Discovery Projects Funding Rules for Funding Commencing in 2007
Australian Research Council Discovery Projects Funding Rules for Funding Commencing in 2007 Table of Contents Acronyms. 4 Key Dates. 6 Contacts. 6 Definitions for Discovery Projects Funding Rules. 7 1 Introduction. 9 1.1 Overview.. 9 1.2 NCGP Objectives. 9 1.3 Discovery Projects. 10 1.4 Fundamental principles and requirements. 10 1.4.1 Ethics and Research Practices. 10 1.4.2 Non-duplication. 10 1.4.3 Conflict of interest 11 1.4.4 Acknowledging ARC support 11 2 Changes from last year. 11 3 Funding. 13 3.1 Level of funding. 13 3.2 Duration of funding. 13 3.3 Types of research supported. 13 3.4 Areas of investigation/work not supported. 14 3.5 Restrictions on budget items. 14 3.6 Number of Proposals and funded projects. 16 3.6.1 General requirements. 16 3.6.2 Duplication. 17 4 Organisational types, roles and eligibility. 17 4.1 Eligible Organisations. 17 4.2 Partner Organisations. 17 5 Roles and eligibility for researchers. 17 5.1 Researcher roles and general eligibility. 17 5.2 Early Career Researchers. 18 5.2.1 Definition of ECR.. 18 5.3 Eligibility criteria for Chief Investigators. 19 5.4 Eligibility criteria for Partner Investigators. 19 5.5 Eligibility criteria for Fellowships. 19 5.5.1 General eligibility. 19 5.5.2 Host Organisations for Fellows. 20 5.5.3 Fellowships at a Commonwealth-funded Research Centre. 20 5.5.4 Eligibility criteria for Australian Postdoctoral Fellowships (APDs) 20 5.5.5 Eligibility criteria for Australian Research Fellowships and Queen Elizabeth II ............ Fellowships 21 5.5.6 Eligibility criteria for Australian Professorial Fellowships (APFs) 23 6 Cross-scheme issues. 24 6.1 Cross-scheme funding. 24 6.2 Cross-scheme eligibility. 24 6.3 Researchers from Commonwealth-funded Research Centres. 24 6.3.1 Duplication with Commonwealth-funded Research Centres. 24 6.3.2 Substantial association. 25 6.4 Funding of clinical medical and dental research. 25 7 Application process. 26 7.1 Eligibility rulings. 26 7.2 Proposals. 26 7.3 Certification. 27 7.4 Submission of Proposals. 27 7.4.2 Format 27 7.4.3 How to complete and submit a Proposal 28 7.4.4 Number of copies. 28 7.4.5 Closing time for Proposals. 28 8 Selection and approval process. 29 8.1 Selection criteria. 29 8.1.2 Fellowships. 29 8.2 Assessment and selection procedure. 30 8.2.1 Assessment and selection process. 30 8.2.2 Exclusion of Proposals. 30 8.2.3 Assessment 31 8.2.4 Rejoinder 32 8.2.5 Recommendations. 32 8.3 Offer of funding. 32 9 Appeals process. 32 10 Administration of funding. 33 10.1 Funding Agreement 33 10.1.4 Varying the Funding Agreement 33 10.1.5 Varying the Funding Approval 33 10.1.6 Reports. 34 11 Other matters. 34 11.1 Applicable law.. 34 11.2 Confidentiality. 34 11.3 Project description. 35 11.4 Intellectual property. 35 11.5 Incomplete or misleading information. 35 11.6 Insurance and liabilities. 36 Appendix 1: National Research Priorities and associated Priority Goals. 37 Appendix 2. Eligible Organisations. 46 Appendix 3. Notional Fellowship salaries, relocation allowances and teaching relief contributions 48 Acronyms The following acronyms are used in ARC Funding Rules.
AEST
Australian Eastern Standard Time
AEDT
Australian Eastern Daylight Saving (Summer) Time
AIF
Australia-Israel Fellowship
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
APDC
Australian Postdoctoral Fellowship (CSIRO)
APDI
Australian Postdoctoral Fellowship (Industry)
APF
Australian Professorial Fellowship
ARC
Australian Research Council
ARCIF
Australian Research Council International Fellowship
ARF
Australian Research Fellowship
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
GA
Geoscience Australia
GAMS
Grant Application Management System
GST
Goods and Services Tax
HECS
Higher Education Contribution Scheme
ICI
Internationally Coordinated Initiative
IRF
Indigenous Research Fellowship
LASP
ARC Learned Academies Special Projects
LIEF
ARC Linkage Infrastructure Equipment and Facilities
LIF
ARC Linkage Industry Fellowship
LP
ARC Linkage Projects
NCGP
National Competitive Grants Program
NHMRC
National Health and Medical Research Council
NP
Network Participant
OI
Overseas Investigator
PI
Partner Investigator
QEII
Queen Elizabeth II Fellowship
RN
ARC Research Network
SPIRT
Strategic Partnerships with Industry – Research and Training
SRC
ARC Special Research Centre
SRI
ARC Special Research Initiatives
URL
Universal Resource Locator
Key Dates Closing time for submission of Proposals (subsection 7.4.5) – 5:00 pm (AEDT) Friday 3 March 2006 Closing time for eligibility rulings requests (Section 7.1) – 5:00 pm (AEDT) Friday 20 January 2006 Closing time for letters requesting non-use of a potential assessor (subsections 8.2.3.3 - 8.2.3.4) – 5:00 pm (AEDT) Friday 3 March 2006 Dates for the award of a PhD to be eligible for Discovery Projects Fellowships and Early Career Researcher (ECR) status:
Early Career Researcher (ECR) (subsection 5.2.1.1) - on or after 1 March 2001
Australian Postdoctoral Fellowship (APD) (subsections 5.5.4.2 a and b) - on or after 1 March 2003
Initial Australian Research Fellowship (ARF)/Queen Elizabeth II Fellowship (QEII) (subsection 5.5.5.3a) - on or after 1 March 1998
Subsequent ARF/QEII candidates (subsection 5.5.5.3b) – on or after 1 March 1993
Initial Australian Professorial Fellowship (APF) (subsection 5.5.6.2a) - no restriction on date of award
Subsequent APF candidates (subsection 5.5.6.2a) – no restriction on date of award.
Contacts The ARC deals with thousands of Proposals each year. Where possible, researchers should direct requests for information to the Research Office within their organisation. Enquiries about the ARC Discovery Projects scheme may be addressed to:
Postal OR
Courier
Discovery Projects Coordinator Australian Research Council GPO Box 2702 CANBERRA ACT 2601
Discovery Projects Coordinator Australian Research Council 1st Floor, 8 Brindabella Circuit CANBERRA AIRPORT ACT 2609
Email: ncgp@arc.gov.au Phone: 02 6287 6600 Fax: 02 6287 6638 Web: http://www.arc.gov.au
Definitions for Discovery Projects Funding Rules Adjunct Appointment or equivalent means that an Eligible Organisation has a formal agreement in writing with a researcher which is publicly acknowledged and which establishes an ongoing association with the Eligible Organisation, of the nature of a conjoint, emeritus, honorary, or visiting fellow or professor. It would be expected that the person’s association would be listed in an official organisational publication and/or web site. Administering Organisation means an Eligible Organisation which submits a Proposal for funding under Discovery Projects and which will receive and be responsible for the administration of the funding if the proposed project is approved for funding. Applicant means the Administering Organisation. Funding under Discovery Projects is provided to Administering Organisations, not to individual researchers. ARC Act means the Australian Research Council Act 2001. ARC Centre means a research centre wholly or partly funded by the ARC and includes ARC Centres of Excellence, ARC Centres and ARC Special Research Centres. 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), Queen Elizabeth II Fellowship (QEII) and Australian Professorial Fellowship (APF) (Section 5.5). The term also includes Australian Postdoctoral Fellowship (Industry) (APDI) (under the ARC Linkage Projects scheme) and Australian Postdoctoral Fellowship (CSIRO) (APDC) (under the former APD CSIRO scheme). Australian Postdoctoral Fellow means a researcher whose salary is wholly or partly funded under an ARC Australian Postdoctoral Fellowship (subsection 5.5.4). Australian Postdoctoral Fellow (CSIRO) means a researcher whose salary is wholly or partly funded under an Australian Postdoctoral Fellowship (CSIRO). Australian Postdoctoral Fellow (Industry) means a researcher whose salary is wholly or partly funded under an Australian Postdoctoral Fellowship (Industry). Australian Professorial Fellow means a researcher whose salary is wholly or partly funded under an ARC Australian Professorial Fellowship (subsection 5.5.6). Australian Research Fellow means a researcher whose salary is wholly or partly funded under an ARC Australian Research Fellowship (subsection 5.5.5). Centre Director means the person appointed to direct the programs of a Commonwealth-funded Research Centre. Chief Investigator (CI) means a researcher nominated in a Proposal who satisfies the eligibility criteria for a Chief Investigator as specified in Section 5.3. Commonwealth-funded Research Centre means a research centre substantially funded from Commonwealth competitive research funding sources and includes ARC Centres, CRCs and NHMRC Program Grants. Early Career Researcher (ECR) means a researcher nominated in a Proposal who satisfies the definition of early career researcher as specified in subsection 5.2.1. ECR–Only Proposal means a Proposal in which all nominated researchers satisfy the criteria for an early career researcher as specified in subsection 5.2.1. Eligible Organisation means an organisation which is eligible to apply for and receive funding under the Discovery Projects Funding Rules as outlined in Section 4.1. Federation Fellow means a researcher whose salary is wholly or partly funded under the ARC Federation Fellowship 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. Host Organisation means an organisation at which a Fellow undertakes her/his research while holding an ARC Fellowship as outlined in Section 4.1.2. National Research Priority means a national research priority referred to in subsection 1.2.3 and further detailed in Appendix 1. Partner Investigator (PI) means a researcher nominated in a Proposal who satisfies the eligibility criteria for a Partner Investigator as specified in Section 5.4. Proposal means a request to the ARC for the provision of financial assistance for a research project. Queen Elizabeth II Fellow means a researcher whose salary is wholly or partly funded under an ARC Queen Elizabeth II Fellowship (see subsection 5.5.5). Research Office means a business unit within an organisation that is responsible for administrative contact with the ARC regarding Proposals and research projects. Special Condition means a special condition specified in a Funding Agreement which governs the use of the funding provided by the ARC.
