorised by a Deputy Vice-Chancellor (Research), Chief Executive Officer 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 5pm (AEDT) on the date of submission of the appeal.
10.1.4 Appeals must be addressed and sent to the address advised at the beginning of these Funding Rules. The ARC will accept both electronic and hard copy Appeal submissions.
10.1.5 Applicants for funding may at any time seek to appeal ARC decisions using available external appeal options.
11. Reporting Requirements
11.1 Progress Reports
11.1.1 Year 1: Report by Exception. A report must only be submitted if significant issues are affecting the progress of the Project. The report must specify the actions being taken to address the issues.
11.1.2 Year 2: A Progress Report must be submitted with the instructions to be provided by the ARC.
11.1.3 When required, Progress Reports must be submitted by 31 March in the year following each full calendar year for which the funding was awarded as directed by the ARC.
11.2 End of Year Reports
11.2.1 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.
11.3 Final Report
11.3.1 A Final Report must be submitted for the Project within twelve (12) months of the final payment or within twelve (12) months of the final approved carryover of funds as directed by the ARC.
11.3.2 The Final Report must justify why any publications arising from a Project have not been deposited in open access institutional repository within twelve (12) months of publication. The Final Report must outline how data arising from the Project have been made publicly accessible where appropriate.
11.3.3 If any reports are not submitted or are not satisfactory to the ARC this will be noted against future Proposals submitted by the DECRA Recipient.
11.3.4 The ARC may also seek additional information about subsequent publications after submission of the Final Report.
11.4 Audited Financial Statement
11.4.1 In accordance with section 58 of the ARC Act, the Administering Organisation must submit an Audited Financial Statement by 30 June for each year following each calendar year for which the Funding was awarded.
11.4.2 In completing the Audited Financial Statement, the Administering Organisation must ensure that the amount shown in that statement as ‘approved carry forward funds’ is the same as the amount (if any) for which approval was given by the ARC to carry over in the End of Year Report.
12. Fundamental Principles of Conducting Research
12.1 Ethics and Research Practices
12.1.1 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); and
c. as applicable, codes on animal research promulgated by the NHMRC.
12.1.2 If there is any conflict between a successor document and its predecessor, then the successor document prevails to the extent of any inconsistency.
12.2 Applicable Law
12.2.1 The ARC is required to comply with the requirements of the Privacy Act 1988 and the Freedom of Information Act 1982.
12.3 Confidentiality
12.3.1 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 advisers (including external assessors), officers, employees or other third parties in order to assess, evaluate or verify the accuracy or completeness of a Proposal;
b. disclosed to the ARC’s personnel to enable effective management or auditing of the DECRA scheme or any Funding Agreement;
c. disclosed by the ARC to the Minister;
d. shared by the ARC within the ARC’s organisation, 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.
12.3.2 Where information contained in a Proposal is made available to third parties for evaluation or assessment purposes the ARC will require the third parties to maintain the confidentiality of the material.
12.3.3 Notwithstanding the above, and in addition to the exemptions listed at 12.3.1, the ARC may publicise and report offers or awards of funding, including information about the proposed research; the name of the DECRA Recipients and their organisations: the name of the Administering Organisation and any other parties involved in or associated with the Project; the title and summary descriptions of the Project and its intended outcomes (including the national/community benefits that are expected to arise from the research); and the level and nature of financial assistance from the ARC. Administering Organisations should ensure that information contained in the Project titles and summaries would not, if release, compromise their own requirements for confidentiality (such as future protection of intellectual property).
12.3.4 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.
12.4 Intellectual Property
12.4.1 The ARC does not claim ownership of any intellectual property in a Proposal or in any research arising from a Project.
12.4.2 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 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 as amended from time to time.
12.5 Incomplete or Misleading Information
12.5.1 It is a serious offence to provide false or misleading information to the Commonwealth.
12.5.2 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.
12.5.3 A decision under subsection 12.5.2 may be made by the ARC at any stage during the assessment of the Proposal and may result in non-progression of the Proposal to the next level of assessment.
12.5.4 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 in the RMS certification; or
f. failing to disclose to the ARC 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).
12.6 Publication and Dissemination of Research Outputs
12.6.1 Publication and dissemination of Project outputs and outreach activity costs may be supported at up to two (2) per cent of total non-salary ARC funding awarded to the Project, and no prior approval is required; nor does this need to be separately itemised at time of application. This excludes fees for patent application and holding.
12.6.2 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, the ARC requires that 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. The ARC strongly encourages the depositing of data arising from a Project in an appropriate publicly accessible subject and/or institutional repository. See also clause 11.3.2.
Appendix A Eligible Organisations
The organisations listed below are eligible to apply for and receive funding under these Funding Rules.
A1.1 Higher Education Organisations
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
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
Queensland
Bond University
Central Queensland University
Griffith University
James Cook University
Queensland University of Technology
The University of Queensland
University of Southern Queensland
University of the Sunshine Coast
Western Australia
Curtin University of Technology
Edith Cowan University
Murdoch University
The University of Notre Dame Australia
The University of Western Australia
South Australia
The Flinders University of South Australia
The University of Adelaide
University of South Australia
Tasmania
University of Tasmania
Northern Territory
Batchelor Institute of Indigenous Tertiary Education
Charles Darwin University
Australian Capital Territory
The Australian National University
University of Canberra
A1.2 Other Eligible Organisations
Australian Antarctic Division (AAD)
Australian Astronomical Observatory (AAO)
Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS)
Australian Nuclear Science and Technology Organisation (ANSTO)
Commonwealth Scientific and Industrial Research Organisation (CSIRO)
Defence Science and Technology Organisation (DSTO)
Geoscience Australia (GA)
The Australian Institute of Marine Science (AIMS)
[1] OECD (2002), Frascati Manual: Proposed Standard Practice for Surveys on Research and Experimental Development, Paris, (Page 30).
