Australian Research Council Discovery Indigenous Researchers Development Funding Rules for funding commencing in 2011

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Discovery Indigenous Researchers Development Funding Rules for funding commencing in 2011

 

Australian Research Council Act 2001

 

I, KIM CARR, Minister for Innovation, Industry, Science and Research, having satisfied myself of the matters set out in section 59 of the Australian Research Council Act 2001, approve these Funding Rules under section 60 of that Act.

 

 

 

 

Dated Wednesday, 10 March 2010

 

 

 

 

KIM CARR

Minister for Innovation, Industry, Science and Research

 

 

 

 

 

 

 

 

Table of Contents

 

Acronyms

Key Dates

Contacts

1. Name of Funding Rules

2. Commencement

3. Definitions

4. Introduction

4.1 Overview and NCGP Objectives

4.2 Discovery Indigenous Researchers Development

4.3 Selection criteria

4.4 Fellowships

4.5 Conflict of Interest

5. Changes from last year

6. Funding

6.1 Level of funding

6.2 Period of funding

6.3 Types of research supported

6.4 Restrictions on budget items

6.5 Areas of investigation/work not supported

6.6 Number of Proposals and funded projects

6.7 Duplication

7. Organisational types, roles and eligibility

7.1 Eligible Organisations

8. Eligibility criteria for projects including a PhD or Masters (by research) stipend

9. Roles and eligibility for researchers

9.1 Researcher roles and general eligibility

9.2 Eligibility criteria for Chief Investigators

9.3 General eligibility criteria for Fellowships

9.4 Eligibility criteria for Indigenous Researcher Fellowships

9.5 Mentors and Supervisors

9.6 Eligibility criteria for Australian Research Fellowships - Indigenous

10. Cross-scheme issues

10.1 Cross-scheme eligibility

10.2 Non-duplication and Cross-scheme funding

10.3 Funding of Medical and Dental Research

11. Application process

11.1 Eligibility Exemption

11.2 Proposals

12. Submission of Proposals

12.1 Submission of Proposals

12.2 Proposal Content

12.3 Format

12.4 How to complete and submit a Proposal

12.5 Closing time for Proposals

12.6 Certification

13. Selection and approval process

13.1 Assessment and selection process

13.2 Rejoinder

13.3 Recommendations and offer of funding

13.4 Exclusion of Proposals

14. Appeals process

Appendix A

Fundamental principles and requirements

A1.1 Ethics and research practices

A1.2 Acknowledging ARC support

A1.3 Dissemination of research outputs

A1.4 Applicable law

A1.5 Confidentiality

A1.6 Project description

A1.7 Intellectual property

A1.8 Incomplete or misleading information

A1.9 Insurance and liabilities

Appendix B

Administration of Funding

B1.1 Funding Agreement

B1.2 Varying the Funding Agreement

B1.3 Varying the funding approval

B1.4 Reports

Appendix C

Eligible Organisations

C1.1 Higher Education Organisations eligible to submit Proposals

C1.2 Other Organisations eligible to submit Proposals

Appendix D

Notional Fellowship salaries, relocation allowances and teaching relief contributions

D1.1 ARC Notional Fellowship Salaries for funding commencing in 2011

D1.2 Maximum ARC Fellows Relocation Allowances

D1.3 Notional Teaching Relief contribution (if approved)

Acronyms

The following acronyms are used in ARC Funding Rules.

 

Key Dates

• Closing time for Eligibility Exemption Requests 5.00 pm (AEDT)Friday 26 March 2010
• Closing time for submission of Proposals 5.00 pm (AEST)Wednesday 12 May 2010
• Deadline for letters requesting non-use of an assessor 5.00 pm (AEST)Wednesday 12 May 2010
• Dates for the award of a PhD (or having achieved equivalent status) to be eligible for:
• Indigenous Researcher Fellowship (Section 9.4 of the Funding Rules) On or after 12 May 2007
• Australian Research Fellowship - Indigenous(Section 9.6 of the Funding Rules) On or after 12 May 2002

Contacts

The ARC deals with thousands of Proposals each year. Researchers should, therefore, direct requests for information to the Research Office within their organisation.

 

Enquiries must be directed:

• by mail to: by courier to:
• Discovery Indigenous Researchers Development CoordinatorAustralian Research CouncilGPO Box 2702CANBERRA ACT 2601 Discovery Indigenous Researchers Development CoordinatorAustralian Research Council1st Floor, 8 Brindabella CircuitCANBERRA AIRPORT ACT 2609
• Email: ARC-DiscoveryProjects@arc.gov.auPhone: 02 6287 6600Fax: 02 6287 6638Web: www.arc.gov.au

Appeals must be addressed and sent:

1. Name of Funding Rules

  These Funding Rules are the Australian Research Council Discovery Indigenous                Researchers Development Funding Rules for funding commencing in 2011.

2. Commencement

  The Funding Rules shall take effect upon registration on the Federal Register of  Legislative Instruments.

3. Definitions

   In these Funding Rules, unless the contrary intention appears:

 Adjunct or Emeritus Appointment or equivalent means that an Eligible  Organisation has a formal agreement with a researcher which establishes an               ongoing association with the Eligible Organisation, of the nature of an emeritus               or honorary academic or visiting fellow. The ARC may seek documentary               evidence of such an association if it is considered necessary.

 

Administering Organisation means an Eligible Organisation which submits a Proposal for funding under DIRD and which will be responsible for the administration of the funding if the proposed               project is approved for funding.

 

Applicant means the Administering Organisation. Funding is provided to Administering Organisations, not to individual researchers.

 

 ARC means the Australian Research Council, as established under the ARC Act.

 

 ARC Act means the Australian Research Council Act 2001, or the Act.

 

 ARC Centre means a research centre wholly or partly funded by the ARC and  includes ARC Centres of Excellence, ARC Centres, ARC Special Research               Centres and co-funded Centres of Excellence.

 

 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 Laureate Fellowship (FL), Australian Postdoctoral               Fellowship (APD), Australian Postdoctoral Fellowship (Industry) (APDI),               Australian Professorial Fellowship (APF), ARC Centre Fellowship, ARC               International Fellowship (ARCIF), Australian Research Fellowship (ARF),               Australian Research Fellowship - Indigenous (ARF-I), Federation               Fellowship (FF), Future Fellowship (FT), Indigenous Researcher Fellowship               (IRF), Linkage Industry Fellowship (LIF),  Queen Elizabeth II Fellowship               (QEII), and Super Science Fellowship (SSF).  ARC Discovery Indigenous Researchers Development Coordinator means the  occupant, from time to time, of the position of Scheme Coordinator (ARC               Discovery Indigenous Researchers Development) in the Australian Research               Council, or any other person to whom the administration of the ARC Discovery               Indigenous Researchers Development scheme may be allocated.

 

 Australian Laureate Fellow means a researcher whose salary is funded under  the ARC Australian Laureate Fellowships scheme.

 

 ARC website is www.arc.gov.au/

 

 Australian Postdoctoral Fellow means a researcher whose salary is wholly or  partly funded under an APD (under the Discovery Projects scheme).

 

 Australian Postdoctoral Fellow (Industry) means a researcher whose salary is  wholly or partly funded under an APDI (under the Linkage Projects scheme).

 

 Australian Professorial Fellow means a researcher whose salary is wholly or  partly funded under an APF (under the Discovery Projects scheme).

 

 Australian Research Fellow means a researcher whose salary is wholly or partly  funded under an ARF (under the Discovery Projects scheme).

 

 Australian Research Fellow - Indigenous means a researcher whose salary is  funded under an ARF-I (under the DIRD scheme).

 

 Centre Director means the person appointed to direct the programs of a  Commonwealth-funded Research Centre.

 

Chief Investigator (CI) means a researcher named in the Proposal who satisfies the eligibility criteria for a Chief Investigator.

 

 Collaborating Organisation means any organisation which is identified in the  Proposal as a contributor to the project.