Australian Research Council Discovery Projects Funding Rules for Funding Commencing in 2007 1 Introduction
1.1 Overview
1.1.1 This document sets out the funding rules for Discovery Projects, a scheme funded under the Australian Research Council’s National Competitive Grants Program (NCGP), which comply with the requirements of the ARC Act. 1.1.2 All parties involved in Proposals should read and understand the Funding Rules and the ARC’s standard Funding Agreement (which is available at http://www.arc.gov.au) before submitting a Proposal to the ARC. Applicants are responsible for ensuring that their Proposals are complete and accurate. 1.1.3 These Funding Rules are current as at December 2005 and have been prepared in accordance with the requirements of the ARC Act in force at that time. These Funding Rules are subject to change at any time, for reasons including any subsequent amendment, replacement or supplementation of the ARC Act. 1.1.4 Funding under Discovery Projects is provided to Administering Organisations, not to researchers. That is, the ARC will accept a Proposal only from an Eligible Organisation and not from any individual researcher or researchers. 1.1.5 However, if, in the opinion of the ARC, any researcher nominated in the Proposal as a CI, PI or ARC Fellow 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, the ARC may in its absolute discretion decide to not recommend for approval any or all Proposals involving that researcher.
1.2 NCGP Objectives
1.2.1 The ARC is an Australian Government 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. 1.2.2 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 web site at http://www.arc.gov.au. 1.2.3 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; and e. support research and research training 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. 1.2.4 Descriptions of these National Research Priorities and their associated Priority Goals can be found in Appendix 1, and on the ARC web site (http://www.arc.gov.au). Assessment of the degree to which a proposed project would contribute to National Research Priorities and Priority Goals may be used as part of the selection process in NCGP schemes.
1.3 Discovery Projects
1.3.1 Discovery Projects, which recognises the importance of fundamental research to the national innovation system, supports research undertaken by individual researchers or research teams. 1.3.2 The objectives of Discovery Projects are to: a. support excellent fundamental research by individuals and teams; b. enhance the scale and focus of research in the National Research Priorities (Appendix 1); c. assist researchers to undertake their research in conditions most conducive to achieving best results; d. expand Australia’s knowledge base and research capability; e. foster the international competitiveness of Australian research; and f. encourage research training in high-quality research environments. 1.3.3 Discovery Projects provides opportunities for a continuum of activities in order to meet the varied needs of researchers in different disciplines and at different stages of their careers.
1.4 Fundamental principles and requirements
1.4.1 Ethics and Research Practices
1.4.1.1 The National Health and Medical Research Council (NHMRC) web site, http://www.nhmrc.gov.au, provides a series of publications which outline principles of ethical conduct in research. All Proposals and ARC-funded research projects should conform with the principles outlined in the following and their successor documents:
a. the Joint NHMRC/AVCC Statement and Guidelines on Research Practice (1997); b. as applicable, the NHMRC’s National Statement on Ethical Conduct in Research Involving Humans; and c. as applicable, the NHMRC’s other codes on animal research. 1.4.2 Non-duplication
1.4.2.1 The ARC will not provide financial assistance to meet the costs of a project to the extent that those costs have been, or are likely to be, met by Commonwealth funding obtained from another source (including other ARC funding). The ARC reserves the right to determine if a Proposal includes such costs and to deem a notional amount for such costs.
1.4.2.2 Where a significant portion of the costs for a proposed project has been, or is likely to be, funded by the Commonwealth from other sources (including other ARC sources), the ARC may decide to recommend that the Proposal not be funded at all. In other cases, the ARC may decide to recommend a reduced amount of funding for the proposed project.
1.4.3 Conflict of interest
1.4.3.1 All parties involved in or associated with Proposals and ARC-funded research projects are required to disclose affiliations with or financial involvement in any organisation which has, or is likely to have, a direct interest in the subject matter or outputs of the project. Such parties have an obligation to disclose at the time of submission of Proposals, or in reporting on ARC-funded research projects, any conflict of interest which has the potential to influence, or appear to influence, their research and activities, publications and media reports, or requests for funding.
1.4.4 Acknowledging ARC support
1.4.4.1 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’s 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, and when interviewed by the print media.
1.4.4.2 Advice on acceptable forms of acknowledgement and use of the ARC logo is provided on the ARC web site at http://www.arc.gov.au.
2 Changes from last year 2.1.1 A number of clarifications and revisions have been made in these Funding Rules for funding commencing in 2007 (the 2007 Discovery Projects Funding Rules). Significant changes from the 2006 Discovery Projects Funding Rules include: a. A definitions section has been added to the 2007 Discovery Projects Funding Rules (pages 7 - 8). b. The Introduction Section (page 10) alerts Applicants and other parties involved in Proposals that a Proposal may be not recommended for approval if any person nominated as a CI, PI or ARC Fellow on the Proposal has caused or significantly contributed to the failure of an Administering Organisation to meet its obligations under a current or prior funding agreement. c. The aims of the Discovery Projects scheme explicitly include the intention to foster the international competitiveness of Australian research (subsection 1.3.2e). d. Subsection 3.5.2j. stipulates that the ARC will not pay for costs not directly related to the research Proposal, such as those of a personal nature. e. Subsection 5.1.5 now states that ‘A researcher nominated in a Proposal as a CI, PI or ARC Fellow must take significant intellectual responsibility for the proposed project, its conception, and any strategic decisions called for in its pursuit and the communication of results. The researcher 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.’ f. Section 5.3.1 includes a change to the timing for satisfying eligibility criteria for Chief Investigators. g. The rate for on-costs for Discovery Projects Fellowships has increased from 26% to 28% (Appendix 3). h. Generic information on the Eligibility Ruling process has been moved to Section 7.1. Requests must now be submitted on a form available on the ARC web site. A registration number will be supplied by the ARC and must be quoted in the application form. i. Researchers who hold or have previously been awarded an ARF, QEII or APF or equivalent Fellowship under a previous ARC scheme, are now entitled to reapply for a subsequent Fellowship of the same type, at a 50:50 salary option. (Note: ARF and QEII are considered for these purposes to be one type.) Salary support as a 100% option will be available only for researchers being awarded their first ARF/QEII/APF (subsections 5.5.5 - 5.5.6). The 100% and 50:50 salary options for ARFs/QEIIs and APFs are set out in subsections 5.5.5 - 5.5.6. j. A researcher who holds a continuing research-only position at a professorial level or equivalent at an Eligible Organisation is not eligible to apply for an APF (subsection 5.5.6.2d). k. The ARC/NHMRC overlap process is addressed by Eligibility Rulings for clinical medical and dental research (Sections 6.4 and 7.1). l. In subsection 8.1.1b a new item is listed under the Selection Criterion – “Approach” – ‘how appropriate is the proposed budget?’ m. Provision has been made for the termination of a project and repayment of funding if an Administering Organisation and/or researcher provides the ARC incomplete, false or misleading information in relation to either the Proposal for, or reporting of progress of, a project (Section 11.5). n. Eligibility criteria have been summarised in subsection 8.2.2. 2.1.2 The list of changes above is not comprehensive – a number of minor formatting, style and other changes have also been made. Applicants and other parties involved in Proposals should read and understand the entire Funding Rules and draft Funding Agreement before a Proposal is submitted to the ARC. 3 Funding
3.1 Level of funding
3.1.1 All amounts referred to in these Funding Rules are to be read as exclusive of Goods and Services Tax (if any), unless expressly stated otherwise.
3.1.2 The minimum level of funding which will be provided by the ARC for a project is $20,000 per annum and the maximum is $500,000 per annum. The ARC reserves the right to recommend the levels of funding allocated to a project from within the above funding range.
3.1.3 If an ARC Fellowship is requested, the Proposal should include a request for the Fellowship salary and on-costs in the budget (see Appendix 3 for ARC Notional Fellowship Salaries for Funding Commencing in 2007).
3.2 Duration of funding
3.2.1 Funding for projects may be awarded for 1 to 5 years, subject to sufficient funding being available for Discovery Projects, and the provisions of the ARC Act. 3.2.2 APDs are awarded for a standard duration of 3 years, but a 4-year research and teaching option is available. ARFs, QEIIs, and APFs are awarded for a standard duration of 5 years. 3.2.3 The ARC may recommend funding for a project for a duration different from that requested in the Proposal.
3.3 Types of research supported
3.3.1 Subject to Section 3.4, Discovery Projects 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. 3.3.2 The following project costs may be supported under Discovery Projects: a. personnel (salaries and on-costs), including: i. ARC Fellowships as outlined in Section 5.5; ii. Research Associates, technicians, laboratory attendants, and so on; but excluding those items detailed in subsection 3.5.2b and e. b. teaching relief for Chief Investigators, but only where the request is justified to the satisfaction of the ARC (see subsection 3.5.2c.); c. equipment; d. maintenance; and e. travel.
3.4 Areas of investigation/work not supported
3.4.1 Discovery Projects does not support: a. clinical medical and dental research and training. These areas of research are generally covered by other Commonwealth Government funding agencies, such as the NHMRC; b. activities leading solely to the creation or performance of a work of art, including visual art, musical compositions, drama, dance, designs and literary works. These areas are generally covered by other Commonwealth Government agencies, such as the Australia Council for the Arts; c. scholarly investigations that, while important in themselves, do not lead to conceptual advances or discoveries, or to novel practical outcomes or applications. Projects such as uncritical biographical compilations and purely descriptive catalogues or editions that do not involve original research are not funded; 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 a project, in which case the Proposal must include a statement indicating the research objectives to which the data would contribute; 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 statement indicating the research objectives to which these activities would contribute. 3.4.2 If the ARC considers that a Proposal seeks funding for a project that involves any of the items listed in subsection 3.4.1, then to that extent part or all of the Proposal will not be recommended or approved for funding. However, if the ARC considers 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.
