Australian Laureate Fellowships Funding Rules for funding commencing in 2011
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 02 November 2010
Kim Carr
Minister for Innovation, Industry, Science and Research
Table of Contents
Acronyms. 4
Key dates. 5
Contacts. 5
1. Name of Funding Rules. 6
2. Commencement 6
3. Definitions. 6
4. Introduction. 8
4.1 Overview and NCGP objectives. 8
4.2 Australian Laureate Fellowships scheme. 10
4.3 Selection criteria. 11
4.4 Conflict of Interest 12
5. Changes from Last Year. 12
6. Funding. 13
6.1 Level of funding. 13
6.2 Period of funding. 14
6.3 Types of research supported. 14
6.4 Restrictions on budget items. 15
6.5 Areas of investigation/work not supported. 16
6.6 Number of proposals and funded projects. 17
7. Organisational Types, Roles and Eligibility. 17
7.1 Eligible Organisations. 17
8. Roles and Eligibility for Researchers. 17
8.1 General 17
8.2 Eligibility criteria for Australian Laureate Fellows. 18
8.3 Eligibility criteria for postdoctoral research associates. 19
8.4 Eligibility criteria for postgraduate researchers. 19
9. Cross-scheme Issues. 20
9.1 Cross-scheme Eligibility. 20
9.2 Non-duplication and Cross-scheme Funding. 20
9.3 Researchers from Commonwealth-funded Research Centres. 22
9.4 Funding of Medical and Dental Research. 22
10. Application process. 22
10.1 Eligibility Exemption and Eligibility Advice. 22
10.2 Proposals. 22
11. Submission of Proposals. 23
11.1 Submission of Proposals in RMS. 23
11.2 Proposal Content 23
11.3 Format 23
11.4 How to complete and submit a Proposal in RMS. 24
11.5 Closing Time for Proposals in RMS. 24
11.6 Certification. 24
12. Selection and Approval Process. 25
12.1 Assessment and Selection Process. 25
12.2 Rejoinder 26
12.3 Recommendations and Offer of Funding. 26
12.4 Exclusion of Proposals. 27
13. Appeals Process. 28
14. Kathleen Fitzpatrick Australian Laureate Fellowship and Georgina Sweet Australian Laureate Fellowship 28
Appendix A.. 30
Fundamental principles and requirements. 30
A1 Ethics and research practices. 30
A2 Acknowledging ARC support 30
A3 Dissemination of research outputs. 30
A4 Applicable law.. 31
A5 Confidentiality. 31
A6 Project description. 32
A7 Intellectual property. 32
A8 Incomplete or misleading information. 33
A9 Insurance and liabilities. 33
Appendix B.. 34
Administration of funding. 34
B1 Funding Agreement 34
B2 Varying the Funding Agreement 34
B3 Varying the funding approval 34
B4 Reports. 35
Appendix C.. 36
Eligible Organisations. 36
C1 Higher Education Organisations. 36
C2 Other Eligible Organisations. 37
Appendix D.. 38
Salary support and relocation costs. 38
D1 Australian Laureate Fellowship salary support 38
D2 Maximum Australian Laureate Fellows relocation allowances. 38
Acronyms
AAD Australian Antarctic Division
AAO Australian Astronomical Observatory
AEST Australian Eastern Standard Time
AEDT Australian Eastern Daylight Saving (Summer) Time
AIMS Australian Institute of Marine Science
ANSTO Australian Nuclear Science and Technology Organisation
APA Australian Postgraduate Award
APAI Australian Postgraduate Award (Industry)
APD Australian Postdoctoral Fellowship
APDI Australian Postdoctoral Fellowship (Industry)
APF Australian Professorial Fellowship
ARC Australian Research Council
ARF Australian Research Fellowship
ARF–I Australian Research Fellowship - Indigenous
AVCC Australian Vice-Chancellors’ Committee
CE ARC Centres of Excellence and ARC Centres
CoE ARC College of Experts
CI Chief Investigator
CRC Cooperative Research Centre
CSIRO Commonwealth Scientific and Industrial Research Organisation
DP ARC Discovery Projects
DSTO Defence Science and Technology Organisation
ECR Early Career Researcher
FF ARC Federation Fellowships
FL Australian Laureate Fellowships
FT ARC Future Fellowships
GA Geoscience Australia
GST Goods and Services Tax
IRF Indigenous Researcher Fellowship
LASP ARC Linkage Learned Academies Special Projects
LIEF ARC Linkage Infrastructure, Equipment and Facilities
LIF ARC Linkage Industry Fellowship
LP ARC Linkage Projects
LX ARC Linkage International
NCGP National Competitive Grants Program
NHMRC National Health and Medical Research Council
PDRA Postdoctoral Research Associate
PGR Postgraduate Researcher
PI Partner Investigator
QEII Queen Elizabeth II Fellowship
RMS Research Management System
RN ARC Research Network
SAC Selection Advisory Committee
SRC ARC Special Research Centre
SRI ARC Special Research Initiatives
FS Super Science Fellowships
UA Universities Australia
· Italics signify ARC Grants Schemes
Key dates
Closing time for submission of Proposals
5.00 pm (AEDT)
Thursday 27 January 2011
Deadline for Request not to Assess Form
5.00 pm (AEDT)
Thursday 27 January 2011
Contacts
Requests for information about the Australian Laureate Fellowships scheme, including how to apply, should be directed to the Research Office or equivalent in your organisation.
Enquiries regarding the Australian Laureate Fellowships and Requests not to Assess must be addressed and sent:
by mail to:
or
by courier to:
Australian Laureate Fellowships Coordinator
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
Australian Laureate Fellowships Coordinator
Australian Research Council
Level 2, 11 Lancaster Place
MAJURA PARK ACT 2609
Email:
ARC-AustralianLaureateFellowships@arc.gov.au
Phone: +61 2 6287 6600
Fax: +61 2 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
The Appeals Officer
Australian Research Council
Level 2, 11 Lancaster Place
MAJURA PARK ACT 2609
RMS User IDs:
Email: rms@arc.gov.au
RMS Helpdesk: +61 2 6287 6789
1. Name of Funding Rules
These Funding Rules are the Australian Research Council Australian Laureate Fellowships Funding Rules for funding commencing in 2011.
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.
Administering Organisation means an Eligible Organisation that submits a Proposal for funding under Australian Laureate Fellowships and which will be responsible for the administration of the funding if the proposed project is approved for funding.
Applicant means the Administering Organisation. Funding under Australian Laureate Fellowships is provided to Administering Organisations, not to individual researchers.