 

 Commonwealth means the Commonwealth of Australia.

 

 Commonwealth-funded Research Centre means a research centre substantially  funded from Commonwealth funding sources and includes ARC Centres,               Commonwealth Research Centres and National Health and Medical Research               Council (NHMRC) Program Grants and Centres of Clinical Research Excellence.               It does not include Research Networks funded by the ARC.

 

 Conflict of Interest means an actual or perceived conflict between a person’s  public duty and their private or personal interest.

 

 Earnings means the amount paid directly or indirectly as remuneration for work  a person undertakes or services he/she performs. It includes amounts paid under               employment and/or consultancy arrangements.

 

               Eligible Organisation means an organisation which is eligible to apply for and                             receive funding under the DIRD Funding Rules as specified in Section 7.1.

 

 Eligibility Exemption Request means a request submitted by an Applicant to  the ARC for a relaxation of the eligibility requirements stipulated in the Funding               Rules.

 

 Federation Fellow means a researcher whose salary is funded under the ARC  Federation Fellowship scheme.

 

 Future Fellow means a researcher whose salary is funded under the ARC Future  Fellowships scheme.

 

 Funding Agreement means the agreement entered into between the ARC and  the Administering Organisation if the Administering Organisation’s Proposal is               approved for funding. This Agreement sets out the terms and conditions under               which the Commonwealth is to provide funding and the Administering               Organisation is to be responsible for administration of the funding and the               conduct of the project.

 

 Funding Rules means this document.

 

 GST has the meaning as given in section 195-1 of the A New Tax System (Goods  and Services Tax) Act 1999.

 

 Host Organisation means an organisation at which a Fellow undertakes her/his  research while holding an ARC Fellowship.

 

 Indigenous Researcher means a researcher, who is of Australian Aboriginal or  Torres Strait Islander descent, identifies as an Australian Aboriginal or Torres               Strait Islander and is accepted as an Australian Aboriginal or Torres Strait               Islander in the community in which he/she lives or has lived.

 

 Indigenous Researcher Fellow means a researcher whose salary is wholly or  partly funded under an IRF (under the Discovery Indigenous Researchers               Development scheme).

 

 Medical and Dental Research means research and/or training which, in the  opinion of the ARC, has a significant focus on near-term clinical medical               (including dental) outcomes as defined on the ARC website.

 

               Mentor means a person with appropriate experience and skills who will provide                             guidance, advice and support to assist a CI or IRF in the development and/or                              advancement of her/his research career.

 

               Minister means the Minister from time to time responsible for the administration                             of the ARC Act, or the Minister’s delegate.

 

 National Innovation Priority means a national innovation priority as detailed on  the ARC website.

               National Research Priority means a national research priority as detailed on                             the ARC website.

 

               Project means a project, including the individual fellowships, approved by the                             Minister for funding.

 

               Project Leader means the first-named researcher nominated on a Proposal who                             is a CI or ARC Fellow.

 

 Proposal means a request to the ARC for the provision of financial assistance for  a research project which is submitted in accordance with Funding Rules approved               by the Minister.

 

 Queen Elizabeth II Fellow means a researcher whose salary is wholly or partly  funded under a QEII (under the Discovery Projects scheme).

 

 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.

 

 Special Studies Program means an approved program providing release from  normal duties for research related activity or professional development purposes.

 

 Supervisor means a person with relevant academic or research expertise (or  equivalent), who will be responsible for overseeing and monitoring the progress               of the research work undertaken by a CI or IRF and will provide direction and               feedback in order to facilitate a successful outcome. This person is generally               expected to be knowledgeable about, and conversant with, the relevant               research topic.

4. Introduction

4.1 Overview and NCGP Objectives

4.1.1   This document sets out the Funding Rules for Discovery Indigenous Researchers                              Development, a scheme funded under the National Competitive Grants                                           Program (NCGP), which comply with the requirements of the ARC Act.

4.1.2   All parties involved in Proposals should read and understand the Funding Rules and                             the draft Funding Agreement (which is available on the ARC website)                                           before submitting a Proposal to the ARC. Applicants are responsible for ensuring                                           that their Proposals are complete and accurate.

4.1.3  Funding under DIRD 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.

4.1.4   These Funding Rules are current as at February 2010 and have been prepared in                              accordance with the requirements of the ARC Act in force then.  These Funding                                           Rules are subject to change at any time, for reasons including any subsequent                                           amendment to, replacement or supplementation of the ARC Act.

4.1.5   The ARC is 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, to provide policy advice related to                                           research, and to evaluate the quality of university research

4.1.6   The ARC has established a range of competitive funding schemes for the support of                             research and research training under the framework of the NCGP. A list of current                             NCGP funding schemes is available on the ARC website.

4.1.7   By the operation of a range of funding schemes under the NCGP, the ARC aims to:

 a. maintain and build on existing research and research training;

 b. build the scale and focus of research and research training;

 c. encourage cross-disciplinary approaches to research and research training;

 d. facilitate collaborative approaches to research and research training; and

 e. support research and research training of national benefit, including in the following National Research Priorities:

  i. An Environmentally Sustainable Australia;

  ii. Promoting and Maintaining Good Health;

  iii. Frontier Technologies for Building and Transforming Australian  Industries; and

  iv. Safeguarding Australia.

 f. support the development of the National Innovation System by promoting the National Innovation Priorities relevant for NCGP.  The National Innovation Priorities can be found on the ARC website.

4.1.8   Descriptions of the National Research Priorities and their associated Priority Goals                             can be found on the ARC website.

4.2 Discovery Indigenous Researchers Development

4.2.1  DIRD provides support for Indigenous Researchers to undertake research projects which may lead to an advance in the understanding of a subject or contribute to the solution of an important practical               problem.

4.2.2  DIRD also provides funding for research projects undertaken by Indigenous Researchers as part of the requirements of their postgraduate research degrees.

4.2.3  The objectives of DIRD are to:

 a. develop the research expertise of Indigenous Researchers who have not participated as a Chief Investigator on a project funded under any of the ARC’s other funding schemes or previously been awarded an ARC Fellowship;

 b. support fundamental research and research training by Indigenous Australian individuals and teams;

 c. provide Indigenous Researchers with experience in the preparation of research funding Proposals;

 d. attract and retain established Indigenous Researchers; and

 e. expand Australia’s knowledge base and research capability.

4.3 Selection criteria

4.3.1  All Proposals which meet the eligibility criteria will be assessed and merit ranked using the following selection criteria:

 a. Investigator(s) (40%)

 - research opportunity and performance evidence;

 - capacity to undertake the proposed research;

 - the extent to which the successful completion of the research project will train and equip the researcher to compete for other research funding.

 b. Proposed project content (40%)

 - does the research address an important problem?

 - how will the anticipated outcomes advance the knowledge base of the discipline?

 - are the Proposal’s aims, approach and concepts novel and innovative?

 - will new methods or technologies be developed?

 - are the conceptual framework, design, methods and analyses adequately developed and appropriate to the aims of the Proposal?

 - how appropriate is the proposed budget?

 - what is the potential of the research project to result in economic, environmental and/or social benefits for Australia?

 c. Quality of the research environment and/or Mentor and/or Supervisor (20%)

 - if applicable, the nature and level of support provided by the Mentor and/or Supervisor;

 - the nature and level of support provided by the Administering Organisation;

 - the quality  and relevance of the proposed project to the research undertaken at the Administering Organisation.

4.4 Fellowships

4.4.1   Indigenous Researcher Fellowships and Australian Research Fellowships -                              Indigenous are available under Discovery Indigenous Researchers Development.

4.4.2  There are a 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 research opportunity and performance               evidence and the excellence of the research project and Host Organisation               according to the selection criteria in subsection 4.3.1. Proposals should include               details of the Fellowship candidate’s proposed contribution to the project and               justification for the choice of proposed Host Organisation, particularly if no               change of organisation is planned.