3.5 Restrictions on budget items
3.5.1 Discovery Projects supports only costs which directly support a research project. The ARC may in its absolute discretion determine whether any project costs meet this requirement. 3.5.2 Discovery Projects has restrictions on the following budget items: a. Capital works and general infrastructure
Capital works and general infrastructure costs are not funded in whole or in part under Discovery Projects. b. Salaries of Chief Investigators (CIs) and Partner Investigators (PIs) The Commonwealth will not provide support, in whole or in part, to meet the salaries of CIs or PIs under Discovery Projects. c. Teaching Commonwealth funds may be used for teaching relief only if specifically approved for that purpose. Discovery Projects funding is not provided to fund teaching. However, the ARC may consider a request for teaching relief for a period of not more than 6 months per calendar year if such a request is fully justified in terms of achieving a successful outcome for the project. If approved, the funding contribution is limited up to a maximum amount for 6 months per calendar year in accordance with the figure specified in Appendix 3, Item 3, regardless of the level of appointment of the staff member, and is a Special Condition. d. Special Studies Programs Funds are not provided for travel or related expenses for researchers when on a Special Studies Program. Some specified costs may be supported within a Discovery Projects project provided that the Proposal clearly demonstrates that such expenses are not covered by a Special Studies Program and that the research to be undertaken directly relates to the project. In these cases the use of funds needs to be approved as a Special Condition. e. Research support for Partner Investigators Funds are not provided for Partner Investigators, apart from short-term project support for investigators visiting from overseas. f. International students’ fees and Higher Education Contribution Scheme (HECS) liability Funds are not provided to pay the fees of international students or the HECS liabilities for Australian students. g. Computer facilities for molecular analysis Applicants for projects involving molecular biology should be aware that a number of organisations provide access to a range of databases and a large suite of analysis programs. As a result, Proposals seeking funding for computer facilities to undertake molecular analysis must justify such needs very thoroughly and to the satisfaction of the ARC. h. Basic facilities The Administering Organisation must agree to provide the following basic facilities (where relevant to the Proposal), which will not be funded under Discovery Projects: i. accommodation (e.g. laboratory and office, suitably equipped and furnished in standard ways); ii. access to workshop services (e.g. machine tools and qualified technicians available to each member of staff, according to need, for research); iii. access to film or music editing facilities; iv. access to a basic library collection; v. standard reference materials or funds for abstracting services; vi. provision of computers (excluding access to high-performance computers or other specialised applications) and basic computing facilities such as word processing and other standard software; and vii. use of photocopiers, telephones, mail, fax, email and internet services. i. Publication costs Publication costs, including page costs, will not be funded under Discovery Projects. j. Costs not directly related to a project Costs not directly related to a project will not be funded, for example costs of a personal nature such as childcare.
3.6 Number of Proposals and funded projects
3.6.1 General requirements
3.6.1.1 Proposals may be submitted only to the extent that, if all were successful, the researchers nominated on those Proposals would not be involved in more than the maximum numbers of projects permitted in 2007 (see subsection 3.6.1.2). For the purposes of applying these limits, the number of ongoing research projects which are to be funded for 2007 and the number of Proposals on which the researcher is nominated are evaluated as at the closing time for the submission of Proposals, regardless of any subsequent change in, or withdrawal of, Proposals, taking into account proposed relinquishment of Fellowships for those seeking a subsequent ARF/QEII/APF (see subsections 5.5.5.3c and 5.5.6.2b). Submitting Proposals that exceed this limit may result in all Proposals involving the relevant researcher(s) not being recommended or approved for funding.
3.6.1.2 Specific limits on number of projects funded for 2007
Limit type
Limit description
a. CI/Fellow limit
A researcher may not be involved in more than two Discovery Projects projects on which he/she is a CI or ARC Fellow, regardless of the number of PIs involved.
b. Sole CI/Fellow limit
A researcher may not be involved in more than one Discovery Projects project on which he/she is the sole CI or sole ARC Fellow, regardless of the number of PIs involved.
c. PI limit
A researcher may not be involved as a PI on more than four Discovery Projects projects (note: a researcher who is eligible to be a CI is not eligible to be a PI).
d. CI/Fellow limit if a researcher is substantially associated with a Commonwealth-funded Research Centre
Subject to subsection 3.6.1.2e, a researcher who is eligible to be a CI or an ARC Fellow who is substantially associated with a Commonwealth-funded Research Centre may not be involved in more than one Discovery Projects project (see Section 6.3).
e. Federation Fellow limit
A Federation Fellow may be involved in up to two Discovery Projects projects (one may be as a sole CI), in addition to her/his Federation Fellowship.
3.6.1.3 For the purposes of these Funding Rules, a project for which funding was/is to be carried over, or deferred, into the next year is considered to be funded for the years for which it was recommended for funding. For example, if a project was originally funded for three years and funding is subsequently carried over to a fourth year, this project will still be considered for these purposes as funded for the original three years.
3.6.2 Duplication
3.6.2.1 Only one Proposal may be submitted to Discovery Projects in respect of a particular project in the same funding round, regardless of any variation in the listed researchers and/or Administering Organisation. If the ARC considers that the project described in a Proposal is the same or similar (in whole or in part) to a project described in another Proposal that is submitted in the same funding round, the ARC may in its absolute discretion decide to not recommend for approval any or all of those Proposals, or recommend that a reduced amount of funding be provided for that or any similar Proposal. The ARC reserves the right to determine whether Proposals are duplicates or sufficiently similar to warrant one or more Proposals’ being not recommended for approval.
4 Organisational types, roles and eligibility
4.1 Eligible Organisations
4.1.1 A Proposal may be submitted only by an Eligible Organisation. Appendix 2 specifies Eligible Organisations for Discovery Projects. 4.1.2 ARC Fellowships may be undertaken at Eligible Organisations specified in Appendix 2, Item 1. In addition to these organisations, Proposals containing requests only for APDs or QEIIs may be submitted by other organisations if, in the opinion of the ARC, the organisation provides an appropriate research training environment (see Appendix 2, Item 2). Examples of such organisations include, but are not limited to, Commonwealth-funded research organisations or State/Territory-funded research organisations such as: a. Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS); b. Australian Institute of Marine Science (AIMS); c. Australian Nuclear Science and Technology Organisation (ANSTO); d. Commonwealth Scientific and Industrial Research Organisation (CSIRO); e. Defence Science and Technology Organisation (DSTO); f. Geoscience Australia (GA); g. State/Territory Research and Development organisations. 4.1.3 The organisations specified in Appendix 2, Item 2, may apply only for APD or QEII salary and on-costs. No funding will be provided for other research costs. 4.1.4 The organisations listed in Appendix 2, Item 1, may apply for salary and salary-related on-costs for APDs, ARFs/QEIIs and APFs, and/or for other research costs.
4.2 Partner Organisations
4.2.1 While other organisations may be associated with Proposals, the term Partner Organisation is not applicable under Discovery Projects. 5 Roles and eligibility for researchers
5.1 Researcher roles and general eligibility
5.1.1 Roles that may be undertaken by researchers under Discovery Projects are: a. Chief Investigator (CI); b. Partner Investigator (PI); or c. ARC Fellow: i. Australian Postdoctoral Fellow; ii. Australian Research Fellow/Queen Elizabeth II Fellow; or iii. Australian Professorial Fellow. 5.1.2 A researcher nominated in a Proposal with any of the roles above may also be nominated in a Proposal as having Early Career Researcher (ECR) status (Section 5.2). ECR is not a researcher role. 5.1.3 A Proposal must identify at least one researcher as a Chief Investigator or one of the ARC Fellows listed in subsection 5.1.1c. The nominated CI or Fellow must satisfy the eligibility criteria for that role as specified in Section 5 of these Funding Rules. 5.1.4 The first-named CI or ARC Fellow will be considered the ‘Project Leader’ of the project. 5.1.5 A researcher nominated in a Proposal as a CI, PI or ARC Fellow must take significant intellectual responsibility for the proposed project, its conception, and any strategic decisions called for in its pursuit and the communication of results. The researcher 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. 5.1.6 If the ARC considers that a researcher nominated in the Proposal as a CI, PI or ARC Fellow does not meet the eligibility criteria in this Section or Sections 5.3, 5.4 or 5.5 for the role which that researcher is to perform, the Proposal will not be recommended or approved for funding.
5.2 Early Career Researchers
5.2.1 Definition of ECR
5.2.1.1 Early Career Researcher (ECR) means a researcher who has a PhD, or equivalent research qualification or experience, awarded on or after 1 March 2001. Where a researcher does not satisfy this criterion but wishes to be nominated as having ECR status a case must be presented within the Proposal (see Instructions to Applicants for funding commencing in 2007). Circumstances establishing ECR status could include career interruptions due to non-research employment, misadventure or carer responsibilities. The ARC reserves the right to determine the ECR status of researchers based on the case presented within the Proposal.
5.2.1.2 The ARC has identified funds within Discovery Projects specifically for projects on which all listed researchers have ECR status (ECR-Only Proposals).
5.2.1.3 If a Proposal contains a researcher who has been nominated for ECR status but is determined by the ARC not to have ECR status, the Proposal is not an ECR-Only Proposal.
5.2.1.4 If a Proposal contains one or more researchers with ECR status as well as a researcher without ECR status, the Proposal is not an ECR-Only Proposal.
5.3 Eligibility criteria for Chief Investigators
5.3.1 To be eligible to be a CI, a person must meet the following criteria by 1 January 2007, and for the full term of the funding: a. He/she must reside predominantly in Australia. If the person does not have permanent resident status he/she must obtain temporary or permanent resident status from the Department of Immigration and Multicultural and Indigenous Affairs; b. He/she must meet at least one of the following three criteria: i. be an employee of an Eligible Organisation listed in Appendix 2, Item 1 and derive at least 50 per cent of her/his salary from that Eligible Organisation; or ii. be a holder of an Adjunct Appointment or equivalent, at an Eligible Organisation listed in Appendix 2, Item 1; or iii. be a Federation Fellow. 5.3.2 At the time of the submission of a Proposal all obligations regarding previously funded projects involving the CIs and ARC Fellows on the Proposal must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory progress and final reports. 5.3.3 Notwithstanding a researcher’s eligibility under the criteria above, a researcher may not be a CI if he/she is an undergraduate student or postgraduate student (unless eligible to be a CI because of employment and then only for research which lies outside the scope of the postgraduate studies). Researchers who derive more than 50 per cent of their salary from organisations outside the higher education sector that are funded primarily for research from State/Territory or Commonwealth Government sources are also not eligible to participate as a CI. Such organisations include, but are not limited to, AIMS, ANSTO, CSIRO, DSTO, GA, and State/Territory Research and Development organisations.
5.4 Eligibility criteria for Partner Investigators
5.4.1 To be eligible as a PI, a researcher must: a. not meet the eligibility criteria for a CI; b. demonstrate a significant contribution of cash, in-kind or other material resources from the researcher’s organisation for the proposed project (having regard to the total cost of the project and the relative contribution of each CI); and c. take significant intellectual responsibility as outlined in subsection 5.1.5.
5.5 Eligibility criteria for Fellowships
5.5.1 General eligibility
5.5.1.1 There are a number of different types of Fellowship available. Fellowship candidates must meet the criteria for CIs in subsections 5.3.1a and 5.3.2, plus the eligibility criteria for the Fellowship type being sought as detailed below by 1 January 2007 and for the full term of the funding.