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 Centre means a research centre wholly or partly funded by the ARC. This includes ARC Centres of Excellence, ARC Centres, ARC Special Research Centres and Co-funded Centres such as the Australian Centre for Plant Functional Genomics (ACPFG), the Australian Stem Cell Centre (ASCC), National ICT Australia (NICTA) and the National Centre for Groundwater Research and Training (NCGRT).
ARC Fellowship means a position held by a researcher where the salary is funded wholly or partly by the ARC and where the researcher has been nominated in a Proposal to hold a Fellowship. An ARC Fellowship may be awarded at a number of levels and in various ARC schemes. ARC Fellowship includes Australian Postdoctoral Fellowship (APD), Australian Research Fellowship (ARF), Australian Research Fellowship Indigenous (ARF-I), Queen Elizabeth II Fellowship (QEII), Australian Professorial Fellowship (APF), Australian Postdoctoral Fellowship (Industry) (APDI), Linkage Industry Fellowship (LIF), ARC Federation Fellowship, ARC Future Fellowship, Australian Laureate Fellowship, ARC Indigenous Researcher Fellowship (IRF) and Super Science Fellowship.
ARC website is www.arc.gov.au.
Australian Laureate Fellowship candidate means an individual researcher nominated in a Proposal for an Australian Laureate Fellowship.
Australian Laureate Fellowships Coordinator means the occupant, from time to time, of the position of Scheme Coordinator in the ARC, or any other person to whom the administration of the Australian Laureate Fellowships scheme may be allocated.
Award of PhD Date means the date of conferral of a PhD, and not the date of submission of the thesis, nor the date the thesis was accepted by the examination board.
Chief Investigator means a researcher who satisfies the eligibility criteria for a Chief Investigator.
Commonwealth means the Commonwealth of Australia.
Commonwealth-funded Research Centre means a research centre substantially funded from Commonwealth competitive research funding sources and includes ARC Centres, Commonwealth Research Centres and National Health and Medical Research Council (NHMRC) Program Grants and Centres of Clinical Research Excellence. It does not include Research Networks funded by the ARC.
Conflict of Interest means an actual or perceived conflict between a person’s public duty and their private or personal interest.
Eligible Organisation means an organisation that is eligible to apply for and receive funding under the Australian Laureate Fellowships Funding Rules as specified in Section 7.1.
Federation Fellow means a researcher whose salary is funded under the ARC Federation Fellowships scheme.
Fellow means a researcher who has been awarded an Australian Laureate Fellowship.
Fellowship means an ARC Fellowship awarded under the Australian Laureate Fellowships scheme.
Funding Agreement means the agreement entered into between the ARC and the Administering Organisation if the Administering Organisation’s Proposal is approved for funding. This Agreement sets out the terms and conditions under which the Commonwealth is to provide funding and the Administering Organisation is to be responsible for administration of the funding and the conduct of the project.
Funding Rules means this document.
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 which, in the opinion of the ARC, has a significant focus on near-term clinical medical (including dental) outcomes as defined on the ARC website.
Minister means the Minister from time to time responsible for the administration of the ARC Act or the Minister’s delegate.
National Innovation Priority means a national innovation priority as detailed on the ARC website.
National Research Priority means a national research priority as detailed on the ARC website.
Postdoctoral Research Associate means a postdoctoral research associate funded by the Commonwealth through the Administering Organisation, who will be employed on the Project.
Postgraduate Researcher means a postgraduate research student funded by the Commonwealth through the Administering Organisation, who will undertake a postgraduate research degree through the Project.
Project means a research project, including individual fellowships, approved by the Minister for funding.
Proposal means a request to the ARC for the provision of financial assistance for a research project which is submitted in accordance with Funding Rules approved by the Minister.
Research Office means a business unit within an organisation that is responsible for administrative contact with the ARC regarding Proposals and Projects.
Special Condition means a special condition specified in a Funding Agreement which governs the use of the funding provided by the ARC.
Special Studies Program means an approved program providing release from normal duties for research related activity or professional development purposes.
4. Introduction
4.1 Overview and NCGP objectives
4.1.1 This document sets out the Funding Rules for Australian Laureate Fellowships, a scheme funded under the ARC National Competitive Grants Program (NCGP), which comply with the requirements of the ARC Act.
4.1.2 All parties involved in Proposals should read and understand the Funding Rules and the ARC draft Funding Agreement (which will be available on the ARC website) before submitting a Proposal to the ARC. Applicants are responsible for ensuring that their Proposals are complete and accurate.
4.1.3 Funding under Australian Laureate Fellowships is provided to Administering Organisations, not to individual researchers. That is, the ARC will accept a Proposal only from an Eligible Organisation and not from any individual researchers.
4.1.4 These Funding Rules are current as at November 2010 and have been prepared in accordance with the requirements of the ARC Act in force then. These Funding Rules are subject to change at any time, for reasons including any subsequent amendment to, replacement or supplementation of the ARC Act.
4.1.5 The ARC is a Commonwealth statutory authority established under the ARC Act. The primary functions of the ARC, as specified by the ARC Act, are to make recommendations regarding the funding of research programs, to administer funding to support research programs and to provide policy advice related to research.
4.1.6 The ARC has established a range of competitive funding schemes for the support of research and research training under the framework of the NCGP. A list of current NCGP funding schemes is available on the ARC website.
4.1.7 By the operation of a range of funding schemes under the NCGP, the ARC aims to:
a. maintain and build on existing research and research training;
b. build the scale and focus of research and research training;
c. encourage cross-disciplinary approaches to research and research training;
d. facilitate collaborative approaches to research and research training;
e. support research and research training of national benefit, including in the following National Research Priorities:
i. An Environmentally Sustainable Australia;
ii. Promoting and Maintaining Good Health;
iii. Frontier Technologies for Building and Transforming Australian Industries; and
iv. Safeguarding Australia; and
f. support the development of the National Innovation System by promoting the National Innovation Priorities relevant for NCGP.
4.1.8 Descriptions of the National Research Priorities and their associated Priority Goals, and the National Innovation Priorities, can be found on the ARC website.
4.2 Australian Laureate Fellowships scheme
4.2.1 The Australian Laureate Fellowships scheme reflects the Commonwealth’s commitment to support excellence in research by attracting world-class researchers and research leaders to key positions in Australia.
4.2.2 The objectives of the Australian Laureate Fellowships scheme are to:
a. attract and retain outstanding researchers and research leaders of international repute;
b. build and strengthen 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, industry and the international research community; and
f. support research that will result in economic, environmental, social and cultural benefits for Australia.
4.2.3 Open to applications from outstanding researchers of international repute, the Australian Laureate Fellowships scheme encourages Proposals involving Australian or international researchers.