4.5 Conflict of Interest

4.5.1   All parties involved in or associated with Proposals and ARC-funded research                              projects are required to disclose to the ARC, and the other parties involved in the                                           Proposal/project (including all Collaborating Organisations), any Conflict of                                           Interest which has the potential to influence, or appear to influence, the request for                             funding, or the research and activities, publications and media reports related to the                             Proposal/project. Such conflicts must be disclosed to the ARC at the time of the                                           submission of a Proposal, and in reporting on ARC-funded research projects, and                                           notified to the other parties as soon as practicable after the Conflict of Interest is                                           identified.

4.5.2   If, in the opinion of the ARC, any party involved in or associated with a Proposal                              has failed to disclose any such conflict of interest, the ARC may in its absolute                                           discretion decide to not recommend for approval any or all Proposals involving that                             party.

4.5.3   If a Conflict of Interest exists or arises, the Administering Organisation must have                             documented processes in place for managing the Conflict of Interest for the                                           duration of the project. Such processes must comply with the NHMRC/ARC/UA                                           Australian              Code for the Responsible Conduct of Research (2007) and any relevant                             successor document. In the event of any inconsistency between the original and any                             successor document, the latter document is to apply. 

5. Changes from last year

5.1  A number of clarifications and revisions have been made in these Funding Rules for funding commencing in 2011 (the 2011 DIRD Funding Rules). Significant changes from the 2010 DIRD Funding Rules include:

 a. The sections on applying for Eligibility Exemption Requests for consideration of whether the Proposal comprises medical and dental research have been deleted (subsection 10.3);

 b. The definition of medical and dental research has been clarified and elaborated (subsection 10.3);

 c. The Administering Organisation is required to assess the Proposal as to whether it is near-term clinical medical (including dental) research as defined on the ARC website, and that it does not overlap with research to be funded or is funded by the NHMRC.  By submitting the Proposal through the relevant Officer, the Administering Organisation will certify that the Proposal is not research that has near-term clinical medical (including dental) outcomes and does not overlap with medical and dental research funded by or to be funded by the NHMRC (subsection 12.6.2) ;

 d The incorporation of the seven National Innovation Priorities (subsection 4.1.7.f);

 e. The Administering Organisation is no longer required to obtain handwritten signatures to attest to the agreement of all parties necessary to allow the proposed project to proceed. Instead, the Administering Organisation will certify that they have obtained the agreement of all parties necessary to allow the proposed project to proceed through ARC online application system (subsection 11.2.4. The ARC reserves the right to seek the evidence from the Administering Organisation to support the certification of Proposals (subsection 12.6.3);

 f. Track Record has been replaced by Research Opportunity and Performance Evidence (subsection 4.3.1);

 g. Hardcopies of Eligibility Exemption Requests and Requests not to Assess are no longer required.  These documents should be submitted in electronic format only (Section 11 and subsection 13.1.5);

 h. Proposals may include a request for a PhD or Masters (by research) stipend for an Indigenous student (Section 8).

5.2   The list of changes above is not comprehensive. Applicants and other parties                              involved in Proposals should read and understand the entire Funding Rules and                                           standard Funding Agreement before a Proposal is submitted to the ARC.

6. Funding

6.1 Level of funding

6.1.1   All amounts referred to in these Funding Rules are to be read as exclusive of GST                              (if any), unless expressly stated otherwise.

6.1.2  The minimum level of funding which will be provided by the ARC for a project under this funding round is $10,000 per calendar year. The maximum level of funding for a project that does not include a request for an ARF-I is $200,000 total over the life of the project, whilst the maximum level of funding for a project that includes a request for an ARF-I is $400,000 total over the life of the project.

6.1.3   If an ARC Fellowship is requested, the Proposal should include a request for the                              Fellowship salary and on-costs in the budget. ARC Fellowships are funded at levels                             outlined in Appendix D.

6.1.4   The ARC reserves the right to recommend funding for a project at levels which                              may differ from those requested in the Proposal.

6.2 Period of funding

6.2.1   Funding may be payable under these Funding Rules for Discovery Indigenous                              Researchers Development projects in respect of the financial year 2010-2011 and                                           any subsequent years to which the ARC Act applies. Funding for approved projects                             will commence with effect 1 January 2011, unless other arrangements are approved                             by the Minister.

6.2.2  Projects may be funded for 1 to 3 years, subject to sufficient funding being available for D I R the provisions of the ARC Act, and continued satisfactory progress of the project.

6.2.3   IRFs may be awarded funding for 1 or 2 years.

6.2.4   ARF-I may be awarded funding for 2 or 3 years.

6.2.5   For the purposes of these Funding Rules, the term of a researcher’s Fellowship is                              determined based on the date on which the researcher commenced the Fellowship.                             In the case of Fellowships awarded under these Funding Rules, the commencement                             date will be 1 January 2011, unless the commencement has been deferred to a later                             date approved by the ARC.

6.2.6   The ARC may recommend funding for a project for a duration different from that                              requested in the Proposal.

6.3 Types of research supported

6.3.1   Subject to Sections 6.4 and 6.5, DIRDsupports all types of research, including:

 a. pure basic research which is experimental and theoretical work undertaken to acquire new knowledge without looking for long-term benefits other than the advancement of knowledge;

 b. strategic basic research which is experimental and theoretical work undertaken to acquire new knowledge directed into specified broad areas that are expected to lead to useful discoveries. Such research provides the broad base of knowledge necessary to solve recognised practical problems; and

 c. applied research which is original work undertaken primarily to acquire new knowledge with a specific application in view. Such research is undertaken either to determine possible uses for the findings of basic research or to determine new ways of achieving some specific and predetermined objectives.

6.3.2   The following project costs may be supported under DIRD:

 a. personnel (salaries and on-costs), including:

  i. Fellowships as outlined in Section 9.3;

  ii. research associates, technicians and laboratory attendants;

  iii. PhD or Masters (by research) stipend (APA equivalent)

  but excluding those items not permitted pursuant to subsection 6.4.2.b and 6.4.2.e;

 b. teaching relief for Chief Investigators, but only where the request is justified to the satisfaction of the ARC (see subsection 6.4.2.c);

 c. equipment;

 d. maintenance;

 e.  access to workshop services linked to and justified against the project (e.g. machine tools and qualified technicians available to each member of staff, according to need, for research); and

 f. travel relevant to the Proposal.

6.4 Restrictions on budget items

6.4.1  DIRD will not fund budget items which do not directly support a research project.  The ARC may in its absolute discretion determine whether any project costs meet this requirement.

6.4.2   DIRD has restrictions on the following budget items:

 a. Capital works and general infrastructure costs are not funded by the ARC, in whole or in part, under D I R D.

 b. The Commonwealth will not provide support, in whole or in part, to meet the salaries of CIs, Mentors or Supervisors under D I R D. If a Proposal requests salary funding for a CI, Mentor or Supervisor, the Proposal will not be recommended or approved for funding.

 c. DIRD funding is not usually provided to fund teaching and/or teaching relief. Commonwealth funds may be used for teaching relief only if specifically approved for that purpose by the selection advisory committee at the time of assessment of the Proposal. The ARC may fund justified teaching relief for up to 6 months in each consecutive year. If approved, the funding contribution will be in accordance with Appendix D subsection D1.3, and will be a Special Condition.

 d. Funds are not provided for travel or related expenses for researchers when on a Special Studies Program.

 e. Funds are not provided to pay the fees of international students or the Higher Education Contribution Scheme (HECS) and Higher Education Loan Programme (HELP) liabilities for students. Funds are not provided for PhD or Masters (by research) recipients who are not enrolled at an Eligible Organisation.

 f. The Administering Organisation must agree to provide the following basic facilities (where relevant to the Proposal), which will not be funded under Discovery Indigenous Researchers Development:

  i. accommodation (e.g. laboratory and office, suitably equipped  and furnished in standard ways);

  ii. access to film or music editing facilities;

  iii. access to a basic library collection;

  iv. standard reference materials or funds for abstracting services;

  v. provision of computers, including laptops (excluding access to  high-performance computers or other specialised applications               that are justified against the project) and basic computing               facilities such as printers, word processing and other               standard software; and

  vi. use of photocopiers, telephones, mail, fax, email and internet  services.

 g. Costs not directly related to a project will not be funded, for example costs of a personal nature. 