5.5.1.2 Fellowship candidates must have a PhD or equivalent research qualification or experience obtained within the time limits specified for the particular type of Fellowship, unless an exemption has been granted by the ARC. Exemptions may be requested for a Fellowship candidate where the qualification and/or timing of award of qualification are not met, according to the process described in Section 7.1. The request must contain a statement justifying the Fellowship candidate’s special circumstances for an eligibility exemption.
5.5.1.3 If a Fellowship candidate does not have a PhD or equivalent research qualification the exemption request should demonstrate that her/his research record is equivalent to a PhD.
5.5.1.4 If the time limits for qualification are not met, the exemption request should make a case in terms of issues such as research career interruption, including non-research employment, misadventure or carer responsibilities.
5.5.1.5 The ARC may in its absolute discretion determine the validity of and date of effect for the attainment of PhD-equivalent status for researchers – this date will be used for determining eligibility for Fellowship candidates.
5.5.2 Host Organisations for Fellows
5.5.2.1 See subsections 4.1.2 – 4.1.4 for information on Host Organisations at which Fellows may undertake their research.
5.5.3 Fellowships at a Commonwealth-funded Research Centre
5.5.3.1 Funding for Fellows who will be undertaking research which forms a part of a Commonwealth-funded Research Centre’s funded research activities will be limited to the provision of support for salary plus on-costs as specified in Appendix 3. Proposals requesting such Fellowships must contain a letter from the Centre Director confirming that the Fellow, if successful, will have her/his research costs funded for research on the proposed project. This confirmation may be contained in the same letter as that requested in Section 6.3. If the Proposal does not contain this confirmation, then the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
5.5.3.2 Other Proposals involving existing and proposed Fellowships at a Commonwealth-funded Research Centre should have regard to Section 6.3.
5.5.4 Eligibility criteria for Australian Postdoctoral Fellowships (APDs)
5.5.4.1 APDs provide opportunities for researchers at the postdoctoral level to undertake research of national and international significance, and to broaden their research experience.
5.5.4.2 Proposals may seek funding for an APD to commence in 2007 if:
a. the Fellowship candidate has been awarded a PhD or equivalent on or after 1 March 2003; or b. the Fellowship candidate has not yet submitted a PhD thesis but is expected to do so before the end of 2006 in which case the ARC will require official confirmation that the thesis has been submitted by 31 December 2006. An APD Fellowship cannot be taken up until formal advice is received by the ARC that the PhD has been awarded, within a maximum time limit of 6 months, that is, by 30 June 2007. If these conditions have not been satisfied, the offer of funding for the Proposal will be withdrawn; and c. the Fellowship candidate has not been previously awarded an ARC Fellowship.
Tenure details and salary support entitlements for APDs
5.5.4.3 APDs are awarded on a full-time basis only.
5.5.4.4 The ARC salary support for APDs is set out in Appendix 3. There is a choice of salary support options for an APD:
a. 100 per cent salary and on-costs from the ARC for a standard tenure of 3 years; or b. 75 per cent salary and pro rata on-costs from the ARC and 25 per cent from the Host Organisation over 4 years. Under this option a Fellow may spend up to 25 per cent of her/his time on activities other than the proposed project, such as teaching. In view of resource implications, any intending Fellowship candidate should discuss the feasibility of this option with her/his prospective Head of Department. 5.5.5 Eligibility criteria for Australian Research Fellowships and Queen Elizabeth II Fellowships
5.5.5.1 ARFs and QEIIs provide opportunities for established researchers to undertake research of national and international significance and encourage research in Australia by postdoctoral graduates of exceptional promise and proven capacity for original work.
5.5.5.2 While researchers may be proposed for the general ARF/QEII category, the level of appointment which may be recommended is at the ARC’s discretion (see Appendix 3 for ARF/QEII salary support).
5.5.5.3 At the closing time for the submission of Proposals, unless an eligibility exemption has been granted, an ARF/QEII candidate must:
a. have not more than 8 years’ professional experience since the award of her/his PhD if he/she has not been previously awarded an ARF or QEII; b. have not more than 13 years’ professional experience since the award of her/his PhD if he/she has been previously awarded an ARF or QEII; c. satisfy the requirements of Section 3.6.1.2 – limits regarding number of projects – taking into account proposed relinquished Fellowships for those seeking a subsequent ARF/QEII (see d. below);
d. if seeking a subsequent ARF/QEII, have completed the previous ARF/QEII or be in the fourth or fifth year of an existing ARF/QEII. In this case the Fellowship candidate and the relevant Administering Organisation must have agreed, if the Proposal is successful, to relinquish the salary-related Fellowship funding (including on-costs) associated with the existing ARF/QEII on or after 1 January 2007.
5.5.5.4 If a Proposal for a subsequent ARF/QEII is successful, the continuation after 31 December 2006 of any unused funding associated with the previous ARF/QEII will be the subject of negotiation with the ARC. If funding is to continue a case will need to be made, to the satisfaction of the ARC, for the continuation of funding of any research costs for pre-existing projects on which the Fellow is involved.
5.5.5.5 An ARF/QEII may be requested for an existing APD, APDI or APDC Fellow only in the final year of her/his Fellowship.
Tenure details and salary support entitlements
5.5.5.6 ARFs and QEIIs are awarded on a full-time basis only. ARF and QEII Fellows are expected to work full-time on the proposed research and research-related activities. Research-related activities may include supervision of postgraduate students.
5.5.5.7 The standard tenure for ARFs/QEIIs is 5 years. The ARC salary support for ARFs/QEIIs is set out in Appendix 3.
5.5.5.8 The salary support options for ARFs/QEIIs are:
a. 100 per cent salary plus on-costs. This option is available only if the Fellowship candidate has not previously held an ARF/QEII. If an ARF or QEII request is successful, the proposed Fellow must resign any existing continuing position before the Funding Agreement is executed; or b. 50 per cent salary plus pro rata on-costs. This option is available for first or subsequent Fellowships. In this case, the ARC will enter into an agreement with the Administering Organisation and the ARC will provide salary support of 50 per cent of the notional Fellowship salary plus pro rata on-costs. This must at least be matched by the Fellow’s Host Organisation. Fellows being funded on the 50:50 salary support option must still work on their research on a full-time basis. Selection
5.5.5.9 Preference may be given for the award of ARFs to Australian citizens and permanent residents. Non-resident or non-Australian citizen researchers will need to demonstrate a higher level of performance than other ARF candidates or be able to offer special expertise, extensive skills or exceptionally high performance levels not available locally and of benefit to Australian research.
5.5.5.10 For QEII candidates, citizenship is not a consideration in the assessment of the award of the Fellowship.
5.5.5.11 Preference may be given to ARF/QEII candidates who have not previously been awarded an ARF/QEII.
5.5.6 Eligibility criteria for Australian Professorial Fellowships (APFs)
5.5.6.1 APFs provide opportunities for outstanding researchers with proven international reputations to undertake research that is both of major importance in its field and of significant benefit to Australia.
5.5.6.2 From the closing time for the submission of Proposals, unless an eligibility exemption has been granted, an APF candidate must:
a. have a PhD or equivalent qualification or experience. For APFs there is no restriction on the date of award of the Fellowship candidate’s PhD; b. satisfy the requirements of subsection 3.6.1.2 – limits regarding number of projects – taking into account proposed relinquished Fellowships for those seeking a subsequent APF; c. if seeking a subsequent APF, have completed the previous APF or be in the fourth or fifth year of an existing APF. In this case the Fellowship candidate and the relevant Administering Organisation must have agreed, if the Proposal is successful, to relinquish the salary-related Fellowship funding (including on-costs) associated with the existing APF on or after 1 January 2007; d. not hold a continuing research-only position at a professorial level or equivalent at an Eligible Organisation listed in Appendix 2, Item 1.
5.5.6.3 If a Proposal for a subsequent APF is successful, the continuation after 31 December 2006 of any unused funding associated with the previous APF will be the subject of negotiation with the ARC. If funding is to continue a case will need to be made, to the satisfaction of the ARC, for the continuation of any research costs for pre-existing projects on which the Fellow is involved.
5.5.6.4 An APF may be requested for an existing APD, APDI, APDC, ARF or QEII Fellow only in the final year of her/his Fellowship.
Tenure details and salary support entitlements
5.5.6.5 APFs are awarded on a full-time basis only. APF Fellows are expected to work full-time on the proposed research and research-related activities. Research-related activities may include supervision of postgraduate students.
5.5.6.6 The standard tenure for APFs is 5 years. The ARC salary support for APFs is set out in Appendix 3.
5.5.6.7 The salary support options for APFs are:
a. 100 per cent salary plus on-costs. This option is available only if the Fellowship candidate has not previously held an APF or equivalent Fellowship under an earlier ARC scheme, and does not, from the closing time, hold a continuing position at a professorial or equivalent level at an Eligible Organisation listed in Appendix 2, Item 1; or b. 50 per cent salary plus pro rata on-costs. This option is available for first or subsequent Fellowships. In this case, the ARC will enter into an agreement with the Administering Organisation and the ARC will provide salary support of 50 per cent of the notional Fellowship salary plus pro rata on-costs. This must at least be matched by the Fellow’s Host Organisation. Fellows being funded on the 50:50 salary support option must still work on their research on a full-time basis.
Selection
5.5.6.8 Preference may be given for the award of APFs to Australian citizens and permanent residents. Non-resident or non-Australian citizen researchers will need to demonstrate a higher level of performance than other APF candidates or be able to offer special expertise, extensive skills or exceptionally high performance levels not available locally and of benefit to Australian research.
5.5.6.9 Preference may be given to APF candidates who have not previously been awarded an APF.
6 Cross-scheme issues
6.1 Cross-scheme funding
6.1.1 The ARC will not duplicate financial assistance for research already funded by the Commonwealth. The Commonwealth reserves the right to determine if a Proposal duplicates or is likely to duplicate research already being funded by the Commonwealth. In such circumstances the ARC may in its absolute discretion decide to not recommend the Proposal for approval. However, if the ARC considers parts of the proposed project remain worthy of support, the ARC may recommend that a reduced amount of funding be approved for the Proposal.