4.2.4 Preference will be given to researchers who will play a significant, sustained leadership and mentoring role in building Australia’s internationally competitive research capacity.
4.2.5 Up to 17 Australian Laureate Fellowships may be awarded for funding commencing in 2011, including two additional fellowships as outlined in subsection 4.2.6.
4.2.6 Up to two additional Australian Laureate Fellowships may be awarded to successful female Australian Laureate Fellows for funding commencing in 2011. 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 14 of these Funding Rules.
4.3 Selection criteria
4.3.1 All Australian Laureate Fellowships Proposals which meet the eligibility criteria will be assessed using the following selection criteria:
a. Investigator (40%)
Consideration will be given to the candidate’s research opportunities and performance evidence relative to their level of achievement:
- research output and achievement
- potential to undertake ground-breaking research
- outstanding leadership ability
- potential to leave an enduring legacy
- contribution to national and international public policy debates and initiatives
b. Project/Program of research activity (30%)
Innovation
- are the project aims and concepts original and innovative?
- will new methods, technologies or theories/ideas be developed?
- how does the research program enhance innovation in Australia?
Approach
- are the conceptual framework, design, methods and analyses adequately developed, well integrated and appropriate to the aims of the project?
Significance and national benefit
- does the research address an important problem?
- how will the anticipated outcomes advance the knowledge base?
- is there a contribution to public policy formulation and debate?
- what is the potential of the research project to result in economic, environmental, social and/or cultural benefits for Australia?
- what is the potential for the research to contribute to the National Research Priorities?
- will this research sustain or enhance international research collaboration?
c. Mentoring/Capacity Building (30%)
- potential to build world-class research groups/teams and/or Centres over the term of the proposed project
- exceptional ability to supervise postdoctoral researchers and other early-mid career researchers
- record of successful postgraduate supervision, where applicable
- exceptional leadership and organisational ability to ensure the development of scale and focus in research
- ability to attract financial resources to enhance research capacity
4.4 Conflict of Interest
4.4.1 All parties involved in or associated with Proposals and ARC-funded research projects are required to disclose to the ARC, and the other parties involved in the Proposal/project (including all Collaborating Organisations), any Conflict of Interest which has the potential to influence, or appear to influence, the request for funding, or the research and activities, publications and media reports related to the Proposal/project. Such conflicts must be disclosed to the ARC at the time of the submission of a Proposal, and in reporting on ARC-funded research projects, and notified to the other parties as soon as practicable after the Conflict of Interest is identified.
4.4.2 If, in the opinion of the ARC, any party involved in or associated with a Proposal has failed to disclose any such Conflict of Interest, the ARC may in its absolute discretion decide to not recommend for approval any or all Proposals involving that party.
4.4.3 If a Conflict of Interest exists or arises, the Administering Organisation must have processes in place and documented 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. In the event of any inconsistency between the original and any successor document, the latter document is to apply.
5. Changes from Last Year
5.1 A number of clarifications and revisions have been made in these Funding Rules. Significant changes from the 2010 Australian Laureate Fellowships Funding Rules include:
a. A Kathleen Fitzpatrick Australian Laureate Fellowship and a Georgina Sweet Australian Laureate Fellowship may be awarded for funding commencing in 2011 (subsection 4.2.6 and Section 14);
b. The selection criteria have been revised to include: research opportunity and performance evidence; contribution to national and international public policy formulation, debates and initiatives; and record of postgraduate supervision where applicable (Section 4.3);
c. The Administering Organisation must certify that the Proposal does not duplicate the work of a Commonwealth-funded Research Centre or will not be supported by the Centre given its research program and its level of funding (Section 9.3);
d. The definition of Medical and Dental research has been clarified and elaborated, and is available on the ARC website (Section 3 and Section 9.4);
e. The Administering Organisation is required to assess the Proposal as to whether it is near-term clinical medical (including dental) research, as defined on the ARC website. By submitting the Proposal through the relevant Research Office, the Administering Organisation certifies that the Proposal is not Medical and Dental Research (Section 9.4); and
f. Assessors’ written comments, if obtained, may be provided to allow the opportunity for the Australian Laureate Fellowship candidate to submit a rejoinder to the comments (Section 12.2).
5.2 The list of changes above is not comprehensive. Applicants and other parties involved in Proposals should read and understand the entire Funding Rules and standard Funding Agreement before a Proposal is submitted to the ARC.
6. Funding
6.1 Level of funding
6.1.1 All amounts referred to in these Funding Rules are to be read as exclusive of GST (if any), unless expressly stated otherwise.
6.1.2 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.
6.1.3 The level of salary supplement that will be provided by the ARC for an Australian Laureate Fellow is A$104,142 per annum plus 28 per cent on-costs. In addition to the salary supplement and salary-related (on-cost) support, the ARC may provide:
a. additional funding for up to two postdoctoral research associates (for 5 years each);
b. up to two postgraduate researchers (for 4 years each); and
c. for those organisations listed in Appendix C1, project funding of up to A$300,000 per annum (for up to 5 years).
6.1.4 The ARC may provide funding in accordance with subsection 6.1.3 providing the request is well justified and the Australian Laureate Fellowship candidate will not be involved as a Chief Investigator in more than one ARC Discovery Projects project after 31 December 2011 and for the duration of the Australian Laureate Fellowship.
6.1.5 Requests for project funding may include additional postdoctoral research associates and postgraduate researchers.
6.1.6 The ARC reserves the right to recommend a level of project funding for a project at a level that may differ from that requested in the Proposal.
6.2 Period of funding
6.2.1 Funding may be payable under these Funding Rules for Australian Laureate Fellowships in respect of the financial year 2011-12 and any subsequent years to which the ARC Act applies. Funding for approved projects will commence with effect 1 July 2011, unless other arrangements are approved by the ARC.
6.2.2 Australian Laureate Fellowships are 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 Australian Laureate Fellowships project.
6.2.3 Postdoctoral research associates are funded 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.
6.2.4 Postgraduate researchers are 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.
6.2.5 The ARC may recommend project funding for a duration different from that requested in the Proposal.
6.3 Types of research supported
6.3.1 Subject to Sections 6.4 and 6.5, Australian Laureate Fellowships supports all types of research, including:
a. pure basic research which is experimental and theoretical work undertaken to acquire new knowledge without looking for long-term benefits other than the advancement of knowledge;
b. strategic basic research which is experimental and theoretical work undertaken to acquire new knowledge directed into specified broad areas that are expected to lead to useful discoveries. Such research provides the broad base of knowledge necessary to solve recognised practical problems; and
c. applied research which is original work undertaken primarily to acquire new knowledge with a specific application in view. Such research is undertaken either to determine possible uses for the findings of basic research or to determine new ways of achieving some specific and predetermined objectives.
