Australian Research Council Act 2001 - Discovery Indigenous Funding Rules for funding commencing in 2012

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Discovery Indigenous Funding Rules for funding commencing in 2012
 
Australian Research Council Act 2001
 
I, KIM CARR, Minister for Innovation, Industry, 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   4 April 2011
 
 
 
 
Kim Carr
Minister for Innovation, Industry, 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. 5
4.1...... Overview   5
4.2...... Discovery Indigenous  6
4.3...... Selection Criteria  6
4.4 ..... Strategic Statement 7
5...... Funding. 7
5.1...... Level and Period of Funding  7
5.2...... Budget Items Supported  7
5.3...... Budget Items Not Supported  8
5.4...... Research / Activities Not Supported  8
6...... Organisational Types, Roles and Eligibility. 9
6.1...... Eligible Organisations  9
6.2...... Host Organisations  9
7...... Roles and Eligibility for Researchers. 9
7.1...... Researcher Roles and General Eligibility  9
7.2...... Eligibility Criteria for a Chief Investigator 9
8...... Discovery Indigenous Award. 10
8.1...... Eligibility Criteria for a Discovery Indigenous Award (DIA) 10
8.2...... Level and Period of Funding for a Discovery Indigenous Award  11
9...... Number of Proposals, Funded Projects and Cross-Scheme Eligibility. 11
9.1...... Number of Proposals and Funded Projects  11
9.2...... Proposal Eligibility  12
10.... Submission of Proposals. 12
10.1.... Proposals  12
10.2.... Submission of Proposals in the RMS  12
10.3.... Closing Time for Proposals  12
10.4.... Certification in the RMS  12
10.5.... Conflict of Interest 12
11.... Selection and Approval Process. 13
11.1.... Assessment and Selection Process  13
11.2.... Request Not to Assess  13
11.3.... Recommendations and Offer of Funding  13
12.... Appeals Process. 14
13.... Reporting Requirements. 14
13.1.... Progress Reports  14
13.2.... End of Year Reports  14
13.3.... Final Report 14
13.4.... Audited Financial Statement 14
14.... Fundamental Principles of Conducting Research. 15
14.1.... Ethics and Research Practices  15
14.2.... Applicable Law   15
14.3.... Confidentiality  15
14.4.... Intellectual Property  15
14.5.... Incomplete or Misleading Information  15
Appendix A - Eligible Organisations. 17
Key Dates
Closing time for submission of Proposals
5.00 pm (AEST)
Tuesday 7 June 2011

Deadline for Request Not to Assess
5.00 pm (AEST)
Tuesday 7 June 2011

 
Contacts
Researchers should direct requests for information to the Research Office within their organisation.
 
ARC Contacts:
by mail to:
by courier to:

Discovery Indigenous Coordinator
Australian Research Council
GPO Box 2702
CANBERRA  ACT  2601
Discovery Indigenous Coordinator
Australian Research Council
Level 2, 11 Lancaster Place, Majura Park
CANBERRA ACT 2609

 
Email:  ARC-DiscoveryIndigenous@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:
 
by courier to:

The Appeals Officer
Australian Research Council
GPO Box 2702
CANBERRA  ACT  2601
 
 
The Appeals Officer
Australian Research Council
Level 2, 11 Lancaster Place, Majura Park
CANBERRA ACT 2609

Other:
RMS UserIDs:
Email: rms@arc.gov.au
 
 
 

1.           Name of Funding Rules
These Funding Rules are the Discovery Indigenous Funding Rules for funding commencing in 2012.
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 Indigenous 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 ARC Act.
 
ARC Act means the Australian Research Council Act 2001.
 
ARC Fellowship means a named Fellowship position within any ARC scheme where the salary is funded wholly or partly by the ARC and where the researcher in that position was a named Fellowship participant in a Proposal.
 
ARC Research Centres Program encompasses any research centre wholly or partly funded by the ARC and includes Centres of Excellence, Special Research Centres, 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 Chief Investigator.
 
Collaborating Organisation means an Eligible Organisation which is identified in the Proposal as a contributor to the Project but is not the Administering Organisation.
 
Commonwealth means the Commonwealth of Australia.
Conflict of Interest means an actual or perceived conflict between a person’s public duty and their private or personal interest.
 
Discovery Indigenous Award (DIA) means an Award available in conjunction with Discovery Indigenous that funds a CI salary.
 
Eligible Organisation means an organisation which is eligible to apply for and receive funding under these Funding Rules.
 