6.5 Areas of investigation/work not supported

6.5.1   DIRD does not support:

 a. medical and dental research – see Section 10.3;

 b. activities leading solely to the creation or performance of a work of art, including visual art, musical compositions, drama, dance, film, broadcasts, designs and literary works;

 c. projects such as uncritical compilations and purely descriptive catalogues or editions that do not involve original research;

 d. production of teaching materials, even though some research may be involved in their production;

 e. compilation of data, unless this is an integral part of a project which is judged to be necessary, in which case the Proposal must include a detailed basis for, and statement indicating, the research objectives to which the data would contribute and provide the specific research questions to be addressed based on the significance and academic argument; and/or

 f. development of research aids and tools (including computer programs), unless they form an integral part of the Proposal, in which case the Proposal must include a detailed basis for, and statement indicating, the research objectives to which these activities would contribute and provide the specific research questions to be addressed based on their significance and academic argument.

6.5.2   If the ARC considers that a Proposal seeks funding for any of the items not                              permitted under Sections 6.4 or 6.5, then to that extent part or all of the Proposal                                           will not be recommended or approved for funding.  However, if the ARC considers                             that other parts of the proposed project remain worthy of support, the ARC may                                           recommend that a reduced amount of funding be approved for the Proposal.

6.6 Number of Proposals and funded projects

6.6.1   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 number of projects permitted in 2011 (see subsection 6.6.2). For the                                           purposes of applying these limits, the number of Proposals and ongoing research                                           projects are evaluated as at the closing time for the submission of Proposals.  This                                           timing is regardless of any subsequent change in, or withdrawal of, Proposals.                                           Submitting Proposals that exceed any or all of these limits may result in all                                           Proposals involving the relevant researcher(s) not being recommended or approved                             for funding.

6.6.2   Specific limits on number of projects funded for 2011:

6.6.3   For the purposes of the limits applying in 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 notified in the letter of offer of funding provided by the ARC.                             For example, if a project was originally funded for two years and funding is                                           subsequently carried over to a third year, the project will still be considered for                                           these purposes as funded for the original two years. 

6.7 Duplication

 Only one Proposal may be submitted to Discovery Indigenous Researchers  Development in respect of a particular project in the same funding round,               regardless of any variation in the listed researchers and/or Administering               Organisation. Otherwise, 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.

7. Organisational types, roles and eligibility

7.1 Eligible Organisations

7.1.1   A Proposal may be submitted only by an Eligible Organisation. Appendix C                              specifies Eligible Organisations for Discovery Indigenous Researchers                                           Development.

7.1.2   Fellowships may be undertaken at Eligible Organisations specified in Appendix C.

8. Eligibility criteria for projects including a PhD or Masters (by  research) stipend

8.1   PhD or Masters (by research)

8.1.1.   A Proposal may request a single PhD or Masters (by research) stipend provided                              that:

 a. the PhD or Masters (by research) student is an Indigenous Australian;

 b. the PhD or Masters (by research) Indigenous Student must be eligible for enrolment into the degree by the Eligible Organisation;

 c. the supervisor of the stipend recipient must be a named participant on the Project and can be either a Chief Investigator, Mentor or Supervisor, and must also be suitably qualified to supervise the stipend recipient;

 d. the Project must include a research component suitable to a PhD or Masters (by research);

 e. a Chief Investigator is not eligible to receive a stipend;

 f. the value of the stipend will be equivalent to an Australian Postgraduate Award stipend; and

 g. the Eligible Organisation must provide an appropriate research environment for the stipend recipient.

9. Roles and eligibility for researchers

9.1 Researcher roles and general eligibility

9.1.1.   Roles that may be undertaken by researchers under Discovery Indigenous                              Researchers Development are:

 a. Chief Investigator;

 b. Indigenous Researcher Fellow;

 c. Australian Research Fellow Indigenous;

 d. Mentor, or

 e. Supervisor.

9.1.2   A Proposal must nominate at least one of the following: a CI, or IRF or ARF-I                              candidate.

9.1.3   All CIs and Fellowship candidates nominated on a Proposal must satisfy the                              eligibility criteria for the role they are to perform, as specified in Section 9 of these                             Funding Rules.

9.1.4   The first-named researcher nominated on a Proposal who is a CI or Fellow on a                              Proposal will be considered the ‘Project Leader’.

9.1.5   A researcher nominated as a CI or Fellow must take significant intellectual                              responsibility for the conduct of the proposed project, and for 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.

9.1.6   At the time of the submission of a Proposal all obligations regarding previously                              funded projects involving the nominated CIs and 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.

9.1.7 If the ARC considers that a researcher nominated in a Proposal as a CI or Fellow  does not meet the eligibility criteria in this Section or Sections 9.2 or 9.3 for the               role which that researcher is to perform, the Proposal will not be recommended or               approved for funding.

9.1.8   CIs and IRF candidates may nominate Mentors and, where applicable, Supervisors                             of their postgraduate research, who will support them in developing as researchers.                             There is no requirement for Mentors and Supervisors to be Indigenous Researchers.

9.2 Eligibility criteria for Chief Investigators

9.2.1   A researcher nominated on a Proposal as a CI must meet at least one of the                              following criteria as at 1 January 2011, and for the full term of her/his participation                             in the project:

 a. be an employee of an Eligible Organisation listed in Appendix C for at least half-time (i.e., 50 per cent of her/his time per Full Time Equivalent); or

 b. be a holder of an Emeritus, Adjunct or equivalent appointment at an Eligible Organisation listed in Appendix C and not be employed more than half-time (i.e., 50 per cent of her/his time per Full Time Equivalent) in a position at another organisation that:

  i. is outside the higher education sector, and

  ii. engages in research which is funded predominantly from  State/Territory or Commonwealth Government funding sources; or

 c. be enrolled as a student for a postgraduate research degree as at 1 January 2011.

9.2.2   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.

9.2.3   He/she must be an Indigenous Researcher.

9.2.4   He/she must:

 a. have successfully completed a Masters (by research) or PhD qualification, or has obtained approval from the ARC, via the submission of an Eligibility Exemption Request as outlined in Section 11.1, for the recognition of an equivalent research degree or experience; or

 b. be enrolled in a Masters (by research) or PhD degree where the research project which is the subject of the Proposal forms part of the research towards the degree and the Proposal demonstrates her/his research capacity and experience is of a high standard to the satisfaction of the ARC.             

9.2.5   Notwithstanding a researcher’s eligibility under the criteria above or below in this                              Section, a researcher is not eligible to be a CI if he/she:

 a. is undertaking undergraduate studies or a postgraduate coursework only degree;

 b. has participated as a CI on a project funded by the ARC, other than on a project funded under the DIRD scheme;

 c. has held an ARC Fellowship or Research Cadetship-Aboriginal and Torres Strait Islander funded by the ARC;

 d. is, or has been, a CI (or equivalent role) or holds, or has held, a fellowship under a nationally competitive funding scheme administered by the NHMRC; or

 e. is employed more than half-time (i.e., 50 per cent of her/his time per Full Time Equivalent) at an organisation outside the higher education sector that engages in research which is funded predominantly from State/Territory or Commonwealth Government sources.

9.2.6   If a Proposal has been approved for funding and a CI is at any time during the                              project no longer able to work as proposed on the project, the project may be                                           continued under a replacement CI provided that:

 a. where the CI was the Project Leader, another investigator who was an original CI on the Proposal may become the Project Leader;

 b. the project still includes at least one other investigator who was an original CI on the Proposal and the replacement CI is first approved by the ARC.