6.3.2 The following project costs may be supported under Australian Laureate Fellowships:
a. personnel (salaries and on-costs), including;
i. Australian Laureate Fellow, postdoctoral research associates, and postgraduate researchers as outlined in Appendix D;
ii. Technicians, laboratory attendants and research assistants;
but excluding those items not permitted pursuant to subsection 6.4.2.d.
b. equipment (specific to disciplines);
c. maintenance;
d. access to services linked to and justified explicitly against the project (e.g. machine tools and qualified technicians available to each member of staff, according to need, for research); and
e. domestic and international travel costs, using the Australian Public Service rates recommended by the Australian Taxation Office, for the Fellow, postgraduate or postdoctoral researchers and research support personnel only. Funding is permitted for domestic and international travel associated with the project, including to foster and strengthen collaborations between researchers in Australia and overseas.
6.4 Restrictions on budget items
6.4.1 The Australian Laureate Fellowships scheme only funds costs which directly support a research project. The ARC may in its absolute discretion determine whether any proposed project costs meet this requirement.
6.4.2 The Australian Laureate Fellowships scheme has restrictions on the following budget items:
a. Capital works and general infrastructure costs are not funded by the ARC, in whole or in part, under Australian Laureate Fellowships.
b. Australian Laureate Fellowships funding is not provided to fund teaching and/or teaching relief.
c. Funds are not provided for travel or related expenses for researchers when on a Special Studies Program.
d. Funds are not provided to pay the fees of international students or the Higher Education Contribution Scheme (HECS) and Higher Education Loan Programme (HELP) liabilities for students.
e. The Administering Organisation must agree to provide the following basic facilities (where relevant to the Proposal), which will not be funded under the Australian Laureate Fellowships scheme:
i. accommodation (e.g. laboratory and office, suitably equipped and furnished in standard ways);
ii. access to film or music editing facilities;
iii. access to a basic library collection;
iv. web hosting;
v. web development (unless where directly related to, and necessary for, the Project);
vi. standard reference materials or funds for abstracting services;
vii. provision of computers, including laptops (excluding access to high-performance computers or other specialised applications that are justified against the Proposal) and basic computing facilities such as printers, word processing and other standard software; and
viii. use of photocopiers, telephones, mail, fax, email and internet services.
f. Advertising and appointment costs will not be funded under Australian Laureate Fellowships.
g. Relocation costs are not provided as part of the Australian Laureate Fellowship proposal request. Relocation costs for the Australian Laureate Fellow only will be dealt with as a post award issue.
h. Costs not directly related to a project will not be funded, for example, costs of a personal nature.
6.5 Areas of investigation/work not supported
6.5.1 The Australian Laureate Fellowships scheme does not support:
a. Medical and Dental Research, as detailed on the ARC website (Section 9.4);
b. non-research activities leading solely to the creation or performance of a work of art including visual art, musical compositions, drama, dance, film, broadcasts, designs and literary works;
c. projects such as uncritical compilations and purely descriptive catalogues or editions that do not involve original research;
d. production of teaching materials, even though some research may be involved in their production;
e. compilation of data, unless this is an integral part of the project which is judged to be necessary, in which case the Proposal must include a detailed basis for, and statement indicating the research objectives to which the data would contribute, and provide the specific research questions to be addressed based on their significance and academic argument; and/or
f. development of research aids and tools (including computer programs), unless they form an integral part of the Proposal, in which case the Proposal must include a detailed basis for, and statement indicating, the specific research questions to be addressed based on their significance and academic argument.
6.5.2 If the ARC considers that a Proposal seeks funding for any of the items not permitted under Sections 6.4 or 6.5, then to that extent, part, or all, of the Proposal will not be recommended or approved for funding. However, if the ARC considers that other parts of the proposed project remain worthy of support, the ARC may recommend that a reduced amount of funding be approved for the Proposal.
6.6 Number of proposals and funded projects
6.6.1 Australian Laureate Fellowship candidates may only be nominated for one Proposal in this funding round. For the purpose of applying these limits, the number of Proposals per researcher is evaluated as at the closing time of submission of Proposals for the relevant round, regardless of any subsequent change in, or withdrawal of Proposal. Submitting Proposals that exceed this limit will result in all Proposals involving the Australian Laureate Fellowship candidate not being recommended or approved for funding.
6.6.2 The funding rules for other ARC funding schemes may specify limits on the number of Proposals or projects Australian Laureate Fellows may hold under those schemes.
6.6.3 Australian Laureate Fellows cannot apply for a subsequent Australian Laureate Fellowship.
7. Organisational Types, Roles and Eligibility
7.1 Eligible Organisations
7.1.1 A Proposal may be submitted only by an Eligible Organisation. Appendix C specifies Eligible Organisations for Australian Laureate Fellowships.
7.1.2 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.
8. Roles and Eligibility for Researchers
8.1 General
8.1.1 The Australian Laureate Fellowship candidate must take significant intellectual responsibility for the proposed project, and any strategic decisions called for in its pursuit and the communication of results. The Australian Laureate Fellowship candidate must have the capacity to make a serious commitment to the project and cannot assume the role of a supplier of resources for work that will largely be placed in the hands of others. The ARC reserves the right to determine whether a person has the requisite capacity to perform the role.
8.1.2 Australian Laureate Fellowship candidates must be distinguished researchers who are at the forefront of international research. They must have demonstrated strong leadership and mentoring skills and experience in building research capacity, and should propose ground-breaking research programs likely to deliver significant economic, environmental, social or cultural benefits to Australia.
8.1.3 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 Minister, undertake research overseas 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.
8.2 Eligibility criteria for Australian Laureate Fellows
8.2.1 A Proposal must nominate one Australian Laureate Fellowship candidate. An Australian Laureate Fellowship candidate must satisfy the eligibility criteria for that role as specified in Section 8 of these Funding Rules.
8.2.2 If the ARC considers that an Australian Laureate Fellowship candidate nominated in a Proposal does not meet the eligibility criteria in this Section, the Proposal will not be recommended or approved for funding.
8.2.3 A Proposal may be submitted for an Australian Laureate Fellowship by an Australian or international candidate. An Australian Laureate Fellowship candidate may hold a continuing or non-continuing appointment in Australia or overseas at the time the Proposal is submitted.
8.2.4 At the closing time of submission of Proposals 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.
8.2.5 Australian Laureate Fellows must reside predominantly in Australia for the duration of the Australian Laureate Fellowship. If an Australian Laureate Fellowship candidate does not have permanent resident status he/she must obtain permanent or temporary resident status from the Department of Immigration and Citizenship before the Australian Laureate Fellowship commences.