6.2 Cross-scheme eligibility
6.2.1 If a funding request for any proposed research project, salary or equipment has been or is being submitted to another ARC scheme or to any other Commonwealth funding body, each Proposal must be cross-referenced and summary details of all other funding requests must be included in the Proposal. Proposals must indicate the level of funding obtained, or being sought, from all other Commonwealth funding sources and must list all existing research funding from all Commonwealth sources. If these processes are not observed or the ARC determines that incomplete or inaccurate details were included in the Proposal, the ARC may in its absolute discretion decide to not recommend the Discovery Projects Proposal for approval. 6.2.2 If a researcher is concurrently the subject of multiple Fellowship requests, whether these be in one or more ARC schemes, the Proposals must be cross-referenced. If more than one of these Fellowship requests is approved for funding, only one Fellowship can be accepted. 6.2.3 The ARC may liaise with other funding agencies to discuss any overlap between proposed or existing research projects in order to avoid duplication of funding. The ARC may for this purpose disclose to that agency any information in a Proposal.
6.3 Researchers from Commonwealth-funded Research Centres
6.3.1 Duplication with Commonwealth-funded Research Centres
6.3.1.1 Funding will not be provided for research already funded by a Commonwealth-funded Research Centre or which could reasonably be expected to be supported by the Centre given its research program and its level of funding. The proposed research must not duplicate work that is or will be undertaken by a Commonwealth-funded Research Centre.
Letter showing association between the Proposal and a Commonwealth-funded Research Centre
6.3.1.2 If a Proposal identifies a CI or Fellowship candidate who is substantially associated (subsection 6.3.2 below) with a Commonwealth-funded Research Centre, the Proposal must include a letter from the Centre Director which describes the relationship between the proposed research and the research undertaken by the Centre, and states that “the proposed research does not duplicate work that is already funded or could reasonably be expected to be funded by the Centre”. This letter should be no longer than one page. If such a letter is not provided in the Proposal, the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
6.3.1.3 The ARC reserves the right to determine if a proposed project duplicates work funded or likely to be funded as part of a Commonwealth-funded Research Centre. In making a determination the ARC may have regard to, amongst other matters, the Centre application, Centre funding agreement, business plans, strategic plans and/or Annual Reports. If the ARC considers any information contained in the Discovery Projects Proposal, the accompanying letter from the Centre Director and/or the Centre Annual Report is inaccurate, false, or misleading in a material respect, the ARC may in its absolute discretion decide to not recommend the Proposal for approval. If, however, the ARC considers that parts of the proposed project remain worthy of support, the ARC may recommend that reduced funding be approved for the Proposal. If the ARC becomes aware of duplication of funding after a project has been funded the project may be terminated and the Centre Director may be asked to show cause why any ARC funding for the Commonwealth-funded Research Centre should not be terminated.
6.3.1.4 Please refer to subsection 5.5.3 for further details on the requirements for statements pertaining to Fellowships proposed to be held by researchers within Commonwealth-funded Research Centres which may need to be included in the letter from the Centre Director.
6.3.2 Substantial association
6.3.2.1 The persons nominated as the Centre Director and Deputy Directors in the initial Centre application or their successors, and researchers who receive more than 30% of their salary from a Commonwealth-funded Research Centre, are considered to be “substantially associated with” the Centre.
6.3.2.2 Notwithstanding subsection 6.3.2.1, the ARC reserves the right to determine whether researchers are substantially associated with a Commonwealth-funded Research Centre and also reserves the right to take into account the magnitude of in-kind contributions when deciding whether a researcher is substantially associated with a Centre (see subsection 8.1.1a ii).
6.4 Funding of clinical medical and dental research
6.4.1 The ARC does not fund clinical medical and dental research and training under Discovery Projects. If the ARC determines that a proposed project would fall within this area of research, the Proposal will not be recommended or approved for funding. In some instances, it may not be clear whether or not a Proposal would fall within this area of research. In these cases, an eligibility ruling may be submitted by forwarding a summary of not more than two pages, outlining the proposed research, according to the process described in Section 7.1. 6.4.2 In all cases, whether or not the above process is observed, the ARC reserves the right to decide whether a proposed project falls within the area of clinical medical and/or dental research and training. If the ARC considers that a Proposal falls within this area of research the Proposal will not be recommended or approved for funding. 7 Application process
7.1 Eligibility rulings
7.1.1 These Funding Rules describe a number of situations where it is possible to submit eligibility or exemption requests and seek a ruling from the ARC. All such requests must be submitted on the ARC Eligibility Ruling Request Form via the Research Office of the intended Administering Organisation, and be received by the ARC by 5:00 pm (AEDT) Friday 20 January 2006. 7.1.2 The ARC may, in its absolute discretion, extend closing times for these eligibility ruling requests, but is under no obligation to accept any request lodged after this date.
7.1.3 Such requests must include the supporting information required in each of the situations where rulings can be sought, as described elsewhere in this document. The Research Office will be advised of the outcome of any such request as soon as possible to allow time for a detailed Proposal to be completed if appropriate. If a ruling is given, the ARC will provide an identifying number for the ruling which must be quoted on any associated Proposal which is submitted to the ARC.
7.1.4 Where the circumstances of a Proposal are such that an eligibility exemption or ruling is required but the above process has not been followed or the above deadlines are not met, the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
7.1.5 The ARC Eligibility Ruling Request Form is available on the ARC web site (http://www.arc.gov.au).
7.2 Proposals
7.2.1 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 or its College of Experts. 7.2.2 All details in the Proposal must be current at the time of submission. 7.2.3 In submitting a Proposal, the Administering Organisation and the CI, PI and ARC Fellows nominated in the Proposal are consenting to the Proposal’s being assessed under the ARC’s peer assessment procedures and agree to the release of the Proposal to third parties for assessment purposes.
7.3 Certification
7.3.1 The Administering Organisation must obtain signatures of all parties necessary to allow the proposed project to proceed. These signatures are to be retained by the Administering Organisation which must provide them if requested by the ARC. A form is available for this purpose on the ARC web site (http://www.arc.gov.au). 7.3.2 If a Proposal has not been submitted through the appropriate Research Office/Chief Executive Officer for certification, the Proposal will not be recommended or approved for funding.
7.4 Submission of Proposals
7.4.1 Proposals under Discovery Projects consist of two parts: a. On-line form which must be completed and submitted in the ARC on-line grants application management system accessible via the ARC web site at http://www.arc.gov.au; and b. Additional text which must be submitted as part of the paper version of the Proposal: i. Section B10, “Research record relative to opportunities” and, if an ARC Fellowship is requested, details of the Fellowship candidate’s proposed contribution to the project, the research environment of the Host Organisation and reasons for the Fellowship candidate’s not moving to another organisation if he/she intends to remain at her/his current organisation; ii. Sections C2 and C3, “Justification of funding requested from the ARC” and “Details of non-ARC contributions”; iii. Part E, “Description of proposed project”. iv. If applicable, supporting documentation: - Letter(s) from Centre Director for any participants associated with a Commonwealth-funded Research Centre (which should be clipped to the back of the Proposal); - Section D2, “Statements on progress of ARC-funded projects”. 7.4.2 Format
7.4.2.1 All documents must be written in English and must comply strictly with the format and submission requirements. If a Proposal fails to meet any format and content requirements, the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
7.4.2.2 All pages of additional text should be in black type, use a single column and 12-point font size on white A4 paper, be printed on one side only and unbound, with at least 2 cm margins on each side. As Proposals are scanned electronically, a highly legible font type must be used, such as Arial, Courier, Palatino, Times New Roman and Helvetica. Variants such as mathematical typesetting languages may also be used. References may be reproduced in 10-point font size. Colour graphs or colour photographs may be included but they will be reproduced in black and white and the reproduction quality may be degraded. Finely detailed graphics and grey scale may also not be precisely reproduced.
7.4.2.3 The pages of the Proposal should be numbered consecutively starting from page one.
7.4.3 How to complete and submit a Proposal
7.4.3.1 Administering Organisations must use the form within the ARC’s on-line grants application management system accessible via the ARC web site (http://www.arc.gov.au).
7.4.3.2 A separate document, Discovery Projects Instructions to Applicants for Funding Commencing in 2007, will be available from http://www.arc.gov.au to assist in preparing Proposals.
7.4.3.3 Administering Organisations may have internal closing dates for Proposal preparation which precede ARC closing times. Researchers should comply with the various requirements of their relevant Administering Organisations.
7.4.3.4 Research Offices have access to the ARC on-line grants application management system and will allocate User IDs and passwords to enable researchers at their organisations to access the system and prepare Proposals. If a researcher has previously been allocated access, her/his User ID and password should still be current. If researchers do not have a Research Office or equivalent unit, they should email gamsids@arc.gov.au at the ARC for assistance.
7.4.3.5 Research Offices should submit forms in the ARC’s on-line grants application management system and forward the Proposal and a copy which must, as far as possible, identically match the contents of the submitted on-line application form. Proposals should be sent:
By mail to: Discovery Projects Coordinator Australian Research Council GPO Box 2702 CANBERRA ACT 2601 or, by courier to: Discovery Projects Coordinator Australian Research Council 1st Floor, 8 Brindabella Circuit CANBERRA AIRPORT ACT 2609 7.4.4 Number of copies
7.4.4.1 In addition to the on-line form, a paper version of the Proposal must be submitted in duplicate (one original and one identical copy). The paper version must be clipped, not stapled. The paper version of the Proposal must be submitted with the additional text, including supporting documentation, interleaved appropriately (see Discovery Projects Instructions to Applicants for Funding Commencing in 2007).
7.4.5 Closing time for Proposals
7.4.5.1 The paper versions of the Proposal must be received by the ARC, and the on-line form completed using the ARC’s on-line grants application management system must be submitted, by 5:00 pm (AEDT) Friday 3 March 2006. Proposals may be withdrawn but additions, deletions and modifications will not be accepted after submission, unless invited by the ARC. Subject to this subsection, Proposals received after 5:00 pm (AEDT) Friday 3 March 2006 will not be accepted. The ARC may, in its absolute discretion, and only in exceptional circumstances, accept late Proposals.