9.2.7   The project must be terminated where there are no other investigators who were                              original CIs remaining on the Proposal. Sole-CI projects cannot be continued under                             replacement CIs.

9.3 General eligibility criteria for Fellowships

9.3.1   There are two types of Fellowship available. Fellowship candidates must meet the                                           criteria for CIs in subsection 9.2.2 and 9.2.3, plus the eligibility criteria for the                                           Fellowship type being sought as detailed below.

9.3.2   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 as outlined in Section 11.1, for the:

  i. recognition of an equivalent research degree or experience;  and/or

  ii. relaxation of the qualification and/or timing requirements.

9.3.3   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.

9.3.4   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.

9.4 Eligibility criteria for Indigenous Researcher Fellowships

9.4.1   IRFs provide opportunities for researchers at the postdoctoral level to undertake                              research of national and international significance, and to broaden their research                                           experience.

9.4.2   IRF candidates must meet the criteria for CIs in subsections 9.2.2 and 9.2.3.

9.4.3   A Proposal may seek funding for an IRF only if:

 a. the IRF candidate has been awarded a PhD or equivalent on or after 12 May 2007 or has obtained approval from the ARC, via the submission of an Eligibility Exemption Request as outlined in Section 11.1, for the recognition of an equivalent research qualification or experience and/or relaxation of the qualification and/or timing requirements; or

 b. the IRF candidate has not yet submitted a PhD thesis but is expected to do so before the end of 2010 in which case the ARC will require official confirmation that the thesis has been submitted by December 2010. The IRF candidate must be awarded their PhD by no later than 30 June 2011. 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             

9.4.4   Notwithstanding a researcher’s eligibility under the criteria above, a researcher may                             not be an IRF candidate if he/she:

 a. is undertaking undergraduate studies or a postgraduate coursework only degree;

 b. has participated as a CI on a project funded by the ARC, other than on a project funded under the DIRD scheme;

 c. has held an ARC Fellowship or Research Cadetship-Aboriginal and Torres Strait Islander; or

 d. is, or has been, a CI (or equivalent role) or holds, or has held, a fellowship under a nationally competitive funding scheme administered by the NHMRC.

9.4.5   If a full-time IRF is awarded the Fellow may, during the term of the IRF, request                              approval from the ARC for conversion of the IRF to part-time status for a limited                                           period or periods of time. The ARC may, in its absolute discretion, approve the                                           conversion of the IRF to part-time status for one or more periods of time.

Tenure details and salary support entitlements for IRFs

9.4.6   IRFs support one or two years’ employment on an approved project and are tenable                             at Eligible Organisations.

9.4.7   The notional ARC salary support for IRFs is set out in Appendix D. The following                             salary support options are available for IRF candidates:

 a. 100 percent salary and on-costs from the ARC for one or two years; or

 b. 50 per cent salary and pro rata on-costs from the ARC over one or two years. Under this option an IRF may spend up to 50 per cent of her/his time on activities other than the proposed project.

9.4.8   A Proposal which nominates a researcher for an IRF, and accordingly seeks salary                             and salary-related on-costs for the IRF, may also request funding for other research                             costs for a proposed project. If the Proposal seeks funding only for the salary and                                           on-costs for the IRF, the Proposal must confirm that the IRF candidate will have                                           her/his research costs funded for research on the proposed project. If the Proposal                                           does not contain this confirmation, then the ARC may, in its absolute discretion,                                           decide to not recommend the Proposal for approval.

9.4.9   A researcher who has held an IRF may be nominated for an ARF-I.

9.5 Mentors and Supervisors

9.5.1  As DIRD aims to develop the research expertise of Indigenous Researchers, the strength of the research environment and support for the researcher are important factors in the assessment of Proposals that include CIs and/or IRFs. In particular, it is strongly recommended that a Mentor or Supervisor (who may or may not be an Indigenous Researcher) be associated with the Proposal to provide guidance.

9.5.2 If the proposed research is part of research towards a higher research degree, it is  strongly recommended that the researcher’s Supervisor be consulted on the               preparation of the Proposal and be associated with the Proposal. The roles of               Supervisor and Mentor can be filled either by the same individual or by separate               persons, and Proposals may nominate both a Mentor and Supervisor.

9.5.3   A researcher nominated as a Mentor or Supervisor must take significant                              responsibility for intellectual guidance and support of a CI or IRF candidates                                           nominated in the Proposal. The ARC reserves the right to determine whether a                                           person has the requisite capacity to perform the role. If the ARC considers that a                                           researcher nominated in a Proposal as a Mentor or Supervisor does not meet these                                           criteria, the Proposal will not be recommended or approved for funding

9.6 Eligibility criteria for Australian Research Fellowships - Indigenous

9.6.1   ARF-I provide opportunities for established Indigenous 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.

9.6.2   ARF-I candidates must meet the criteria for CIs in subsection 9.2.2 and                              9.2.3.

9.6.3   A researcher who is, or has been, a CI on any project funded by the ARC or                              NHMRC or holds, or has held, a fellowship under a nationally competitive funding                             scheme administered by the NHMRC, may be nominated for an ARF - Indigenous.

9.6.4   An ARF-I candidate must, at the closing time for the submission of                               Proposals:

 a. 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 as outlined in Section 11.1, for recognition of an equivalent research degree or experience and/or relaxation of the qualification and/or timing requirements; and

 b. satisfy the requirements of subsection 6.6.2 with respect to limits regarding number of projects.

9.6.5   Notwithstanding a researcher's eligibility under the criteria above, a researcher may                             not be an ARF-I candidate if he/she holds or has held an ARF/QEII or                                                         APF.

   Tenure details and salary support entitlements for ARF-I

9.6.6   ARF-I are awarded on a full-time basis only.  ARF-I Fellows are expected to work                             full-time on the proposed research and research-related activities.  Research-related                             activities may include supervision of postgraduate students.

9.6.7   Funding will be provided for ARF-I for 2 or 3 years.  The notional                               ARC salary support for ARF-I is set out in Appendix D.

9.6.8   Salary support for ARF-I is funded from the ARC for two or three                               years at 100 per cent plus on-costs.

9.6.9   A research candidate who has held an IRF, APD or APDI may be nominated for an                             ARF-I only in or after the final year of her/his Fellowship.

 

10. Cross-scheme issues

10.1 Cross-scheme eligibility

10.1.1   Applicants should note the eligibility criteria for access to other ARC funding                              schemes, as expressed in the funding rules for those schemes.  The ARC reserves                                           the right to change these criteria in future funding rounds.  Funding rules for all                                           ARC schemes may be found on the ARC website.

10.1.2   If a researcher nominated as a CI, Mentor, Supervisor or Fellow on a Proposal is                              nominated in a funding request for any proposed research project (including                                           fellowship, salary or equipment) that has been submitted or approved under this or                             any other ARC scheme or to any other Commonwealth funding body, the Proposal                             must contain details of the request(s) and summary details of all other funding. If                                           these processes are not observed, or the ARC determines that incomplete,                                           misleading or inaccurate details were included in the Proposal, the ARC may in its                             absolute discretion decide to not recommend the Discovery Indigenous Researchers                             Development Proposal for approval.

10.1.3   If a nominated researcher has been awarded, or is currently requesting, an ARC                              Fellowship under another ARC funding scheme, the Proposal must contain details                             of the project/Proposal. If more than one of these Fellowship requests is approved                                           for funding, only one Fellowship can be accepted.

10.1.4   The ARC may liaise with other funding agencies to discuss any overlap between                              proposed or existing research projects (including fellowships) in order to avoid                                           duplication of funding. The ARC may for this purpose disclose to that agency any                             information in a Proposal.