8.2.6 Prior to the commencement of an Australian Laureate Fellowship, any existing responsibilities must be relinquished, excepting 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.
8.2.7 If an Australian Laureate Fellowship candidate holds or has applied for any other ARC Fellowships, or any fellowships from other funding bodies, the candidate must have agreed, if the Proposal is successful, to relinquish those other fellowships, prior to the commencement of the Australian Laureate Fellowship.
8.2.8 Australian Laureate Fellowships are awarded on a full-time basis only. Australian Laureate Fellows are expected to work full-time 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.
8.3 Eligibility criteria for postdoctoral research associates
8.3.1 A postdoctoral research associate must have been awarded a PhD or has obtained approval from the ARC as having a research degree or experience equivalent to the award of a PhD.
8.3.2 Funding for a postdoctoral research associate is provided on the basis that the researcher works full-time on the proposed project. Approval may be sought from the ARC for a postdoctoral research associate to undertake overseas research for up to two years, provided that it is in the best interests of the research and its outcomes, and of national benefit to Australia.
8.3.3 The Administering Organisation must inform the ARC of any changes to an awarded postdoctoral research associate that will affect the amount or duration of funding.
8.4 Eligibility criteria for postgraduate researchers
8.4.1 To be eligible to receive postgraduate research funding, a student must:
a. be enrolled in a full-time postgraduate research degree 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.
8.4.2 The Administering Organisation must inform the ARC of any changes to an awarded postgraduate researcher that will affect the amount or duration of funding.
9. Cross-scheme Issues
9.1 Cross-scheme Eligibility
9.1.1 Applications should note the eligibility criteria for other ARC funding schemes, as expressed in the funding rules for those schemes. The ARC reserves the right to change these criteria in future funding rules. Funding rules for all ARC schemes may be found on the ARC website.
9.1.2 If a researcher nominated as an Australian Laureate Fellowship candidate on a Proposal is named in a funding request for any proposed research project (including fellowship, salary or equipment) that has been submitted or approved under this or any other ARC scheme or to any other Commonwealth funding body, the Proposal must contain details of the request and summary details of all other funding. If these processes are not observed or the ARC determines that incomplete, misleading or inaccurate details were included in the Proposal, the ARC may in its absolute discretion decide to not recommend the Australian Laureate Fellowships Proposal for approval.
9.1.3 If the Australian Laureate Fellowship candidate has been awarded, or is currently requesting, an ARC Fellowship under another ARC scheme, the Proposal must contain details of the project/Proposal/ARC Fellowship. If more than one of these Fellowship requests is approved for funding, only one Fellowship can be accepted.
9.1.4 The ARC may liaise with other funding agencies to discuss any overlap between proposed or existing research projects (including fellowships) in order to avoid duplication of funding. The ARC may, for this purpose, disclose to that agency any information in a Proposal.
9.2 Non-duplication and Cross-scheme Funding
9.2.1 The ARC will not duplicate financial assistance for research, including infrastructure, already funded by the Commonwealth or which is likely to be funded from other Commonwealth funding sources (including under other ARC funding schemes). The ARC reserves the right to determine if a Proposal duplicates or is likely to duplicate research being funded by another Commonwealth source. In such circumstances the ARC may in its absolute discretion decide to not recommend the Proposal for approval. However, if the ARC considers that parts of the proposed project remain worthy of support, the ARC may assess the Proposal in the usual way and the ARC may instead recommend that a reduced amount of funding be approved for the Proposal.
9.3 Researchers from Commonwealth-funded Research Centres
9.3.1 Funding will not be provided for research already funded by a Commonwealth-funded Research Centre or which will be supported by the Centre given its research program and its level of funding. The proposed research must not duplicate work that, in the opinion of the ARC, is or will be undertaken by the Commonwealth-funded Research Centre.
9.3.2 The Administering Organisation must certify that the Proposal does not duplicate the work of a Commonwealth-funded Research Centre or will not be supported by the Centre given its research program and its level of funding.
9.3.3 If the ARC considers any information contained in the Australian Laureate Fellowships Proposal, the certification, and/or the Centre Annual Report is incomplete, inaccurate, or misleading in a material respect, the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
9.4 Funding of Medical and Dental Research
9.4.1 Pursuant to Section 6.5 and this Section 9.4, the ARC does not fund near-term clinical medical (including dental) outcomes as described on the ARC website.
9.4.2 The Administering Organisation must certify that the Proposal does not constitute Medical and Dental research as defined on the ARC website.
9.4.3 The ARC may in its absolute discretion, reserve the right to decide whether a proposed project, or elements of a project, fall within the area of Medical and Dental Research.
10. Application process
10.1 Eligibility Exemption and Eligibility Advice
10.1.1 Formal Eligibility Exemption and Eligibility Advice processes do not apply to Proposals for Australian Laureate Fellowships.
10.2 Proposals
10.2.1 A Proposal should be submitted as a mature research plan ready for implementation. 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, including its Selection Advisory Committees. Additional information must not be submitted.
10.2.2 All details in the Proposal must be current at the time of submission.
10.2.3 In submitting a Proposal, the Administering Organisation and the Australian Laureate Fellowship candidate nominated in the Proposal are consenting to the Proposal being assessed under the ARC peer assessment procedures and agree to the release of the Proposal to third parties for assessment purposes.
11. Submission of Proposals
11.1 Submission of Proposals in RMS
11.1.1 Administering Organisations must submit Proposals through the Research Management System (RMS) unless otherwise advised.
11.2 Proposal Content
11.2.1 Proposals consist of an online form, which must be completed and submitted in the RMS, accessible via the ARC website. The RMS online form may include the following additional text which, if included, must be attached in PDF format to the online version of the Proposal:
a. Research Record relative to opportunity;
b. Description of Project/Program of Research;
c. Budget Justifications;
d. Research Support; and
e. Statements on progress of ARC-funded projects.
11.3 Format
11.3.1 All documents must be written in English and must comply strictly with the format, content and submission requirements as specified in these Funding Rules and the Australian Laureate Fellowships Instructions to Applicants for funding commencing in 2011 document issued by the ARC. If a Proposal fails to meet any format, content or submission requirements, the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
11.3.2 All pages of additional text must be uploaded in PDF format. Text must be in black type, use a single column and 12 point font size, with all margins being at least 0.5 cm. A highly legible font type must be used, such as 12 point Times New Roman, Arial, Courier, Palatino, and Helvetica subject to their being equivalent to Times New Roman 12 point font. Variants such as mathematical typesetting languages may also be used. References may be reproduced in 10 point font size. Colour graphs or colour photographs should not be included as they will be reproduced in black and white and the reproduction quality may not be optimal. Finely detailed graphics and grey scale may also not be precisely reproduced. Additional text attachments may appear slightly reduced in size due to the RMS system formatting the attachments to include page numbers. Attached PDFs should be directly generated rather than scanned to maximise the quality of reproduction. The ARC reserves the right to seek an original electronic copy of the Proposal to determine that the text meets the requirements stipulated.