Funding Agreement means the agreement entered into by the ARC and an Administering Organisation that sets out the terms and conditions for the administration of Commonwealth funding and the conduct of the Project.
 
GST has the meaning as given in section 195-1 of the A New Tax System (Goods and Services Tax) Act 1999.
 
Host Organisation means an organisation at which a Discovery Indigenous Award recipient may undertake her/his research.
 
Indigenous Australian means an Australian of Australian Aboriginal or Torres Strait Islander descent who identifies as an Australian Aboriginal or Torres Strait Islander and is accepted as an Australian Aboriginal or Torres Strait Islander in the community in which he/she lives or has lived.
 
Medical and Dental Research means research and/or training which, in the opinion of the ARC, has a significant focus on near-term clinical medical (including dental) outcomes.
 
Minister means the Minister from time to time responsible for the administration of the ARC Act, or the Minister’s delegate.
 
Other Organisation means an organisation which is identified in the Proposal as a contributor to the Project but is not an Eligible Organisation.
 
Project means a project 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 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.
4.           Introduction
4.1             Overview
4.1.1           These Funding Rules are current as at April 2011 and have been prepared in accordance with the requirements of the ARC Act in force then.
4.1.2           The Discovery Indigenous scheme provides funding to Eligible Organisations to support research programs led by an Indigenous Australian researcher and build research capacity of higher degree research and early career researchers.
4.1.3           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) as comprising creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of humanity, culture and society, and the use of this stock of knowledge to devise [innovative] applications[1].
4.2                            Discovery Indigenous
                   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.
4.3             Selection Criteria
4.3.1           Proposals will be assessed and ranked using the following selection criteria:
       a. Investigator(s)                                                                         (40%)
                                                                          i.            research opportunity and performance evidence (ROPE);
                                                                        ii.            capacity to undertake the proposed research;
       b.  Project Quality                                                                        (40%)
                                                                    i.            does the research address a significant problem?
                                                                  ii.            is the conceptual/theoretical framework innovative and original?
                                                                iii.            will the aims, concepts, methods and results advance knowledge?
                                                                iv.            are the Project design and methods appropriate?
                                                                  v.            will the proposed research provide economic, environmental, cultural and/or social benefit to Australia?
                                                                vi.            does the Project address a National Research Priority area?
 
       c.  Research Environment                                                            (20%)
                                                                          i.            is there an existing or developing, supportive and high quality research environment?
                                                                        ii.            are the necessary facilities to complete the Project available?
                                                                      iii.            are there adequate strategies to encourage dissemination, commercialisation, if appropriate, and promotion of research outcomes?
4.4             Strategic Statement  
                   The Administering Organisation must provide a strategic statement, approved by the Deputy Vice Chancellor (Research), Chief Executive Officer or equivalent, within the Proposal outlining:
a.  the existing and/or emerging research strengths of the Administering Organisation;
b. the positioning of the Project within a high quality research environment; and
c.  strategies for enabling collaboration with Aboriginal and Torres Strait Islander communities.
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           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 up to $300,000 per year.
5.1.3           A Project may be awarded funding for three consecutive years.
5.1.4           Funding for an approved Project will commence with effect 1 January 2012, unless other arrangements are approved by the Minister.
5.2             Budget Items Supported
5.2.1           Budget items which directly support the research Project may be funded, including:
                   a. access to national and international research and infrastructure facilities, including archives, collections and databases;
                   b. access to workshop services linked to and justified explicitly against the Project (eg. Machine tools and qualified technicians);
                   c. equipment;
                   d. maintenance;
                   e.  personnel: for example, research associates and 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;
                   f.   PhD, at a minimum of $22,860 (2011$) per annum for up to two Indigenous Australian students, enrolled at the Administering Organisation or a Collaborating Organisation, per Proposal;
                   g.  stipends to support Indigenous Australian students (e.g. Honours or Masters by Research) subject to the polices of  the Administering Organisation; and
h.  travel, economy domestic and/or international costs subject to the policies of the Administering Organisation not exceeding $50,000, per CI, over the life of the Project.
 