8 Selection and approval process
8.1 Selection criteria
8.1.1 All Discovery Projects Proposals which meet the eligibility criteria will be assessed and merit ranked using the following criteria: a. Investigator(s) (40%) i. track record relative to opportunities ii. capacity to undertake the proposed research b. Proposed project content (60%) made up of i. Significance and innovation (30%) - does the research address an important problem? - how will the anticipated outcomes advance the knowledge base of the discipline? - is the research principally focussed upon a topic or outcome that falls within one of the National Research Priorities and associated Priority Goals, and if so how does it address the National Research Priority? - are the Proposal’s aims and concepts novel and innovative? - will new methods or technologies be developed? ii. Approach (20%) - are the conceptual framework, design, methods and analyses adequately developed, well integrated and appropriate to the aims of the Proposal? - how appropriate is the proposed budget? iii. National benefit (10%) - what is the potential of the research project to result in economic and/or social benefits for Australia from the expected results and outcomes of the project? - what is the potential for the research to contribute to the National Research Priorities? 8.1.2 Fellowships
8.1.2.1 There are limited numbers of Fellowships available for funding. The recommending of Fellowships is at the ARC’s discretion, having regard to the excellence of the Fellowship candidate’s track record and the excellence of the research project according to the criteria in subsection 8.1.1 and the matters at subsections 5.5.5.9 - 5.5.5.11 and 5.5.6.8 - 5.5.6.9. In addition, for APDs, ARFs and QEIIs only, preference may be given to Fellowship candidates who intend to move to an organisation other than the one where their PhD was obtained and/or who have had research experience at more than one organisation. Proposals should include a justification for the choice of proposed Host Organisation, particularly if no change of organisation is planned.
8.1.3 ECR-Only Proposals
8.1.3.1 The ARC has identified funds within Discovery Projects specifically for funding ECR-Only Proposals. These identified funds may be used to support ECR-Only Proposals which the ARC considers are of sufficient quality to be recommended for approval.
8.2 Assessment and selection procedure
8.2.1 Assessment and selection process
8.2.1.1 Assessment of Proposals is undertaken by the ARC, which has the right to make decisions and recommendations solely on the basis of its expertise, and which may:
a. determine if a Proposal satisfies the eligibility criteria set out in these Funding Rules; b. identify and determine any other matters that these Funding Rules state may result in the ARC’s not recommending a Proposal for approval; 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 for the Minister as required by the ARC Act.
8.2.1.2 The ARC College of Experts assists with the assessment of Proposals. The ARC has procedures for managing organisational and personal conflicts of interest experienced by members of the College of Experts, members of other ARC Committees, ARC members, and other assessors, and for enabling individuals to withdraw from the assessment process for particular Proposals where any actual or perceived conflict may exist.
8.2.2 Exclusion of Proposals
8.2.2.1 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 ARC considers that the Proposal seeks funding for any of the items listed in subsection 3.4.1 and the ARC considers no other part of the proposed project remains worthy of support (subsection 3.4.2); b. if the Proposal was not submitted by an Eligible Organisation (subsections 4.1.1 and 4.1.2); c. if the ARC considers that a researcher nominated in the Proposal as CI, PI or ARC Fellow does not meet the eligibility criteria as specified in Section 5.1 or Sections 5.3, 5.4 or 5.5 for the role which that researcher is to perform (Section 5.1.6); d. if the ARC determines that a proposed project would fall within the area of clinical medical and dental research and training (subsections 6.4.1 and 6.4.2); or e. if a Proposal has not been submitted through the appropriate Research Office/Chief Executive Officer for certification (subsection 7.3.2).
8.2.2.2 The ARC may in its absolute discretion decide not to recommend for approval a Proposal if:
a. in the opinion of the ARC, any researcher nominated in the Proposal as a CI, PI or ARC Fellow 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 (subsection 1.1.5); b. the limits on the number of Proposals and projects permissible are exceeded (subsection 3.6.1.1); c. the ARC considers that the project described in the Proposal is the same as or similar (in whole or in part) to a project described in another Proposal that is submitted in the same funding round (subsection 3.6.2.1); d. where required the Proposal does not include a letter from a Centre Director; (subsections 5.5.3.1 and 6.3.1.2); e. in the opinion of the ARC, a Proposal duplicates or is likely to duplicate research already being funded by the Commonwealth (subsection 6.1.1); f. where required the Proposal does not include details of other funding or funding requests (subsection 6.2.1); g. the ARC considers inaccurate, false, or misleading material has been provided in relation to the Proposal or if the Administering Organisation and/or researchers nominated in the Proposal as a CI, PI or ARC Fellow have provided the ARC with incomplete, false or misleading information in relation to the reporting of progress of a funded project (subsections 6.2.1, 6.3.1.3 and 11.5.2); h. the Proposal is submitted after the closing time (subsections 7.1.1, 7.1.2 and 7.4.5.1); i. the circumstances of a Proposal are such that an eligibility exemption or ruling is required but the required process has not been followed or the deadlines are not met (subsection 7.1.4); or j. the Proposal fails to meet any format and other submission requirements (Section 7.4). 8.2.3 Assessment
8.2.3.1 In addition to assessment by the ARC, a Proposal may at the ARC’s absolute discretion be assessed by external assessors. Assessors will be drawn from a range of organisations to reduce the potential for conflicts of interest. Proposals will be assessed against the selection criteria set out in these Funding Rules and the reports by the assessors will include written comment.
8.2.3.2 The ARC reserves the right to make recommendations based on any number of assessments or solely on the assessment of the ARC.
8.2.3.3 Administering Organisations may name any person or persons whom they do not wish to assess a Proposal. Detailed written justification must be submitted through the Administering Organisation’s Research Office in a separate letter which must not accompany the Proposal. The letter must be received by the ARC by the closing time for Proposals, 5:00 pm (AEDT), Friday 3 March 2006, and be sent to:
Discovery Projects Coordinator Australian Research Council GPO Box 2702 CANBERRA ACT 2601
8.2.3.4 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.
8.2.4 Rejoinder
8.2.4.1 Assessors’ written comments, if obtained, may be provided 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 2 weeks is given to submit a rejoinder to the ARC. 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 the ARC’s on-line grants application management system.
8.2.5 Recommendations
8.2.5.1 The ARC’s recommendations will be submitted in accordance with the ARC Act to the Minister for Education, Science and Training (the Minister) for consideration. The Minister determines which Proposals will be approved and the amount and timing of financial assistance to be paid to Administering Organisations for approved Proposals.
8.2.5.2 Under the ARC Act, the Minister may not approve for funding any Proposal that fails to meet the eligibility criteria set out in these Funding Rules.
8.3 Offer of funding
8.3.1 Administering Organisations whose Proposals are approved will be: a. notified in a letter of offer that will indicate the financial assistance to be offered; and b. provided with a copy of the draft Funding Agreement for signing by the Administering Organisation. 9 Appeals process 9.1.1 Appeals will be considered only against administrative process issues and not, for example, against committee recommendations or assessor ratings and comments. 9.1.2 Appeals must be made on the appeals form available from the ARC web site (http://www.arc.gov.au). 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 within 28 days of the date on the letter notifying the outcome of Proposals. 9.1.3 Appeals must be addressed to: The Appeals Officer Australian Research Council GPO Box 2702 CANBERRA ACT 2601 10 Administration of funding
10.1 Funding Agreement
10.1.1 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 this 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. 10.1.2 Projects must commence as required by the Funding Agreement. Failure to do so may result in termination of the Funding Agreement. 10.1.3 Administering Organisations should note that the Funding Agreement covers the post-award management, including reporting requirements and financial management. The draft Funding Agreement can be viewed on the ARC website (http://www.arc.gov.au). 10.1.4 Varying the Funding Agreement
10.1.4.1 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 web site (http://www.arc.gov.au). Negotiation or amendment of any clauses of the draft Funding Agreement is at the ARC’s absolute discretion.
10.1.5 Varying the Funding Approval
10.1.5.1 Requests to vary the Funding Approval must be forwarded in writing by the Administering Organisation’s Research Office to the ARC.
10.1.5.2 The Funding Approval may be varied by varying the amount of financial assistance, the duration of financial assistance, the name of the person leading the research project and/or the name of the organisation receiving financial assistance.
10.1.5.3 The Minister may vary the Funding Approval where:
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; c. the person nominated in the Funding Approval as the person leading the research project ceases to lead the project; 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 Discovery Projects objectives. 10.1.6 Reports
10.1.6.1 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.
11 Other matters
11.1 Applicable law
11.1.1 The ARC is required to comply with the requirements of the Privacy Act 1988 and the Freedom of Information Act 1982.
11.2 Confidentiality
11.2.1 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: a. is 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. is disclosed to the ARC’s personnel to enable effective management or auditing of Discovery Projects or any Funding Agreement; c. is disclosed by the ARC to the Minister; d. is 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. is authorised or required by law to be disclosed; f. is disclosed in accordance with any other provision of these Funding Rules or the Funding Agreement; or g. is in the public domain otherwise than due to a breach by the ARC of any obligation of confidence. 11.2.2 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. 11.2.3 Notwithstanding the above, and in addition to the exemptions listed at subsection 11.2.1, the ARC may publicise and report offers or awards of funding, including information about the proposed research; the name of nominated CIs, PIs or ARC 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; 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).
11.3 Project description
11.3.1 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.
11.4 Intellectual property
11.4.1 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 Discovery Projects. 11.4.2 However, all Proposals become the property of the ARC on submission. 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. 11.4.3 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’s submitting its Proposal. 11.4.4 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 at http://www.arc.gov.au) and accord with any intellectual property policies of the researchers’ organisations.
11.5 Incomplete or misleading information
11.5.1 It is a serious offence to provide false or misleading information to the Commonwealth. 11.5.2 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 not recommend the Proposal for approval. If an Administering Organisation and/or researcher nominated in a Proposal as a CI, PI or ARC Fellow provides the ARC incomplete, false or misleading information in relation to either the Proposal for, or reporting of progress of, a project the ARC may in its absolute discretion decide to not recommend the Proposal for approval or terminate the project if funded and require the Administering Organisation to repay some or all of the funding. 11.5.3 If the ARC believes that omissions, or inclusion of misleading information, are intentional, or if there is evidence of malpractice, 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. 11.5.4 Examples of malpractice include, 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).
11.6 Insurance and liabilities
11.6.1 Administering Organisations are subject to the liability, indemnity and insurance provisions of the Funding Agreement. The draft Funding Agreement can be viewed on the ARC website (http://www.arc.gov.au).