11.4 How to complete and submit a Proposal in RMS
11.4.1 Administering Organisations must complete and submit their Proposal using the online form within RMS which is accessible via the ARC website.
11.4.2 An Australian Laureate Fellowships Instructions to Applicants for funding commencing in 2011 document will be available on the ARC website. This document specifies a range of requirements for Proposals and also assists parties in preparing Proposals.
11.4.3 Research Offices with RMS access will approve request for RMS User Accounts, along with the ARC, to enable researchers at their organisations to access RMS and prepare Proposals. If a researcher has previously been allocated access to GAMS and cannot access RMS, they should email rms@arc.gov.au for assistance.
11.4.4 If a researcher does not have a Research Office or equivalent unit, he/she should email rms@arc.gov.au at the ARC for assistance.
11.4.5 If an Eligible Organisation does not have a Research Office unit, they should email rms@arc.gov.au for assistance.
11.5 Closing Time for Proposals in RMS
11.5.1 The online form completed using RMS, must be submitted by 5.00 pm (AEDT) Thursday 27 January 2011.
11.5.2 Additions, deletions and modifications will not be accepted after submission, unless invited by the ARC.
11.5.3 Participants should note that Eligible Organisations may have internal closing times for Proposal preparation that precede ARC closing times.
11.6 Certification
11.6.1 The Administering Organisation must certify Proposals online in RMS. Research Offices should ensure that the Research Office delegate role is authorised in RMS to certify and submit Proposals for their organisation.
11.6.2 Using the form available on the ARC website (Australian Laureate Fellowships Certification Form), the Administering Organisation must also obtain the agreement of all parties necessary to allow the proposed project to proceed. This signed certification must be attested to by hand-written signatures and certifications from all relevant persons and organisations involved in the Proposal. This form does not need to be submitted via RMS with the Proposal but must be provided to the ARC if requested. The ARC reserves the right at any point in the process to seek evidence from the Administering Organisation to support the certification of Proposals. If the Administering Organisation fails to provide this material upon request, the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
11.6.3 A Proposal must be submitted through the appropriate Research Office or equivalent. The Administering Organisation must certify Proposals online in RMS. If a Proposal has not been submitted through the appropriate Research Office/Chief Executive Officer for certification, the Proposal will not be recommended for funding.
11.6.4 If the certification of all parties necessary to allow the proposed project to proceed is inaccurate, false, or misleading the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
12. Selection and Approval Process
12.1 Assessment and Selection Process
12.1.1 Assessment of Proposals is undertaken by the ARC, which has the right to make recommendations solely on the basis of its expertise, and which may:
a. consider if a Proposal satisfies the eligibility criteria set out in these Funding Rules;
b. identify and consider any other matters that these Funding Rules state may result in the ARC recommending that a Proposal not be approved for funding;
c. assign assessors to review Proposals;
d. seek comments on assessors’ reports from the parties involved in the Proposal;
e. rank each Proposal relative to the others on the basis of the Proposal, any assessors’ reports, and any response to those assessment reports;
f. assess and recommend the amount of funding to be made available for a Proposal; and/or
g. prepare funding recommendations.
12.1.2 ARC Selection Advisory Committees assist with the assessment of Proposals. The ARC has procedures for managing organisational and personal Conflicts of Interest experienced by members of the Selection Advisory Committee, members of other ARC Committees, ARC staff and other assessors, and for enabling individuals to withdraw from the assessment process for particular Proposals where any actual or perceived conflict may exist.
12.1.3 In addition to assessment by the ARC, a Proposal may at the absolute discretion of the ARC be assessed by external assessors. Assessors may be drawn from a range of organisations to reduce the potential for Conflicts of Interest. Proposals will be assessed against the criteria set out in these Funding Rules and the reports by the assessors may include written comment.
12.1.4 The ARC reserves the right to make recommendations for funding to the Minister based on any number of assessments or solely on the assessment of the ARC.
12.1.5 Administering Organisations may provide written notification to the ARC naming any person or persons whom they do not wish to assess a Proposal. Such notifications must contain detailed justification and be submitted electronically using the Request not to Assess form available on the ARC website through the Administering Organisation’s Research Office. This notification must not accompany the Proposal. 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 for the relevant round, 5.00 pm (AEDT) Thursday 27 January 2011.
12.1.6 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.
12.2 Rejoinder
12.2.1 Assessors’ written comments, if obtained, may be provided to applicants to allow the opportunity for a rejoinder to the comments. Names of assessors are not provided. At the same time, the ARC may add questions to the material sent for rejoinder. A period of up to 2 weeks is given to submit a rejoinder to the ARC. Subject to subsection 12.2.2, rejoinders will not be accepted after the nominated closing time for rejoinder submissions. The ARC may limit the length of rejoinders which can be submitted. Rejoinders must be submitted through RMS.
12.2.2 The ARC may, in its absolute discretion, and only in exceptional circumstances, accept late rejoinders.
12.3 Recommendations and Offer of Funding
12.3.1 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 financial assistance to be paid to Administering Organisations for approved Proposals.
12.3.2 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.
12.3.3 Administering Organisations whose Proposals are approved will be notified in a letter of offer that will indicate the financial assistance to be offered and provided with a copy of a Funding Agreement for signature.
12.4 Exclusion of Proposals
12.4.1 The ARC will not recommend for approval, and the Minister will not approve for funding, any Proposal that fails to satisfy the eligibility criteria set out in these Funding Rules, including:
a. if the Proposal seeks funding for any of the items not permitted under Sections 6.4 and 6.5 and the ARC considers no other part of the proposed project remains worthy of support (subsection 6.5.2);
b. if the Proposal is not submitted by an Eligible Organisation (Section 7.1);
c. if the ARC considers that an Australian Laureate Fellowship candidate nominated in the Proposal does not meet the eligibility criteria for an Australian Laureate Fellow as specified in Section 8 and Section 14;
d. if the ARC determines that a Proposal is seeking funding for Medical and Dental Research (subsection 6.5.1.a and Section 9.4);
e. if a Proposal has not been submitted in RMS (Section 11.1) through the appropriate Research Office/Chief Executive Officer for certification (Section 11.6); and
f. if the Proposal is not for a program of research, or a program that supports the conduct of a program of research.