10.2 Non-duplication and Cross-scheme funding

10.2.1   The ARC will not duplicate financial assistance for research, including                              infrastructure, already funded by the Commonwealth or which is likely to be                                           funded from other Commonwealth funding sources (including under other ARC                                           funding schemes). The ARC reserves the right to determine if a Proposal duplicates                             or is likely to duplicate research being funded by another Commonwealth source.                                           In such circumstances, the ARC may in its absolute discretion decide to not                                           recommend the Proposal for approval. However, if the ARC considers that parts of                             the proposed project remain worthy of support, the ARC may assess the Proposal in                             the usual way and the ARC may instead recommend that a reduced amount of                                           funding be approved for the Proposal.

10.3 Funding of Medical and Dental Research

10.3.1   Pursuant to subsection 6.5.1.a and Section 10.3, the ARC does not fund near-term                              clinical medical (including dental) outcomes as described on the ARC’s website                                           under Discovery Indigenous Researchers Development. The ARC reserves the right                             to determine conclusively whether the proposed research involves medical and                                           dental research.

10.3.2   The NHMRC funds a range of medical and dental research.  The Administering                              Organisation must assess whether the Proposal constitutes near-term clinical                                           medical (including dental) outcomes.  If it does, the Proposal cannot be submitted                                           to the ARC.

10.3.3   The Administering Organisation must certify that the Proposal does not constitute                              medical and dental research as defined on the ARC website.

10.3.4   The ARC reserves the right to determine at its absolute discretion conclusively                              whether:

   a.       proposed research involves medical and dental research; and

   b.      the expected outcomes of a proposed project are likely to have                                        significant relevance or application beyond the medical and dental context.

10.3.5   A Proposal may be ineligible if it deals substantially with any of the following                              areas of research:

   a.       Using human subjects to test the clinical efficacy of a diagnostic or                                        therapeutic agent or medically applicable device or material;

   b.       Using material collected from human subjects for the purpose of                                 studying disease prevalence, epidemiology or mode of inheritance;

   c.       Observation or treatment of human patients for clinical medical or dental                                        purposes; and

   d.       Prevention of disease by medical and/or dental intervention in human                                            subjects.

10.3.6   If the Administering Organisation submits, or is intending to submit, Proposals to                              the ARC and the NHMRC for similar research it must cross-reference the Proposals                             and must declare the dual submission on the ARC application form.

10.3.7   In all cases whether or not the above process is observed, the ARC may in its                              absolute discretion decide whether a proposed project, or elements of a project, fall                             within the area of medical and dental research.

11. Application process

11.1 Eligibility Exemption

11.1.1   These Funding Rules describe a number of situations where it is possible to submit                             an Eligibility Exemption Request for the purposes of obtaining an exemption from                             the ARC regarding a prospective Proposal.  All such Requests must be submitted                                           on the ARC Eligibility Exemption Request Form through the ARC online                                           application system-Research Management System (RMS) and subject to subsection                             11.1.2, be received by the ARC by:  5:00pm (AEDT) 26 March 2010.

11.1.2   Eligibility Exemption Requests received after 5:00 pm (AEDT) 26 March 2010  will not be considered. The ARC may, in its absolute discretion, and only in               exceptional circumstances, accept late Eligibility Exemption Requests.

11.1.3  An exemption from the eligibility requirements may be granted only if an  Eligibility Exemption Request has been submitted.

11.1.4  The Eligibility Exemption request must include all relevant supporting  documentation. The Research Office will be advised of the outcome of any such               request as soon as possible. If an Eligibility Exemption is given, the ARC will               provide an identifying               number for the exemption which is to be quoted on the               relevant Proposal.

11.1.5   The ARC Eligibility Exemption Request Form is available on the ARC website.

11.2 Proposals

11.2.1   A Proposal should be submitted as a mature research plan ready for                               implementation. The Proposal must contain all the information necessary for its                                           assessment without the need for further written or oral explanation, or reference to                             additional documentation, unless requested by the ARC, including its selection                                           advisory committees. Additional information must not be submitted and may, at the                             absolute discretion of the ARC, result in the Proposal being ruled ineligible.

11.2.2   All details in the Proposal must be current at the time of submission.

11.2.3   In submitting a Proposal, the Administering Organisation and the CIs, Fellows,                              Mentors and Supervisors nominated in the Proposal are consenting to the Proposal                             being assessed under the ARC peer assessment procedures and agree to the release                             of the Proposal to third parties for assessment purposes.

11.2.4   The Administering Organisation must certify that they have obtained the agreement of all parties necessary to allow the proposed project to proceed.

11.2.5     If the certification of all parties necessary to allow the proposed project to proceed                             is inaccurate, false, or misleading the ARC may in its absolute discretion decide to                             not recommend the Proposal for approval.

12. Submission of Proposals

12.1 Submission of Proposals

12.1.1     Administering Organisations must submit Proposals through the ARC online                              application system – Research Management System (RMS) unless otherwise                                           advised.

12.2 Proposal Content

12.2.1   Proposals consist of an online form, which must be completed and submitted in the ARC online application system (RMS).  The online form may include the following additional text which, if included, must be uploaded in PDF format to the online version of the Proposal:

 a.       Project Description;

 b.       Budget Justifications;

 c.       Research record relative to opportunities;

 d.       Details of research support; and

 e.       Statements on progress of ARC-funded projects.

12.3 Format

12.3.1  All documents must be written in English and must comply strictly with the format, content and submission requirements as specified in these Funding Rules and the DIRD Instructions to Applicants for Funding commencing in 2011 document issued by the ARC. If a Proposal fails to meet any format, content or submission requirements, the ARC may in its absolute discretion decide to not recommend the Proposal for approval.

12.3.2   All pages of additional text must be uploaded in PDF format.  Text must be in                              black type, use a single column and 12-point font size on white A4 paper, with all                                           margins being at least 0.5 cm. A highly legible font type must be used, preferably                                           12 point Times New Roman or else Arial, Courier, Palatino, and Helvetica subject                             to their being equivalent to Times New Roman 12 point font. Variants such as                                           mathematical typesetting languages may also be used. References may be                                           reproduced in 10-point font size. Colour graphs or colour photographs should not                                           be included.  Researchers should note that for some administrative purposes                                           Proposals may be reproduced in black and white and the reproduction quality may                             not be optimal.  Finely detailed graphics and grey scale may also not be precisely                                           reproduced.  Additional text attachments may appear slightly reduced in size due to                             the ARC system formatting the attachments to include page numbers.  Uploaded                                           PDFs should be directly generated rather than scanned to maximise the quality of                                           reproduction.  The ARC reserves the right to seek an                                                                       original electronic copy of the Proposal to determine that the text meets the                                           requirements stipulated.

12.4 How to complete and submit a Proposal

12.4.1   Administering Organisations must complete and submit their Proposal using the                              online form which is accessible via the ARC website.

12.4.2 A DIRD Instructions to Applicants for Funding commencing in 2011 document will be available from the ARC website. This document specifies a range of requirements for Proposals and also assists parties in preparing Proposals.

12.4.3   Research Offices with system access will approve, along with the ARC, requests                              for User Accounts, to enable researchers at their organisations to access the ARC                                           online application system and prepare Proposals.

12.4.4     If a researcher does not have a Research Office or equivalent unit, he/she should                               email rms@arc.gov.au for assistance.

12.4.5   If an Eligible Organisation does not have a Research Office unit, staff from the                              organisation should email rms@arc.gov.au for assistance.

12.5 Closing time for Proposals

12.5.1   The online form must be completed using the ARC online management system                              (RMS) and              must be submitted by 5.00 pm (AEST) Wednesday 12 May 2010.

12.5.2   Additions, deletions and modifications will not be accepted after submission, unless                             invited by the ARC.

12.5.3  Proposals may be withdrawn up until Thursday 26 August 2010 or unless otherwise invited by the ARC.

12.5.4   Participants should note that Administering Organisations may have internal                              closing times for Proposal preparation that precede ARC closing times.