Appendix 1: National Research Priorities and associated Priority Goals Research Priority 1: An Environmentally Sustainable Australia Transforming the way we utilise our land, water, mineral and energy resources through a better understanding of human and environmental systems and the use of new technologies Natural resources have traditionally fuelled our national and regional economies. They have the potential to generate further wealth and employment opportunities in the future. But our natural resources and biodiversity must be used on a sustainable basis so that the benefits continue to be enjoyed by future generations. Australia faces significant environmental challenges: · Efficient and sustainable water use is a critically important issue for our economic and social development; · Significant land degradation issues, such as salinity, need to be arrested to underpin our agricultural production systems; · Climate change can be expected to have complex, long-term consequences for the environment, for our agricultural and marine production systems and for communities; and · The cleanliness and efficiency of our energy production systems should be enhanced. There is substantial effort underway to develop more efficient water utilisation practices, to protect our rivers and groundwater resources, and to protect and remediate our fragile soils. Our agricultural and mining industries are being transformed through the adoption of new technologies, and the development of new types of foods. This will help to revitalise our regional communities and generate substantial export earnings for the nation over the coming decades. The Government is committed to meeting the greenhouse gas emissions target set for Australia at Kyoto. Australia is well placed to take an international lead in developing new and improved energy technologies and in capturing and ‘sequestering’ carbon dioxide. Other opportunities lie in managing and using our unique, rich land- and marine-based biodiversity, and in developing our deep earth resources. Australia has a strong record of achievement in research in fields in the natural sciences, such as agriculture, natural resource management, climate change, horticulture, forestry, mining, energy, and marine sciences, as well as in the social sciences and humanities. We must build on these strengths to improve our competitive advantages while enhancing our understanding of natural systems and the interplay of human activities. In particular, there needs to be an increased understanding of the contributions of human behaviour to environmental and climate change, and on appropriate adaptive responses and strategies. To understand and manage these complex interactions better will require significant collaboration within the research community and with other stakeholders. Priority goals for research fall in the seven areas of water utilisation, transforming resource-based industries, overcoming land degradation, developing cleaner, more efficient fuels and energy sources, managing biodiversity, deep earth resources and responding to climate change and variability. Priority Goals · Water – a critical resource Sustainable ways of improving water productivity, using less water in agriculture and other industries, providing increased protection of rivers and groundwater and the re-use of urban and industrial waste waters. Australia is one of the driest continents and is dependent upon access to freshwater supplies for economic and social development. It has a complex geological structure, a highly variable climate, unique ecosystems, flora and fauna and a distinctive indigenous and settler history. Enhancing our understanding of the links between these factors and water availability will result in a better understanding of sustainable water management practices. · Transforming existing industries New technologies for resource-based industries to deliver substantial increases in national wealth while minimising environmental impacts on land and sea. Resource-based industries underpin much of Australia’s prosperity and have the potential to do so in the future. For example, Australia remains highly prospective for minerals discoveries and highly attractive for the development of new era foods from agricultural and marine sources. Our competitive advantage and national well being will depend on research and on the development and adoption of new technologies. · Overcoming soil loss, salinity and acidity Identifying causes and solutions to land degradation using a multidisciplinary approach to restore land surfaces. The Australian landscape is fragile: soil salinity, acidity, and nutrient levels pose significant, long term challenges for agriculture and the environment. Research is helping to find solutions to these problems. For example, the National Land and Water Resources Audit shows the extent of salinity, soil erosion and soil acidification in the Australian environment and illustrates Australia’s leading edge in national mapping of critical resource data. Further multidisciplinary effort is required to develop sustainable land management practices that are appropriate for Australian conditions and mitigate major land degradation processes and increase biodiversity. · Reducing and capturing emissions in transport and energy generation Alternative transport technologies and clean combustion and efficient new power generation systems and capture and sequestration of carbon dioxide. Australia is well positioned to produce world class solutions to reduce and capture greenhouse gas emissions and the Government is committed to meeting the emissions target set for Australia at Kyoto. We are also well placed to develop alternative energy technologies and ecologically sustainable transport and power generation systems.
· Sustainable use of Australia’s biodiversity Managing and protecting Australia’s terrestrial and marine biodiversity both for its own value and to develop long term use of ecosystem goods and services ranging from fisheries to ecotourism. Australia has a unique and rich flora and fauna. Many of our complex ecosystems – on which our agricultural, fisheries and tourism industries depend - have adapted to events such as drought and fire, and have been shaped by indigenous and settler management practices. There is a need for a more comprehensive understanding of these natural systems and the interplay with human activities, and the effects of management and protection measures. · Developing deep earth resources Smart high-technology exploration methodologies, including imaging and mapping the deep earth and ocean floors, and novel efficient ways of commodity extraction and processing (examples include minerals, oil and gas) while minimising negative ecological and social impacts. Many of Australia’s known mineral assets may be nearly exhausted within the next decade. New land-based deposits are believed to be buried deeper in the crust and the deep marine areas surrounding Australia are also largely unexplored. New technologies, such as remote sensing, indicate scientists are on the brink of being able to ‘see’ inside the earth and identify deeply buried deposits. · Responding to climate change and variability Increasing our understanding of the impact of climate change and variability at the regional level across Australia, and addressing the consequences of these factors on the environment and on communities. Australia already has a highly variable climate, and climate change can be expected to have further significant impacts. It is important to enhance our understanding of the consequences of climate change and variability at the regional level across Australia, and the implications for the environment and for communities. It is also important to explore beneficial adaptation strategies to climate change and variability to ensure ongoing social, economic and environmental well being. Research Priority 2: Promoting and Maintaining Good Health Promoting good health and well being for all Australians Average life expectancies have increased markedly in recent decades. Australians also expect to lead longer and healthier lives in the future, and to remain productive and independent over an extended period. Enabling individuals and families to make choices that lead to healthy, productive and fulfilling lives will yield economic and social benefits and add materially to national well being. Australians expect that their children and grandchildren should have a healthy start to life. Developing strategies to promote the healthy development of young Australians, and addressing the causes and reducing the impact of the genetic, social and environmental factors which diminish their life potential will be critical. A revolution is also underway at the other end of the life cycle. Australia, like many other developed nations, is undergoing a major demographic shift involving significant growth in the aged population. To meet this challenge, it will be important to promote healthy ageing by developing better social and medical strategies to ensure that older Australians enjoy healthy and productive lives. Informed insights into the causes of disease and of mental and physical degeneration will contribute to the achievement of this goal. All Australians stand to benefit from preventive healthcare through the adoption of healthier attitudes, habits and lifestyles. Evidence-based preventive interventions may help reduce the incidence and severity of many diseases, including major health problems such as cardiovascular and neurodegenerative diseases, mental ill-health, obesity, diabetes, asthma and chronic inflammatory conditions. These could include interventions that reduce exposure to contamination of the physical environment (eg air pollution). Improvements in the health and well being of the young, of older Australians and in preventive healthcare will be underpinned by research. However, while Australia has an enviable record in health and medical research, the research effort is spread across the many universities, hospitals and health and medical research institutes, resulting in critical mass only in limited areas of research. There is also a need to draw on multidisciplinary approaches that include research contributions from the social sciences and humanities. This priority is designed to promote health and prevent disease through a more focused and collaborative effort. Priority goals for research fall in the four areas of a healthy start to life, ageing well, ageing productively, preventive healthcare and strengthening Australia’s social and economic fabric. Priority Goals · A healthy start to life Counteracting the impact of genetic, social and environmental factors which predispose infants and children to ill health and reduce their well being and life potential. Human health in the developing foetus and in early childhood is critical to the future well being of the adult. Research shows that health and well being in early childhood is predictive of later positive outcomes, and that health in middle and late childhood is also crucial. This goal supports the Government’s National Agenda for Early Childhood initiative. · Ageing well, ageing productively Developing better social, medical and population health strategies to improve the mental and physical capacities of ageing people. Australia’s population is ageing, with a significant projected increase in the number of people aged over 65 and over 85. While Australia is relatively well placed compared with many OECD nations, major shifts in cultural expectations and attitudes about ageing are necessary to respond constructively, at both an individual and population level. A healthy aged population will contribute actively to the life of the nation through participation in the labour market or through voluntary work. This goal supports the Government’s National Strategy for an Ageing Australia. · Preventive healthcare New ethical, evidence-based strategies to promote health and prevent disease through the adoption of healthier lifestyles and diet, and the development of health-promoting products. Preventive healthcare research will improve the prediction and prevention of disease and injury for all Australians through the adoption of healthier behaviours, lifestyles and environments. Research will generate an improvement in the design, delivery and uptake of programmes such as exercise-based rehabilitation. There are several major disease targets amenable to immediate study, such as cardiovascular health, neurodegenerative diseases, mental ill-health, obesity, diabetes, asthma and chronic inflammatory conditions. Research on prevention will emphasise interdisciplinary approaches, including research on ethics, drawing on contributions from the social sciences and humanities, as well as from the health and medical sciences. It will also focus on developing new health promoting foods and nutraceuticals. This goal supports the Government’s Focus on Prevention initiative. · Strengthening Australia's social and economic fabric Understanding and strengthening key elements of Australia's social and economic fabric to help families and individuals live healthy, productive, and fulfilling lives. Living in today's society involves a complex web of choices, yet many of the traditional support structures are weaker than they have been in the past. Enabling people to make choices that lead to positive pathways to self reliance and supportive family structures is more important than ever. The interactions between the social safety net, social and economic participation, financial incentives and community and private sources of support are critical in helping people maximise their potential and achieve good, healthy, lifetime outcomes. In the decade ahead, it will be vital to understand and support the drivers for workforce participation and the broader social and economic trends influencing Australian families and communities. This goal supports the Government's welfare reform and participation agendas. Research in this area will emphasise interdisciplinary approaches, drawing on contributions from the economic, behavioural and social sciences Research Priority 3: Frontier Technologies for Building and Transforming Australian Industries Stimulating the growth of world-class Australian industries using innovative