12.4.2 The ARC may in its absolute discretion decide to not recommend for approval; a Proposal if:
a. in the opinion of the ARC, the Australian Laureate Fellowship candidate nominated in the Proposal has caused or has significantly contributed to the failure of an organisation to meet its obligations under any current or previous Funding Agreement with the ARC, or all obligations regarding previously funded projects involving the candidate have not been fulfilled to the satisfaction of the ARC (subsection 8.2.4);
b. in the opinion of the ARC, any party involved in or associated with the Proposal or ARC-funded research project has failed to disclose to the ARC, or any other parties involved in the Proposal any Conflict of Interest which has the potential to influence, or appear to influence, the research and activities, publications and media reports, or requests for funding related to the Proposal (subsection 4.4.2);
c. the limits on the number of Proposals and/or projects permissible are exceeded (subsection 6.6);
d. in the opinion of the ARC, the Proposal duplicates or is likely to duplicate research already being funded, or which is likely to be funded, by the Commonwealth (subsection 9.2.1);
e. where required the Proposal does not include details of other funding or funding requests (subsection 9.1.2);
f. the ARC considers that incomplete, inaccurate or misleading material has been provided in relation to the Proposal or if the Administering Organisation and/or Australian Laureate Fellowship candidate nominated in the Proposal have provided the ARC with incomplete, inaccurate or misleading information in relation to the provision of advice relating to, or in the reporting of progress of, a funded project (subsections 9.1.2 and Appendix A subsection A8.2 and A8.3);
g. the online part of the Proposal is not submitted via RMS, (Sections 11.1, 11.4 and 11.6) by the closing time (Section 11.5);
h. when requested, the Administering Organisation fails to provide the signed certifications and agreements of all parties necessary to allow the proposed project to proceed (Section 11.6); or
i. the Proposal fails to meet any format and other submission requirements (Section 11).
13. Appeals Process
13.1 Appeals will be considered only against administrative process issues and not, for example, against committee recommendations or assessor ratings and comments.
13.2 Appeals must be made on the appeals form available on the ARC website. The form must be lodged by the Administering Organisation and must be authorised by a Deputy Vice-Chancellor (Research), Chief Executive Officer or equivalent. Appeals must be received by the ARC within 28 days of the date the funding outcomes are announced.
13.3 Appeals must be addressed and sent to the address advised under ‘Contacts’ at the beginning of these Funding Rules.
14. Kathleen Fitzpatrick Australian Laureate Fellowship and Georgina Sweet Australian Laureate Fellowship
14.1 The Kathleen Fitzpatrick Australian Laureate Fellowship and Georgina Sweet Australian Laureate Fellowship aim to encourage applications from female researchers, and are intended to attract a larger number of applications from women who are researchers and research leaders of international repute. These two fellowships involve the provision of additional funding for the recipients to undertake an ambassadorial role. This role involves the promotion of women in research in Australia, and the mentoring of early career researchers, particularly women, to enter and establish careers in the humanities, arts and social sciences, and also in science and technology.
14.2 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.
14.3 Recipients of a Kathleen Fitzpatrick Australian Laureate Fellowship and Georgina Sweet Australian Laureate Fellowship will be subject to the same conditions and obligations that apply to Australian Laureate Fellowships as outlined in these Funding Rules.
14.4 In addition to the level of funding outlined in Section 6.1, the ARC will provide funding of up to $20,000 per year (for 5 years) to each of the successful recipients of a Kathleen Fitzpatrick Australian Laureate Fellowship and Georgina Sweet Australian Laureate Fellowship. This additional funding must be used by successful recipients to undertake an ambassadorial role to promote women in research.
14.5 Candidates who apply for a Kathleen Fitzpatrick Australian Laureate Fellowship or a Georgina Sweet Australian Laureate Fellowship 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.
14.6 To be eligible to apply for a Kathleen Fitzpatrick Australian Laureate Fellowship or a Georgina Sweet Australian Laureate Fellowship, the candidate must be female. This is in addition to the eligibility criteria for Australian Laureate Fellows outlined in Section 8 of these Funding Rules.
14.7 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 as all Australian Laureate Fellowship candidates (see Section 4.3 of these Funding Rules). For the additional fellowships, preference will be given to candidates who are able to demonstrate outstanding mentoring and capacity building qualities.
14.8 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.
14.9 The ARC may in its absolute discretion decide not to award one or both of these additional fellowships.
Appendix A
Fundamental principles and requirements
A1 Ethics and research practices
A1.1 The NHMRC website, www.nhmrc.gov.au, provides a series of publications that outline principles of ethical conduct in research. All Proposals and ARC-funded research projects must, unless otherwise approved by the ARC, 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.
A1.2 If there is any conflict between a successor document and its predecessor, then the successor document prevails to the extent of any inconsistency.
A2 Acknowledging ARC support
A2.1 The Funding Agreement requires that any ARC contribution to research and other activities funded by the ARC be appropriately acknowledged. When, at any time during or after completion of a project, the researcher or any other party publishes or produces material such as books, articles, newsletters or other literary or artistic works which relate to the research project, the Administering Organisation must ensure (wherever possible) that the ARC contribution and support of the project is acknowledged in a prominent place and in an appropriate form. This acknowledgement should include the mention of the ARC as a funding body. Similar efforts should be made to acknowledge ARC support when participating in television and radio programs, when interviewed by the print media and when otherwise speaking publicly about the project.
A2.2 Advice on acceptable forms of acknowledgement and use of the ARC logo is provided on the ARC website.
A3 Dissemination of research outputs
A3.1 The Commonwealth invests in research to support its essential role in improving the wellbeing of our society. To maximise the benefits from research, findings need to be disseminated as broadly as possible to allow access by other researchers and the wider community.
A3.2 The ARC acknowledges that researchers take into account a wide range of factors in deciding on the best outlets for publications arising from their research. Such considerations include the status and reputation of a journal or publisher, the peer review process of evaluating their research outputs, access by other stakeholders to their work, the likely impact of their work on users of research and the further dissemination and production of knowledge. Taking heed of these considerations, the ARC endeavours to ensure the widest possible dissemination of the research supported under its funding, in the most effective manner and at the earliest opportunity.
A3.3 The ARC encourages researchers to consider the benefits of depositing their data and any publications arising from a research project in an appropriate subject and/or institutional repository. If a researcher is not intending to deposit the data from a project in a repository within six months of the completion of the research, he/she should include the reasons in the project’s Final Report. Any research outputs that have been or will be deposited in appropriate repositories should be identified in the Final Report.
