Australian Research Council Act 2001 - Discovery Projects - Funding Rules for funding commencing in 2009
8Roles and eligibility for researchers
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8.1.1 Roles that may be undertaken by researchers under DP 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.
8.1.2 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 8.2). ECR is not a researcher role.
8.1.3 A Proposal must nominate at least one CI, APD, ARF/QEII or APF candidate.
8.1.4 All CIs, PIs and ARC Fellows nominated on a Proposal must satisfy the eligibility criteria for the role they are to perform, as specified in Section 8 of these Funding Rules.
Note: If a person has been nominated for an incorrect role on a Proposal (that is, for a role for which he/she does not satisfy the eligibility criteria), the Proposal may be funded only if, upon request by the ARC, the Administering Organisation provides the ARC with relevant certifications from the person, and evidence that he/she satisfies the eligibility criteria, for the role he/she is to perform.
8.1.5 The first-named researcher nominated on a Proposal who is a CI or ARC Fellow on a Proposal will be considered the ‘Project Leader’ of the project.
8.1.6 A researcher nominated as a CI, PI or ARC Fellow must take significant intellectual responsibility for the proposed project, 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.
8.1.7 At the time of the submission of a Proposal all obligations regarding previously funded projects involving the nominated 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.
8.1.8 If the ARC considers that a researcher nominated in a Proposal as a CI, PI or ARC Fellow does not meet the eligibility criteria in this Section or Sections 8.3, 8.4 or 8.5 for the role which that researcher is to perform, the Proposal will not be recommended or approved for funding.
Section 8 - Australian Research Council Act 2001 - Discovery Projects - Funding Rules for funding commencing in 2009 - Roles and eligibility for researchers | Zoe
8.2 Early Career Researchers
8.2.1 Definition of ECR
8.2.1.1 Early Career Researcher (ECR) means a researcher who has a PhD awarded on or after 6 March 2003. If a researcher does not satisfy this criterion but considers herself/himself to have equivalent research degree or experience of similar duration and wishes to be nominated as having ECR status, a case must be presented within the Proposal (see the “DP Instructions to Applicants for funding commencing in 2009”). Circumstances which the ARC may take into account in determining whether to approve ECR status for a person who does not meet the qualification or timing requirements could, among other things, 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.
8.2.1.2 The ARC identifies a target level of funding within DP for projects on which all listed researchers have ECR status (ECR-Only Proposals).
8.2.1.3 If a Proposal nominates a CI, PI or ARC Fellow who is determined by the ARC not to have ECR status, the Proposal is not an ECR-Only Proposal.
8.3 Eligibility criteria for Chief Investigators
8.3.1 To be eligible to be a CI, a person must meet the criteria stipulated in Section 8.3 and subsections 8.1.6 and 8.1.7.
8.3.2 A researcher nominated on a Proposal as a CI must meet at least one of the following criteria at 1 January 2009, and for the full term of her/his participation in the project:
a. be an employee of, and derive at least 50 per cent of her/his Earnings from, an Eligible Organisation listed in Appendix 2, Item 1; or
b. be a holder of an Adjunct Appointment or equivalent, at an Eligible Organisation listed in Appendix 2, Item 1 and not derive more than 50 per cent of her/his Earnings from organisations outside the higher education sector that are funded predominantly from State/Territory or Commonwealth Government sources if the Government funding for her/his organisation, or her/his part of the organisation, is provided mainly for research activities. Such organisations include, but are not limited to, Commonwealth-funded Research Centres which are outside the higher education sector, AIMS, ANSTO, CSIRO, DSTO, GA, and State/Territory Research and Development organisations and research areas within a Government entity; or
c. be a Federation Fellow.
8.3.3 He/she must reside predominantly in Australia for the full term of her/his participation in the project. If the person does not have permanent resident status he/she must obtain temporary or permanent resident status from the Department of Immigration and Citizenship before he/she may commence on the project.
8.3.4 Notwithstanding a researcher’s eligibility under the criteria above or below in this Section, a researcher undertaking undergraduate or postgraduate studies is not eligible to be a CI, unless the researcher’s undergraduate or postgraduate studies lie outside the scope and area of the research proposed in the Proposal.