5.2.2          Teaching relief may be requested, but will not be awarded to a DIA recipient:
a.    for up to two CIs per Proposal;
b.    for up to 6 months, per CI, over the life of the Project; and
c.    for up to $34,879 (2011$) or pro rata for a lesser period, as a Special Condition.
5.2.3          Publication and dissemination of Project outputs and outreach activity costs may be supported at up to two per cent of non-salary costs provided by the ARC.  The ARC strongly encourages publication in publicly accessible outlets and the depositing of data and any publications arising from a Project in an appropriate subject and/or institutional repository.
5.3             Budget Items Not Supported
5.3.1          Budget items which will not be supported by ARC funding are:
a.   capital works and general infrastructure costs;
b.   costs not directly related to research, for example, visas, costs of dependants, insurance, and mobile phones (purchase or call charges);
c.   fees for international students or the Higher Education Contribution Scheme (HECS) and Higher Education Loan Program (HELP) liabilities for students; and
d.   salaries and/or on-costs, in whole or in part, for CIs, excluding Discovery Indigenous Award recipients.
5.3.2          The following basic facilities must be provided and funded by the Administering Organisation:
a.    accommodation (e.g. laboratory and office, suitably equipped and furnished);
b.    access to film or music editing facilities;
c.     access to a basic library collection;
d.    standard reference materials;
e.    provision of office computers and basic computing facilities such as printers, word processing and other standard software; and
f.     use of photocopiers, telephones, mail, fax, email and internet services.
5.4             Research / Activities Not Supported
5.4.1           Except where such activities meet the definition of research at 4.1.3, the Discovery Indigenous scheme does not support production of:
a.    descriptive data compilations, catalogues or bibliographies;
b.    teaching materials; or
c.    compilation of data, computer programs, research aids and tools.
5.4.2           Discovery Indigenous does not support Medical and Dental Research, including but not limited to projects that deal substantially with any of the following areas of research:
a.    using human subjects to test the clinical efficacy of a diagnostic or therapeutic agent or medically applicable device or material;
b.    using material collected from human subjects for the purpose of studying disease prevalence, epidemiology or mode of inheritance;
c.    observation or treatment of human patients for clinical medical or dental purposes; or
d.   prevention of disease by medical and/or dental intervention in human subjects.
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.
6.1.2           The Eligible Organisation which submits the Proposal will be the Administering Organisation. An Eligible Organisation listed on the Proposal as a contributor to the Project will be a Collaborating Organisation.
6.1.3           An organisation which is not an Eligible Organisation but which is listed on the Proposal as a contributor to the Project will be an Other Organisation.
6.2              Host Organisations
6.2.1           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 twelve months in total, over the life of the Project.
6.2.2                      The Proposal must describe:
              a.  the extent of the collaboration between the DIA candidate and the Host Organisation(s);
              b. how the Host Organisation(s) will provide a suitable research environment for the DIA candidate.
7.           Roles and Eligibility for Researchers
7.1                            Researcher Roles and General Eligibility
7.1.1                      The only role that may be undertaken by a researcher is a Chief Investigator.
7.1.2                      A Proposal must nominate at least one CI; the first named CI must be an Indigenous Australian researcher and will be the Project Leader.
7.1.3                      At least one CI, who does not have to be an Indigenous Australian researcher, must have been awarded a PhD as at 1 January 2012.
7.1.4           At the time of the submission of a Proposal, all obligations regarding previously funded ARC projects involving the nominated CIs must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory Final Reports.
7.2             Eligibility Criteria for a Chief Investigator
7.2.1          A researcher nominated on a Proposal as a CI must meet at least one of the following criteria as at 1 January 2012, and for the full term of her/his participation in the Project:
a.       be an employee for at least half-time (50 per cent of Full Time Equivalent) at one Eligible Organisation; or
b.      be a holder of an Emeritus, Adjunct or equivalent appointment at an Eligible Organisation listed in Appendix A and not have a substantive paid position at another organisation that:
i. is outside the higher education sector, and
ii. engages in research funded predominantly from state/territory or Commonwealth Government funding sources; or
c. be a Federation Fellow; or
d. be an Australian Laureate Fellow.
7.2.2           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.
7.2.3           A CI must legally reside predominantly in Australia for the life of the Project.
7.2.4           A CI may seek approval from the Administering Organisation to undertake fieldwork, or study leave, directly related to the Project not exceeding twelve months over the life of the Project.
7.2.5           A researcher is eligible to be a CI if he/she is undertaking a higher degree by research but will not be eligible if undertaking undergraduate studies or a postgraduate degree which involves only or largely coursework;
7.2.6           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.
7.2.7           If a sole CI Proposal has been approved for funding and that CI is, at any time, unable to work as proposed on the Project, the Project must be terminated.
8.           Discovery Indigenous Award
8.1             Eligibility Criteria for a Discovery Indigenous Award (DIA)
8.1.1          A DIA candidate must:
a.     be an Indigenous Australian researcher, and
b.    satisfy the eligibility criteria for a CI.
8.1.2           A CI cannot apply for DIA funding only.
8.1.3           A CI holding an ARC Fellowship or Award may apply for a DIA in the final year of Fellowship or Award funding, but cannot hold an ARC Fellowship or an ARC Award and a DIA concurrently. A Fellowship or Award is considered to be funded for the years set out in the Funding Agreement.
8.1.4           A DIA must hold an appointment at the Administering Organisation for the duration of the Award.
 