 12.6 Certification

12.6.1  The Administering Organisation must certify Proposals via the ARC online  application system (RMS).  Research Offices should ensure that the Research               Office delegate role is authorised to certify and submit Proposals for their               organisation.

12.6.2   The certification in ARC online application system includes, but is not                              limited to, statements that:

   a.       the Proposal does not constitute medical and dental research as defined                                        on the ARC website (subsection 10.3.3);

   b.       the Administering Organisation has the agreement of all parties                                         necessary to allow the proposed project to proceed.

12.6.3  The ARC reserves the right at any point in the process to seek the evidence from  the Administering Organisation to support the certification of Proposals.

12.6.4   A Proposal must be submitted through the appropriate Research Office.  The                Administering Organisation must certify Proposals online via the ARC online                             management system.  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.

13. Selection and approval process

13.1 Assessment and selection process

13.1.1  Assessment of Proposals is undertaken by the ARC, which has the right to make  recommendations solely on the basis of its expertise, and which may:

  a.      consider if a Proposal satisfies the eligibility criteria set out in these                         Funding Rules;

 b. identify and consider any other matters that these Funding Rules state may result in the ARC recommending that a Proposal not be approved for funding;

 c. assign assessors to review Proposals;

 d. seek comments on assessors’ reports from the parties involved in the Proposal;

 e. rank each Proposal relative to the others on the basis of the Proposal, any assessors’ reports, and any response to those assessment reports;

 f. assess and recommend the amount of funding to be made available for a Proposal; and/or

 g. prepare funding recommendations.

13.1.2  The ARC selection advisory committees assists with the assessment of Proposals.  The ARC has procedures for managing organisational and personal Conflicts of               Interest experienced by members of selection advisory committees, members of               other ARC committees, ARC staff, and other assessors, and for enabling               individuals to withdraw from the assessment process for particular Proposals where               any actual or perceived conflict may exist.

13.1.3  In addition to assessment by the ARC, a Proposal may at the absolute discretion of               the ARC be assessed by external assessors. Assessors may be drawn from a range               of organisations to reduce the potential for Conflicts of Interest. Proposals will be               assessed against the criteria set out in these Funding Rules and the reports by the               assessors may include written comment.

13.1.4  The ARC reserves the right to make recommendations for funding to the Minister  based on any number of assessments or solely on the assessment of the ARC.

13.1.5  Administering Organisations may provide written notification to the ARC naming               any person or persons whom they do not wish to assess a Proposal on a “Request               not to Assess” form available from the ARC website. Such notifications must               contain detailed justification and be submitted using the “Request not to Assess”               form through the Administering Organisation’s Research Office. This notification                             must not accompany the Proposal. The notification must be sent to the email               address advised under ‘Contacts’ at the beginning of these Funding Rules,               ARC-DiscoveryProjects@arc.gov.au, and received by the ARC by the closing time               for Proposals, 5:00 pm (AEST) Wednesday 12 May 2010.

13.1.6  The ARC will consider the justification put forward to exclude any person as an  assessor, but may choose not to give effect to such a request.

13.2 Rejoinder

13.2.1  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 up to two weeks is given to submit a rejoinder to the ARC. Subject to               subsection 13.2.2, rejoinders will not be accepted after the nominated closing time               for rejoinder submissions. The ARC may limit the length of rejoinders which can               be submitted through the ARC online application system (RMS).

13.2.2  The ARC may, in its absolute discretion, and only in exceptional circumstances,  accept late rejoinders.

13.3 Recommendations and offer of funding

13.3.1  In accordance with the ARC Act, the CEO will submit funding recommendations to               the Minister for consideration. The Minister will determine which Proposals will be               approved and the amount and timing of financial assistance to be paid to               Administering Organisations for approved Proposals.

13.3.2  Under the ARC Act, the Minister must not approve for funding any Proposal that  fails to meet the eligibility criteria set out in these Funding Rules.

13.3.3  Administering Organisations whose Proposals are approved will be notified in a  letter of offer that will indicate the financial assistance to be offered and be               provided with a copy of a Funding Agreement for signing.

13.4 Exclusion of Proposals

13.4.1  The ARC will not recommend for approval, and the Minister will not approve for  funding, any Proposal that fails to satisfy the eligibility criteria set out in these               Funding Rules, including:

 a. if the Proposal seeks funding for any of the items not permitted under Sections 6.4 or 6.5 and the ARC considers no other part of the proposed project remains worthy of support (subsection 6.5.2);

 b. if the Proposal seeks salary funding for a CI, Mentor or Supervisor (subsection 6.4.2.b);

 c. if the Proposal is not submitted by an Eligible Organisation (Section 7.1);

 d. if the Proposal does not nominate at least one CI or Fellowship candidate (subsection 9.1.2);

 e. if the ARC considers that a researcher nominated in the Proposal as a CI or Fellow does not meet the eligibility criteria as specified in Sections 9.2 or 9.3 for the role which that researcher is to perform (subsection 9.1.7);

 f. if the ARC determines that a proposed project falls within the area of near term clinical medical (including dental) research as described on the ARC website (subsection 6.5.1.a and Section 10.3);

 g. if a Proposal has not been submitted through the appropriate Research Office/Chief Executive Officer for certification (Section 12.6);

 h. if the Proposal is not for a program of research, or a program that supports the conduct of a program of research.

13.4.2  The ARC may in its absolute discretion decide to not recommend for approval a  Proposal if:

 a. in the opinion of the ARC, any researcher nominated in the Proposal as a CI, Mentor, Supervisor or 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 or all obligations regarding previously funded projects involving the candidate have not been fulfilled to the satisfaction of the ARC and NHMRC;

 b. in the opinion of the ARC, any party involved in or associated with the Proposal or ARC-funded research project has failed to disclose to the ARC, or any other parties involved in the Proposal, any conflict of interest which has the potential to influence, or appear to influence, the research and activities, publications and media reports, or requests for funding related to the Proposal (subsection 4.5.2);

 c. the Proposal seeks funding which is less than the minimum amount or more than the maximum amount of funding allowed (subsection 6.1.2);

 d. the limits on the number of Proposals and projects permissible are exceeded (subsection 6.6.2);

 e. 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 (Section 6.7);

 f. the Proposal nominates a researcher for a Fellowship and seeks only salary and salary-related on-costs for the Fellow but does not confirm that the Fellow candidate will have her/his research costs funded on the proposed project (subsection 9.4.8);

 g. in the opinion of the ARC, the Proposal duplicates or is likely to duplicate research already being funded, or which is likely to be funded, by the Commonwealth (subsections 10.2.1);

 h. where required the Proposal does not include details of other funding or funding requests (subsection 10.1);

 i. the ARC considers incomplete, inaccurate or misleading material has been provided in relation to the Proposal or if the Administering Organisation and/or researchers nominated in the Proposal have provided the ARC with incomplete, inaccurate or misleading information in relation to the provision of advice relating to, or in the reporting of progress of, a funded project (subsection 10.1.1 and Appendix A subsection A1.8.2 and A1.8.3);

 j. the online part of the Proposal is not submitted via ARC online application system (Sections 12.1, 12.4 and 12.5) by the closing time (Section 12.5)

 k. the circumstances of a Proposal are such that an Eligibility Exemption is required but the required process has not been followed (Section 11.1); or

 l.     the Proposal fails to meet any format and other submission requirements (Section 12).

14. Appeals process

14.1  Appeals will be considered only against administrative process issues and not, for  example, against committee recommendations or assessor ratings and comments.

14.2  Appeals must be made on the appeals form available from the ARC website. The  form must be lodged by the Administering Organisation and must be authorised by               a Deputy Vice Chancellor (Research), Chief Executive Officer or equivalent.               Appeals must be received within 28 days of the date on the letter notifying the               outcome of Proposals.

14.3  Appeals must be addressed and sent to the address advised under ‘Contacts’ at the               beginning of these Funding Rules.