8.3.5 If a Proposal has been approved for funding and any or all of the CIs are at any time during the project no longer able to work as proposed on the project, the project may be continued under replacement CIs provided that:
a. approval is obtained from the Minister or the ARC for the change in CI; and
b. a replacement CI meets the following criteria at the time he/she is nominated as a replacement and for the full term of her/his participation in the project:
i he/she must take significant intellectual responsibility for the proposed project 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 and contribution 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; and
ii. he/she must reside predominantly in Australia for the full term of her/his participation in the project; and
iii. all obligations regarding previously funded projects involving the nominated replacement CI must have been fulfilled to the satisfaction of the ARC; and
iv. he/she must be:
(a) an employee of, and derive at least 50 per cent of her/his Earnings from, an Eligible Organisation listed in Appendix 2, Item 1; or
(b) be a holder of an Adjunct Appointment or equivalent, at an Eligible Organisation listed in Appendix 2, Item 1 and not derive more than 50 per cent of her/his Earnings from organisations outside the higher education sector that are funded predominantly from State/Territory or Commonwealth Government sources if the Government funding for her/his organisation, or her/his part of the organisation, is provided mainly for research activities. Such organisations include, but are not limited to, Commonwealth-funded Research Centres which are outside the higher education sector, AIMS, ANSTO, CSIRO, DSTO, GA, and State/Territory Research and Development organisations and research areas within a Government entity; or
(c) a Federation Fellow.
8.4 Eligibility criteria for Partner Investigators
8.4.1 To be eligible to be nominated as a PI on a Proposal, a researcher must:
a. not meet the eligibility criteria specified in Section 8.3.2 for a CI;
b. secure a significant contribution of cash, in-kind or other resources from the researcher’s organisation for the proposed project (having regard to the total cost of the project and the relative contribution of other investigators); and
c. take significant intellectual responsibility as outlined in subsection 8.1.6.
8.4.2 If a Proposal has been approved for funding and any or all PIs are at any time during the project no longer able to work as proposed on the project, the project may be continued under replacement PIs provided that:
a. approval is obtained from the Minister or the ARC for the change in PI; and
b. the replacement PI(s):
meet the eligibility criteria specified in subsection 8.4.1b and 8.4.1.c at the time of her/his nomination and for the full term of her/his participation in the project; and
do not meet the eligibility criteria specified in Section 8.3.5.b.iv for a replacement CI.
8.5 Eligibility criteria for Fellowships
8.5.1 General eligibility
8.5.1.1 There are a number of different types of Fellowship available. Fellowship candidates must meet the criteria for CIs in subsections 8.1.6, 8.1.7 and 8.3.3, plus the eligibility criteria for the Fellowship type being sought as detailed below.
8.5.1.2 Fellowship candidates must:
a. have been awarded a PhD within the time limits specified for the particular type of Fellowship; or
b. have obtained approval from the ARC, via the submission of an Eligibility Exemption Request pursuant to the process outlined in Section 10.1, for the:
recognition of an equivalent research degree or experience; and/or
relaxation of the qualification and/or timing requirements.
8.5.1.3 The Eligibility Exemption Request must contain supporting information justifying the Fellowship candidate’s special circumstances for an eligibility exemption, including information indicating that the candidate’s research degree/experience is equivalent to a PhD obtained within the time limits specified and/or a case justifying the relaxation of the timing requirements in terms of issues such as, but not limited to, research career interruption, non-research employment, misadventure or carer responsibilities. Exemptions may be given by the ARC only if the exemption has been sought in accordance with the process described in Section 10.1.
8.5.1.4 The ARC may, in its absolute discretion, determine the validity and date of effect for the attainment of PhD-equivalent status for researchers for the purpose of determining the eligibility of Fellowship candidates and whether to relax the timing requirements.
8.5.1.5 Unless otherwise specified in these Funding Rules, Proposals requesting a Fellowship must be made on the basis that the Fellow’s research will be carried out on a full-time basis only. Nevertheless, if a Fellowship Proposal is successful the Fellow may, during the term of the Fellowship, request approval from the ARC for conversion of the Fellowship to part-time status for a limited period or periods of time. The ARC may, in its absolute discretion, approve the conversion of the Fellowship to part-time status for one or more periods of time.