technologies developed from cutting-edge research Progress and wealth often derive from the unforeseen application of new discoveries. Australia must be at the leading edge if it is to stay abreast of international developments and take advantage of opportunities. Our national capabilities in emerging sciences and their underpinning disciplines determine our capacity to develop and implement new technologies. Australia has a strong base of expertise, skills and technological capacities in the fundamental sciences and key technologies. Our strengths are in a wide range of areas such as biotechnology, material sciences, information and communications technology (ICT), photonics, nanotechnology and sensor technology. ICT is currently the critical enabling technology and is a major contributor to national productivity and growth. But breakthrough science underpins technological advancements in many areas and Australia needs to foster an environment that stimulates creativity and innovation. Applications for frontier technologies are potentially very large. Australia has the capacity to exploit niche markets for new products and services. Australia also has an enviable track record as an innovator and developer of advanced materials and must grasp the opportunity to stay ahead. Smart information use involving improved data management, intelligent transport systems and digital media to develop creative applications for digital technologies provides huge opportunities to improve the performance of key Australian industries. Australia needs to invest in this research area as it is fundamental to our future competitiveness and well being. This priority will help to strengthen the capacity of Australian researchers to participate in new areas of research, enhance Australia’s international scientific reputation, stimulate local expertise, and help create vibrant new industries. A better understanding of the conditions that are conducive to innovation will ensure that Australia’s investment in research will maximise the benefits for Australia. Enhanced research effort will also be achieved through initiatives that develop a critical mass of researchers in key areas. Priority goals for research fall in the five areas of breakthrough science, frontier technologies, advanced materials, smart information use, and promoting an innovation culture and economy. Priority Goals · Breakthrough science Better understanding of the fundamental processes that will advance knowledge and facilitate the development of technological innovations. Breakthrough science underpins technological innovation across a range of industries critical to maintaining Australia’s position as a developed country. Some examples include bio-, cultural- and geo-informatics, nano-assembly and quantum computing. Technological advances are often unexpected and a strong foundation in mathematics and the fundamental sciences will provide an environment that fosters creativity and innovation. Early participation in leading edge areas of research will enable Australian researchers to benefit more fully from international developments. · Frontier technologies Enhanced capacity in frontier technologies to power world-class industries of the future and build on Australia’s strengths in research and innovation (examples include nanotechnology, biotechnology, ICT, photonics, genomics/phenomics, and complex systems). The potential applications of frontier technologies across a range of industries in Australia are vast. Australia has significant capacity to exploit niche markets for new products and services emerging from frontier technologies. Australia has world-class research expertise in many such areas. Some examples include nanotechnology, biotechnology, ICT, photonics, genomics and phenomics. Also important are advanced frameworks such as complex systems in which these technologies are applied. Future directions in this priority area need to target the cutting-edge science critical for each emerging technology. · Advanced materials Advanced materials for applications in construction, communications, transport, agriculture and medicine (examples include ceramics, organics, biomaterials, smart material and fabrics, composites, polymers and light metals). The development of advanced materials will underpin growth in many areas of industrial and economic activity in Australia. Australia has substantial infrastructure in this area and an enviable track record as an innovator and developer of advanced materials. The era of advanced materials is just beginning, in spite of the tremendous progress in recent years. Substantial scientific and technological challenges remain ahead, including the development of more sophisticated and specialised materials. Some examples include ceramics, organics, biomaterials, smart materials and fabrics, composites, polymers, and light metals. · Smart information use Improved data management for existing and new business applications and creative applications for digital technologies (examples include e-finance, interactive systems, multi-platform media, creative industries, digital media creative design, content generation and imaging). ICT applications are providing huge opportunities to deliver new systems, products, business solutions, and to make more efficient use of infrastructure. Examples include e-finance, multi-media, content generation and imaging. Improved data management is central to the future competitiveness of key industries such as agriculture, biotechnology, finance, banking, education, transport, government, and health and ‘info-tainment’. The ability of organisations to operate virtually and collaborate across huge distances in Australia and internationally hinges on our capabilities in this area. The media and creative industries are among the fastest growing sectors of the new economy. Research is needed to exploit the huge potential in the digital media industry. · Promoting an innovation culture and economy Maximising Australia’s creative and technological capability by understanding the factors conducive to innovation and its acceptance. Understanding the factors that lead to highly creative and innovative ideas and concepts, and the conditions that lead to their introduction, transfer and uptake is critical for any nation that aspires to lead the world in breakthrough science, frontier technologies, and in other forms of innovation. Promoting an innovation culture and economy requires research with a focus on developing and fostering human talent, societal and cultural values favourable to creativity and innovation, and structures and processes for encouraging and managing innovation. Research Priority 4: Safeguarding Australia Safeguarding Australia from terrorism, crime, invasive diseases and pests, strengthening our understanding of Australia’s place in the region and the world, and securing our infrastructure, particularly with respect to our digital systems. The importance of security and safety to Australia has been underscored by recent events. Australia has to be capable of anticipating and tackling critical threats to society, strategic areas of the national economy and the environment. The threats can potentially come from within and outside Australia. The world is now characterised by the widespread and rapid movements of people, digitally coded data, goods and services, and exotic biological agents. Critical infrastructure in Australia is increasingly dependent on digital technology for its management and integration. Information protection and the integrity of security systems are now more important than ever before. It is also necessary to protect the status of Australia as a nation free of many of the diseases affecting primary production around the world. Terrorism has emerged as a very real global threat and crime is taking a significant toll on Australian society and economy. Maintaining the operational advantage of Australia’s defence forces through superior capabilities is also fundamental to our national security. Enhancing our nation’s understanding of social, political and cultural issues will help Australia to engage with our neighbours and the wider global community and to respond to emerging issues. Leading edge research in Australia is already yielding high dividends and as a national research priority will improve the effectiveness of that contribution. Stronger research capabilities will ensure that solutions are tailored to Australia’s unique circumstances, reflecting its geographic features and small population. Greater collaboration within the research community and with other stakeholders will allow us to better understand and manage potential threats to Australia. Harnessing the knowledge and capabilities across Australia offers us the best chance of developing innovative and rapid solutions to serious threats. Australia’s international relations and its regional influence will be strengthened through new collaborative approaches and new science and technologies that enhance security and safety. The heightened interest in personal and electronic security across the world also provides opportunities for Australian solutions. Priority goals for research fall in the five areas of critical infrastructure, understanding our region and the world, protecting Australia from invasive diseases and pests, protecting Australia from terrorism and crime, and transformational defence technologies. Priority goals · Critical infrastructure Protecting Australia’s critical infrastructure including our financial, energy, communications, and transport systems. Protecting our critical infrastructure is important to national security and to the social and economic well being of Australia. An important aspect of this priority goal is e-security which is an enabler of e-commerce. Maintaining a critical mass of research in e-security will be essential in providing Australia with the tools to protect our way of life. · Understanding our region and the world Enhancing Australia’s capacity to interpret and engage with its regional and global environment through a greater understanding of languages, societies, politics and cultures. Social, cultural and religious issues are of growing significance due to the insecurities of globalisation and the increasing role of non-state players in the security environment. Australia’s capacity to interpret and engage with its regional and global environment will be substantially improved by enhancing its research base in apposite languages, societies and cultures. An approach that enhances Australia’s capacity to interpret itself to the rest of the world is also needed. · Protecting Australia from invasive diseases and pests Counteract the impact of invasive species through the application of new technologies and by integrating approaches across agencies and jurisdictions. Australia is free of many of the pests and diseases affecting primary production around the world. This status needs to be protected as the introduction of exotic species has the potential to adversely affect our exports and the environment. Australia already has strong skills and expertise in this area of research and further work will offer immediate benefits to the community. A greater level of coordination of our research effort will mean that Australia can more effectively develop innovative and rapid solutions to serious threats. · Protecting Australia from terrorism and crime By promoting a healthy and diverse research and development system that anticipates threats and supports core competencies in modern and rapid identification techniques. Protecting Australia from terrorism is now more important than ever before in light of recent events and our involvement in the ‘war on terror’. The new threat requires a more sophisticated response which should harness Australia’s research capabilities, and which will focus on all phases of counter-terrorism; prevention, preparedness, detection, response and recovery. Crime takes a significant toll on Australian society and economy. The June 2000 report from the Prime Minister’s Science, Engineering and Innovation Council estimated that crime costs Australia at least $18 billion per annum. Personal identification, information protection and the integrity of security systems are fundamental towards ensuring the national security of Australia. An effective solution will include building on Australia’s existing strengths in rapid detection using new analytical technologies and managing significant data collections. · Transformational defence technologies Transform military operations for the defence of Australia by providing superior technologies, better information and improved ways of operation. Australia has a small defence force to protect a large continent and a substantial maritime region of responsibility. Its operational advantage has been maintained through a superior capability which is dependent on leveraging innovative technologies. Although some benefits can be gained from overseas research, Australia has to conduct its own research to address uniquely Australian demands. A systems approach which harnesses the research capabilities of all stakeholders is essential to the successful development and introduction of innovative technologies.
Appendix 2. Eligible Organisations Item 1. Organisations eligible to submit Proposals for the full range of funding available in Discovery Projects. 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 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 Australian Maritime College University of Tasmania Northern Territory Charles Darwin University Batchelor Institute of Indigenous Tertiary Education Australian Capital Territory The Australian National University University of Canberra Multi-State Australian Catholic University Museums and herbaria which are Australian publicly funded organisations not directly funded to carry out research, but with research-related purposes and objectives. Item 2. Organisations which may submit Proposals requesting funding only for salary and on-costs for APDs or QEIIs. Proposals containing requests only for an APD or QEII may be submitted by organisations in addition to those in Item 1. above if, in the opinion of the ARC, the organisation provides an appropriate research training environment. Examples of such organisations include, but are not limited to, Commonwealth-funded research organisations or State/Territory-funded research organisations such as: a. Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS); b. Australian Institute of Marine Science (AIMS); c. Australian Nuclear Science and Technology Organisation (ANSTO); d. Commonwealth Scientific and Industrial Research Organisation (CSIRO); e. Defence Science and Technology Organisation (DSTO); f. Geoscience Australia (GA); and g. State/Territory Research and Development organisations.
Appendix 3. Notional Fellowship salaries, relocation allowances and teaching relief contributions Item 1. ARC Notional Fellowship Salaries for Funding Commencing in 2007 Salaries are indexed annually.
Fellowship
Step/Option
Salary
28% on-costs
TOTAL
Australian Postdoctoral Fellowship;
Australian Postdoctoral Fellowship Industry;
Indigenous Research Fellowship
3 year, 100% option 4 year, 75/25% option
$60,180 $45,135
$16,850 $12,638
$77,030 $57,773
Australian Research Fellowship
100% option 50% option
$75,480 $37,740
$21,134 $10,567
$96,614 $48,307
Queen Elizabeth II Fellowship
100% option 50% option
$89,760 $44,880
$25,133 $12,566
$114,893 $57,446
Australian Professorial Fellowship
Step 1 – 100% option 50% option
$104,040 $52,020
$29,131 $14,566
$133,171 $66,586
Australian Professorial Fellowship
Step 2 – 100% option 50% option
$120,360 $60,180
$33,701 $16,850
$154,061 $77,030
Federation Fellowship
$255,989
$71,677
$327,666
Item 2. Maximum ARC 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 only be funded up to a maximum of one return economy class airfare for each person approved for relocation. Item 3. Notional Teaching Relief contribution (if approved) If teaching relief is approved for a Proposal, the funding contribution for teaching relief is limited to a maximum rate of $32,294 (2007$) for 6 months (or pro rata for lesser periods), regardless of the level of appointment of the staff member.