8.2             Level and Period of Funding for a Discovery Indigenous Award (DIA)
8.2.1           DIA funding may be requested at one of five salary levels (2011$), which is either equivalent to or higher than the salary level of the CI as at the closing date for submission.
           
 
Discovery Indigenous Award Funding
Total (salary including 28% on-costs)

DIA
 Level 1 (1.0 FTE)
$85,000

DIA
Level 2 (1.0 FTE)
$100,000

DIA
 Level 3 (1.0 FTE)
$130,000

DIA
Level 4 (1.0 FTE)
$150,000

DIA
Level 5 (1.0 FTE)
$180,000

8.2.2           A DIA can only be awarded for the same duration as the Discovery Indigenous Project.
8.2.3           DIA funding may be used for other purposes to support the Project in exceptional or changed personal circumstances with the approval of the Administering Organisation without extension to the life of the Project.
8.2.4           The Administering Organisation must ensure a CI awarded a DIA has access to periods of up to 14 weeks paid maternity leave during the course of the Project. The ARC will provide up to 14 weeks additional funding for this purpose. The Administering Organisation must seek ARC approval for any extension to the duration of the Project exceeding the 14 weeks paid maternity leave.
9.           Number of Proposals, Funded Projects and Cross-Scheme Eligibility
9.1             Number of Proposals and Funded Projects
9.1.1           A CI receiving funding under the Discovery Indigenous, Discovery Indigenous Researchers Development, Discovery Projects, Future Fellowships or Australian Laureate Fellowships schemes, or Centre Personnel receiving funding under the ARC Research Centres Program may only be funded concurrently for a maximum of two Projects under these schemes and Program combined. If both of the Projects are funded under Discovery Indigenous only one can be as sole CI.
9.1.2           A researcher will not be permitted to relinquish existing roles on Projects held at 1 January 2011, to circumvent the limits in Section 9.
9.1.3           A researcher cannot be involved in more than the maximum number of Projects permitted in 2012. This number is calculated at the closing time of submission of Proposals by totalling the number of Projects receiving funding in 2012 and the number of Proposals submitted for funding commencing in 2012.  A Project is considered to be funded for the years set out in the Funding Agreement.
 