8.5.2 Host Organisations for Fellows
8.5.2.1 See subsections 7.1.1– 7.1.2 for information on Host Organisations at which Fellows may undertake their research.
8.5.3 Fellowships at a Commonwealth-funded Research Centre
8.5.3.1 Funding for Fellows who will be undertaking research which forms a part of a Commonwealth-funded Research Centre’s 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 by the Centre for research on the proposed project. This confirmation may be contained in the same letter as that requested in subsection 9.3.1.2. If the Proposal does not contain this confirmation, then the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
8.5.3.2 Other Proposals involving existing and proposed Fellowships at a Commonwealth-funded Research Centre should have regard to Section 9.3.
8.5.4 Eligibility criteria for Australian Postdoctoral Fellowships (APDs)
8.5.4.1 APDs provide opportunities for researchers at the postdoctoral level to undertake research of national and international significance, and to broaden their research experience.
8.5.4.2 A Proposal may seek funding for an APD only if:
a. the Fellowship candidate has been awarded a PhD on or after 6 March 2005 or has obtained approval from the ARC, via the submission of an Eligibility Exemption Request pursuant to the process outlined in Section 10.1, for the recognition of an equivalent research degree or experience and/or relaxation of the qualification and/or timing requirements; or
b. the Fellowship candidate has not yet submitted a PhD thesis but is expected to do so before the end of 2008 in which case the ARC will require official confirmation that the thesis has been submitted by 31 December 2008. An APD Fellowship cannot be commenced until formal advice is received by the ARC that the PhD has been awarded within a maximum time limit of 6 months of the thesis submission date. If these conditions have not been satisfied, the offer of funding for the Proposal may be withdrawn and the Funding Agreement may be terminated; and
c. the Fellowship candidate has not been previously awarded an ARC Fellowship.
8.5.4.3 A researcher who has held an IRF (or ARC Research Cadetship-Aboriginal and Torres Strait Islander award) may be nominated for an APD only during or after the final year of her/his IRF/Research Cadetship.
Tenure details and salary support entitlements for APDs
8.5.4.4 The notional ARC salary support for APDs is set out in Appendix 3. The following salary support options are available for an APD:
a. 100 per cent salary and on-costs from the ARC for 3 years; or
b. 75 per cent salary and pro rata on-costs from the ARC 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. The Administering Organisation is required to provide the remaining 25 per cent of salary support for the Fellowship candidate to engage in teaching or other professional activities. However, if the Fellowship candidate requests that the other 25 per cent of time be used on non-remunerated activities (such as family or carer responsibilities), the Administering Organisation may at its absolute discretion permit the candidate to undertake a 75 per cent Fellowship-only role.
8.5.5 Eligibility criteria for Australian Research Fellowships and Queen Elizabeth II Fellowships (ARF/QEIIs)
8.5.5.1 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.
8.5.5.2 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).
8.5.5.3 At the closing time for the submission of Proposals an ARF/QEII candidate must:
a. if he/she has not been previously awarded an ARF or QEII, have not more than 8 years’ professional experience since the award of her/his PhD or have obtained approval from the ARC, via the submission of an Eligibility Exemption Request pursuant to the process outlined in Section 10.1, for the recognition of an equivalent research degree or experience and/or relaxation of the qualification and/or timing requirements;
b. if he/she has been previously awarded an ARF or QEII, have not more than 13 years’ professional experience since the award of her/his PhD or have obtained approval from the ARC, via the submission of an Eligibility Exemption Request pursuant to the process outlined in Section 10.1, for the recognition of an equivalent research degree or experience and/or relaxation of the qualification and/or timing requirements;
c. satisfy the requirements of subsection 6.6.1.2 – 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. If there is any salary-related Fellowship funding (including on-costs) in respect of the candidate which is:
i. payable by the ARC on or after 1 January 2009; or
ii. unexpended by the relevant administering organisation as at 1 January 2009;
the candidate and the relevant administering organisation must have agreed, prior to the submission of the Proposal, that such salary-related funding (including on-costs) associated with the existing ARF/QEII will be relinquished if the Proposal is successful.
e. If a Proposal for a subsequent ARF/QEII is successful, the continuation after 31 December 2008 of any unused funding associated with the previous ARF/QEII will be the subject of negotiation with the ARC. Funding may be permitted to continue only if a case has been 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.
