Section 5 - Australian Research Council Act 2001 - Discovery Projects - Funding Rules for funding commencing in 2007 - Roles and eligibility for researchers | Zoe
Australian Research Council Act 2001 - Discovery Projects - Funding Rules for funding commencing in 2007
5Roles and eligibility for researchers
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5.1.1 Roles that may be undertaken by researchers under Discovery Projects are:
Chief Investigator (CI);
Partner Investigator (PI); or
ARC Fellow:
Australian Postdoctoral Fellow;
Australian Research Fellow/Queen Elizabeth II Fellow; or
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:
not meet the eligibility criteria for a CI;
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
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:
the Fellowship candidate has been awarded a PhD or equivalent on or after 1 March 2003; or
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
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:
100 per cent salary and on-costs from the ARC for a standard tenure of 3 years; or
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:
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;
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;
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:
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
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:
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;
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;
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;
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.