9.2             Proposal Eligibility
9.2.1           The ARC will not duplicate funding for research, including infrastructure, funded as at 1 January 2012 by the Commonwealth.
9.2.2           A Proposal may only be submitted once in the same funding round to Discovery Indigenous regardless of any variation in the proposed research, the listed researchers and/or Administering Organisation.
9.2.3           A Proposal must list all current funding and requested funding, for each CI under any ARC scheme or any other Commonwealth funding scheme.
9.2.4           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. 
10.         Submission of Proposals
10.1           Proposals
10.1.1         The Proposal 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.
10.1.2         All details in the Proposal must be current at the time of submission.
10.2           Submission of Proposals in the RMS
10.2.1         Administering Organisations must submit Proposals through the RMS unless otherwise advised by the ARC.
10.2.2         All Proposals must meet the format and content requirements, including certification, as set out in the RMS form and the Instructions to Applicants.
10.3           Closing Time for Proposals
10.3.1         The online form completed within the RMS must be submitted by 5.00 pm (AEST) Tuesday 7 June 2011.
10.3.2         Additions, deletions and modifications will not be accepted after submission, unless invited by the ARC.
10.3.3         Proposals may be withdrawn up until 5.00pm (AEST) Monday 8 August 2011 by the Administering Organisation by notice in writing to the ARC.
10.4           Certification in the RMS
10.4.1         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.
10.4.2         The ARC reserves the right at any point in the process to seek evidence from the Administering Organisation to support the certification of Proposals.
10.5           Conflict of Interest
10.5.1         Each party involved in a Proposal must declare at the date of submission any Conflict of Interest that exists or is likely to arise in relation to any aspect of the Proposal.
10.5.2         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) and any relevant successor document.
11.         Selection and Approval Process
11.1           Assessment and Selection Process
11.1.1        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.
11.1.2        All Proposals may be:
a.  considered against eligibility criteria and compliance with the Funding Rules;
b.  assigned to independent assessors, from a range of organisations, who will assess and prepare a report, which may include written comments, on the Proposal against the selection criteria; and
c.  ranked and allocated a budget, relative to other Proposals, by the Selection Advisory Committee, on the basis of the Proposal, and any assessors’ reports.
11.1.3        Unsuccessful applicants may be provided with feedback on their Proposal, where available. The names of assessors will not be provided.
11.1.4        The ARC has procedures in place for managing organisational and personal Conflicts of Interest for assessors, members of ARC Committees and ARC staff.
11.2           Request Not to Assess
Administering Organisations may name any person or persons whom they do not wish to assess a Proposal on a ‘Request not to Assess’ form. The notification must be sent to the email address advised under Contacts at the beginning of these Funding Rules and received by the ARC by the closing time for Proposals, 5:00 pm (AEST) Tuesday 7 June 2011. 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.
11.3           Recommendations and Offer of Funding
11.3.1         In accordance with the ARC Act, the 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.
11.3.2         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.
11.3.3         Administering Organisations whose Proposals are approved will be notified in a letter of offer that will indicate the funding being offered and will also be provided with a copy of a Funding Agreement for signing.
11.3.4         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 ARC Discovery Indigenous Funding Rules and Funding Agreement.
12.         Appeals Process
12.1.1         Appeals will be considered only against administrative process issues and not against the assessment outcome.
12.1.2         Appeals must be submitted by the Administering Organisation on the ARC Appeals Form, 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.
12.1.3         Appeals must be addressed and sent to the address advised under ‘Contacts’ at the beginning of these Funding Rules.
13.         Reporting Requirements
13.1           Progress Reports
13.1.1        Years 1 and 2: 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.
13.1.2        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.
13.1.3        When required, Progress Reports must be submitted by 31 January in the year following each full calendar year for which the funding was awarded as directed by the ARC.
13.2           End of Year Reports
                  The Administering Organisation must submit an End of Year Report by 31 March in the year following each full calendar year for which the funding was awarded in accordance with the instructions to be provided by the ARC each year.
13.3           Final Report
13.3.1        A Final Report must be submitted for the Project within twelve months of the final payment or within twelve months of the final approved carryover of funds as directed by the ARC.
13.3.2        The Final Report must justify why any publications from a Project have not been deposited in appropriate repositories within 12 months of publication. The Final Report must outline how data arising from the Project has been made publicly accessible where appropriate.
13.3.3        If any reports are not submitted or are not satisfactory to the ARC this will be noted against future Proposals submitted by all participants.
13.3.4        The ARC may also seek additional information about subsequent publications after submission of the Final Report.
13.4           Audited Financial Statement
13.4.1        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.
13.4.2        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.
14.         Fundamental Principles of Conducting Research
14.1           Ethics and Research Practices
14.1.1         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/AVCC National Statement on Ethical Conduct in Human Research (2007); and
c.  as applicable, codes on animal research promulgated by the NHMRC.
14.1.2         If there is any conflict between a successor document and its predecessor, then the successor document prevails to the extent of any inconsistency.
14.2           Applicable Law
                   The ARC is required to comply with the requirements of the Privacy Act 1988 and the Freedom of Information Act 1982.
14.3           Confidentiality
14.3.1         The ARC gives no undertaking to keep confidential any information provided in the Proposal except where required by law.  The ARC may restrict access to the Proposal from parties not directly related to the Proposal.
14.3.2         The ARC will publicise and report offers or awards of funding, including information about the proposed research; the CIs and DIA recipients; 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 funding from the ARC. 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.
14.4           Intellectual Property
14.4.1         The ARC does not claim ownership of any intellectual property in a Proposal or funded Project.
14.4.2         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.
14.5           Incomplete or Misleading Information
14.5.1         It is a serious offence to provide false or misleading information to the Commonwealth.
14.5.2         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.
14.5.3         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).
 
Appendix A
Eligible Organisations
 
New South Wales
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
Melbourne College 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
The University of the Sunshine Coast
University of Southern Queensland
 
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
Charles Darwin University
Batchelor Institute of Indigenous Tertiary Education
 
Australian Capital Territory
The Australian National University
University of Canberra
Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS)
 
Multi-State
Australian Catholic University
 
Additional Organisations eligible to submit Proposals
 
Museums and herbaria which are Australian publicly funded organisations not directly funded to carry out research, but with research-related purposes and objectives.
 

[1] OECD (2002), Frascati Manual: Proposed Standard Practice for Surveys on Research and Experimental Development, Paris.

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