8.5.5.4 An ARF/QEII may be requested for an existing APD or APDI Fellow only in or after the final year of her/his Fellowship.
Tenure details and salary support entitlements
8.5.5.5 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.
8.5.5.6 Funding may be provided for ARFs/QEIIs for 5 years. The notional ARC salary support for ARFs/QEIIs is set out in Appendix 3.
8.5.5.7 Salary support for ARFs/QEIIs may be requested, and funded, only as follows:
a. 100 per cent salary plus on-costs. This option is available only if the Fellowship candidate has not previously held an ARF/QEII; 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 Administering Organisation. Fellows being funded on the 50:50 salary support option must still work on their research on a full-time basis.
Selection
8.5.5.8 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.
8.5.5.9 For QEII candidates, citizenship is not a consideration in the assessment of the award of the Fellowship.
8.5.5.10 Preference may be given to ARF/QEII candidates who have not previously been awarded an ARF/QEII.
8.5.6 Eligibility criteria for Australian Professorial Fellowships (APFs)
8.5.6.1 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.
8.5.6.2 APFs are available in two options – 100% salary plus on-costs and 50% salary plus pro-rata on-costs.
8.5.6.3 At the closing time for the submission of Proposals, unless an Eligibility Exemption Request has been approved by the ARC, an APF candidate must:
a. have been awarded a PhD, or have been approved by the ARC as having a research degree or experience equivalent to the award of a PhD (Note: For APFs there is no restriction on the date of award of the Fellowship candidate’s PhD);
b. satisfy the requirements of subsection 6.6.1.2 – limits regarding number of projects – taking into account proposed relinquished Fellowships for candidates who hold an existing ARC Fellowship or Federation Fellowship as required under subsection 8.5.6.4;
c. not hold a continuing research-only position as a Professor or equivalent at an Eligible Organisation listed in Appendix 2, Item 1; and
d. if the candidate holds an existing ARC Fellowship or Federation Fellowship, have completed or be in the final or penultimate year of her/his fellowship (see subsection 6.2.4 regarding the “term” of an ARC Fellowship).
8.5.6.4 If the APF candidate holds an existing ARC Fellowship or Federation Fellowship and there is any salary-related fellowship funding (including on-costs) in respect of the candidate which is:
a. payable by the ARC on or after 1 January 2009; or
b. unexpended by the relevant administering organisation as at 1 January 2009;
the candidate and the relevant administering organisation must have agreed, prior to the submission of the Proposal, that such salary-related funding (including on-costs) associated with the existing ARC Fellowship or Federation Fellowship will be relinquished if the Proposal is successful.
8.5.6.5 The continuation after 31 December 2008 of any unused funding associated with a previous ARC Fellowship will be the subject of negotiation with the ARC. Funding associated with a previous ARC Fellowship may be permitted to continue only if a case has been 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.
Tenure details and salary support entitlements
8.5.6.6 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.
8.5.6.7 Funding may be provided for APFs for 5 years. The notional ARC salary support for APFs is set out in Appendix 3.
8.5.6.8 Salary support for APFs may be requested, and funded, only as follows:
a. 100 per cent salary plus on-costs. At the closing time for the submission of proposals, unless an Eligibility Exemption Request has been approved by the ARC, an APF candidate for the 100% option must:
not have held an APF or Federation Fellowship previously and; either
have held an ARF, QEII, or a fellowship awarded on a competitive basis which in the opinion of the ARC is of at least similar status, which ceased or is due to cease after 31 December 2006 (see subsection 6.2.4 regarding the “term” of a fellowship); or
be proposing to move employment to an Eligible Organisation specified in Appendix 2, Item 1 from an organisation which is not specified in Appendix 2, Item 1.
b. 50 per cent salary plus pro rata on-costs. This option is available for first or subsequent APFs. 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 Administering Organisation. Fellows being funded on the 50% salary support option must still work on their research on a full-time basis.
Selection
8.5.6.9 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.
8.5.6.10 Preference may be given to APF candidates who have not previously been awarded an APF.
8.5.6.11 APF candidates who hold a continuing position at an Eligible Organisation listed in Appendix 2, Item 1 must demonstrate that the award of the APF will substantially enhance their capacity to undertake research.