A4 Applicable law
A4.1 The ARC is required to comply with the requirements of the Privacy Act 1988 and the Freedom of Information Act 1982.
A5 Confidentiality
A5.1 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 ARC personnel to enable effective management or auditing of the Australian Laureate Fellowships 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.
A5.2 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.
A5.3 Notwithstanding the above, and in addition to the exemptions listed at Appendix A subsection A5.1, the ARC may publicise and report offers or awards of funding, including information about the proposed research; the name of the Fellows 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 title and summaries would not, if released, compromise their own requirements for confidentiality (such as future protection of intellectual property).
A6 Project description
A6.1 In making public information about a Proposal that 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.
A7 Intellectual property
A7.1 The ARC does not claim ownership of any intellectual property in a Proposal or which is created or developed from the conduct of a project funded under the Australian Laureate Fellowships scheme.
A7.2 However, all submitted Proposals become the property of the ARC. Administering Organisations submit their Proposals on the basis that the ARC may copy, modify and otherwise deal with information contained in a Proposal (and allow any external assessor or other third party to do the same) for any purpose related to:
a. the evaluation and assessment of Proposals;
b. verifying the accuracy, consistency and adequacy of information contained in a Proposal, or otherwise provided to the ARC;
c. the preparation and management of any Funding Agreement; or
d. the administration or management of the NCGP.
A7.3 If a Proposal contains information belonging to a third party, the Administering Organisation must ensure, that it has in place all necessary consents to allow the ARC to deal with that information in accordance with these Funding Rules, prior to the Administering Organisation submitting its Proposal.
A7.4 Except with written approval from the ARC, all Proposals and ARC-funded research projects must comply with the National Principles of Intellectual Property Management for Publicly Funded Research (available on the ARC website) and accord with any intellectual property policies of the researchers’ organisations.
A8 Incomplete or misleading information
A8.1 It is a serious offence to provide false or misleading information to the Commonwealth.
A8.2 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.
A8.3 If an Administering Organisation and/or the researcher nominated in a Proposal has provided the ARC with incomplete, inaccurate or misleading information in relation to any Proposal for, or in the provision of advice relating to, or reporting of progress of, a project funded by the Commonwealth, the ARC may in its absolute discretion decide to not recommend the Proposal for funding and/or terminate projects involving that organisation/person if funded and require the Administering Organisation to repay some or all of the funding.
A8.4 If the ARC considers that omissions, or inclusion of misleading information, are intentional, or if there is evidence of misconduct, the ARC may refer the matter for investigation with a view to prosecution under Commonwealth criminal law. The Commonwealth is committed to protecting its revenue, expenditure and property from any attempt (by members of the public, contractors, sub-contractors, agents, intermediaries or its own employees) to gain financial or other benefits by deceit.
A8.5 Examples of misleading information and misconduct are, but are not restricted to:
a. providing fictitious track records; or
b. making false claims in publications records (such as describing a paper as accepted for publication when it has only been submitted);
c. making false certifications in the RMS certification; or
d. 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).
A9 Insurance and liabilities
A9.1 Administering Organisations are subject to the liability, indemnity and insurance provisions of the Funding Agreement.
Appendix B
Administration of funding
B1 Funding Agreement
B1.1 All parties involved in a Proposal should familiarise themselves with the draft Funding Agreement, but only the Administering Organisation and the ARC will be parties to the Funding Agreement. Parties involved in a funded project must accept the terms of the Funding Agreement and the Administering Organisation must sign the Funding Agreement before the ARC will commence payments.
B1.2 Projects must commence as required by the Funding Agreement. Failure to do so may result in termination of the Funding Agreement.
B1.3 Administering Organisations should note that the Funding Agreement covers post-award management, including reporting requirements and financial management. The draft Funding Agreement can be viewed on the ARC website.
B2 Varying the Funding Agreement
B2.1 Requests to vary the Funding Agreement must be forwarded in writing by the Administering Organisation’s Research Office to the ARC. Forms are available on the ARC website. Amendment of any clauses of the Funding Agreement will be at the absolute discretion of the ARC.
B3 Varying the funding approval
B3.1 Requests to vary the funding approval must be forwarded in writing by the Administering Organisation’s Research Office to the ARC.
B3.2 The funding approval may be varied in regard to the amount of financial assistance, the period of financial assistance, and/or the name of the organisation receiving financial assistance.
B3.3 The Minister may vary the funding approval if:
a. any of the organisations involved in the project end, or substantially change, their involvement with the project;
b. the research project changes so that it is no longer consistent with the description in the funding approval as previously approved or as otherwise varied;
c. the desirable period of funding for a project is not consistent with the period in the funding approval as previously approved or as otherwise varied; and/or
d. the ARC considers and recommends that the particular circumstances of the project warrant variation of the funding approval, providing such variation is reasonably justified upon the facts of the case and any variation or change to the project accords with the Australian Laureate Fellowships scheme objectives.
B4 Reports
B4.1 Administering Organisations are required to submit reports to the ARC concerning funded projects, in the format and by the due dates detailed in the Funding Agreement.
Appendix C
Eligible Organisations
C1 Higher Education 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
Flinders University
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
Multi-State
Australian Catholic University
C2 Other Eligible Organisations
C2.1 The other eligible organisations are:
a. Australian Antarctic Division (AAD);
b. Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS);
c. Australian Institute of Marine Science (AIMS);
d. Australian Astronomical Observatory (AAO);
e. Australian Nuclear Science and Technology Organisation (ANSTO);
f. Commonwealth Scientific and Industrial Research Organisation (CSIRO);
g. Defence Science and Technology Organisation (DSTO); and
h. Geoscience Australia (GA).
Appendix D
Salary support and relocation costs
D1 Australian Laureate Fellowship salary support*
The ARC will provide a salary supplement to a Professorial Level E (or equivalent).
* The figures in the tables below are based on the 2010 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/applicants/salaries.htm
ARC Salary
Supplement
On-costs
28%
Total
(2010$)
Australian Laureate Fellowship
$104,142
$29,160
$133,302
The ARC may provide the following amounts for up to two postdoctoral research associates and up to two postgraduate researchers.
ARC Salary
On-costs
28%
Total
(2010$)
Postdoctoral research associate
$63,942
$17,904
$81,846
Postgraduate researcher
$27,222
N/A
$27,222
D2 Maximum Australian Laureate Fellows relocation allowances
North America $17,000;
Europe/Asia (Northern Hemisphere)/Africa/South America $14,000;
Asia (Southern Hemisphere)/Oceania $11,000; or
Within Australia $8,000.
Unless otherwise specified in these Funding Rules, travel associated with relocations will be funded only up to a maximum of one return economy class airfare for each person approved for relocation.