Appendix A

Fundamental principles and requirements

A1.1 Ethics and research practices

A1.1.1  The NHMRC website, www.nhmrc.gov.au, provides a series of publications  which outline principles of ethical conduct in research. All Proposals and ARC-              funded research projects must, unless otherwise approved by the ARC, conform to               the principles outlined in the following and their successor documents:

 a. NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2007);

 b. as applicable, the NHMRC/ARC/AVCC National Statement on Ethical Conduct in Human Research (2007); and

 c. as applicable, codes on animal research promulgated by the NHMRC.

A1.1.2  If there is any conflict between a successor document and its predecessor, then the               successor document prevails to the extent of any inconsistency.

A1.2 Acknowledging ARC support

A1.2.1  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, when interviewed by the print media and when               otherwise speaking publicly about the project.

A1.2.2  Advice on acceptable forms of acknowledgement and use of the ARC logo is  provided on the ARC website.

A1.3 Dissemination of research outputs

A1.3.1  The Australian Government makes a major investment in research to support its  essential role in improving the wellbeing of our society. To maximise the benefits               from research, findings need to be disseminated as broadly as possible to allow               access by other researchers and the wider community.

A1.3.2  The ARC acknowledges that researchers take into account a wide range of factors  in deciding on the best outlets for publications arising from their research. Such               considerations include the status and reputation of a journal or publisher, the peer               review process of evaluating their research outputs, access by other stakeholders to               their work, the likely impact of their work on users of research and the further               dissemination and production of knowledge. Taking heed of these considerations,               the ARC endeavours to ensure the widest possible dissemination of the research               supported under its funding, in the most effective manner and at the earliest               opportunity.

A1.3.3  The ARC therefore encourages researchers to consider the benefits of depositing  their data and any publications arising from a research project in an appropriate               subject and/or institutional repository. If a researcher is not intending to deposit the               data from a project in a repository within six months of the completion of the               research, he/she should include the reasons in the project’s Final Report. Any               research outputs that have been or will be deposited in appropriate repositories               should be identified in the Final Report.

A1.4 Applicable law

A1.4.1  The ARC is required to comply with the requirements of the Privacy Act 1988 and               the Freedom of Information Act 1982.

A1.5 Confidentiality

A1.5.1  The ARC will treat information contained in a Proposal as confidential. However,  the ARC may disclose information contained in a Proposal, or otherwise provided               to the ARC, to the extent that the information is:

 a. disclosed by the ARC to its advisers (including external assessors), officers, employees or other third parties in order to assess, evaluate or verify the accuracy or completeness of a Proposal;

 b. disclosed to the ARC’s personnel to enable effective management or auditing of the ARC Discovery Indigenous Researcher Development scheme or any Funding Agreement;

 c. disclosed by the ARC to the Minister;

 d. shared by the ARC within the ARC’s organisation, or with another Commonwealth Department or agency, where this serves the Commonwealth’s legitimate interests;

 e. authorised or required by law to be disclosed;

 f. disclosed in accordance with any other provision of these Funding Rules or the Funding Agreement; or

 g. in the public domain otherwise than due to a breach by the ARC of any obligation of confidence.

A1.5.2  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.

A1.5.3  Notwithstanding the above, and in addition to the exemptions listed at Appendix A               subsection A1.5.1, the ARC may publicise and report offers or awards of funding,               including information about the proposed research; the name of the Fellows and               their organisations; the name of the Administering Organisation and any other               parties involved in or associated with the project; the title and summary               descriptions of the project and its intended outcomes (including the               national/community benefits that are expected to arise from the research); and the               level and nature of financial assistance from the ARC. Administering Organisations               should ensure that information contained in the project title and summaries would               not, if released, compromise their own requirements for confidentiality (such as               future protection of intellectual property).

A1.6 Project description

A1.6.1  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.

A1.7 Intellectual property

A1.7.1  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 ARC               Discovery Indigenous Researcher Development scheme.

A1.7.2  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 National Competitive Grants Program.

A1.7.3  If a Proposal contains information belonging to a third party, the Administering  Organisation must ensure that it has in place all necessary consents to allow the               ARC to deal with that information in accordance with these Funding Rules, prior to               the Administering Organisation submitting its Proposal.

A1.7.4  Except with written approval from the ARC, all Proposals and ARC-funded  research projects must comply with the National Principles of Intellectual Property               Management for Publicly Funded Research (available on the ARC website) and               accord with any intellectual property policies of the researcher’s organisations.

A1.8 Incomplete or misleading information

A1.8.1  It is a serious offence to provide false or misleading information to the Commonwealth.

A1.8.2  If the ARC considers that a Proposal is incomplete, inaccurate or contains false or  misleading information, the ARC may in its absolute discretion decide to               recommend that the Proposal not be approved for funding.

A1.8.3  If an Administering Organisation and/or the researcher nominated in a Proposal has               provided the ARC with incomplete, inaccurate or misleading information in               relation to any Proposal for, or in the provision of advice relating to, or reporting of               progress of, a project funded by the Commonwealth, the ARC may in its absolute               discretion decide to not recommend the Proposal for approval and/or terminate               projects involving that organisation/person if funded and require the Administering               Organisation to repay some or all of the funding.

A1.8.4  If the ARC considers that omissions, or inclusion of misleading information, are  intentional, or if there is evidence of misconduct, the ARC may refer the matter for               investigation with a view to prosecution under Commonwealth criminal law. The               Commonwealth is committed to protecting its revenue, expenditure and property               from any attempt, by members of the public, contractors, sub-contractors, agents,               intermediaries or its own employees, to gain financial or other benefits by deceit.

A1.8.5  Examples of misleading information and misconduct are, but are not restricted to:

 a. providing fictitious track records;

 b. making false claims in publications records (such as describing a paper as accepted for publication when it has only been submitted);

 c.   making false certifications in the ARC online application system ; or

 d. failing to disclose to the ARC the existence, and nature, of actual or potential conflicts of interest of any of the parties involved in the Proposal/project (such as any affiliations or financial interest in any organisation that has a direct interest in the matter or outputs of the project).

A1.9 Insurance and liabilities

A1.9.1  Administering Organisations are subject to the liability, indemnity and insurance  provisions of the Funding Agreement.

Appendix B      

Administration of Funding

B1.1 Funding Agreement

B1.1.1  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 the Funding Agreement. Parties involved in a funded project must accept               the terms of the Funding Agreement and the Administering Organisation must sign               the Funding Agreement before the ARC will commence payments.

B1.1.2  Projects must commence as required by the Funding Agreement. Failure to do so  may result in termination of the Funding Agreement.

B1.1.3  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 Web Site.

B1.2 Varying the Funding Agreement

B1.2.1  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. Amendment of any clauses of the Funding Agreement will be               at the absolute discretion of the ARC.

B1.3 Varying the funding approval

B1.3.1  Requests to vary the funding approval must be forwarded in writing by the  Administering Organisation’s Research Office to the ARC.

B.1.3.2  The funding approval may be varied in regard to the amount of financial assistance,               the period of financial assistance, and/or the name of the organisation receiving               financial assistance.

B1.3.3  The Minister may vary the funding approval if:

 a. any of the organisations involved in the project end, or substantially change, their involvement with the project;

 b. the research project changes so that it is no longer consistent with the description in the funding approval as previously approved or as otherwise varied;

 c. the desirable period of funding for a project is not consistent with the period in the funding approval as previously approved or as otherwise varied; 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 ARC Discovery Indigenous Researchers Development scheme objectives.

B1.4 Reports

B1.4.1  Administering Organisations are required to submit reports to the ARC concerning               funded projects, in the format and by the due dates detailed in the Funding               Agreement.

 

Appendix C

Eligible Organisations

C1.1 Higher Education Organisations eligible to submit Proposals

 

New South Wales

Charles Sturt University

Macquarie University

Southern Cross University

The University of New England

The University of New South Wales

The University of Newcastle

The University of Sydney

University of Technology, Sydney

University of Western Sydney

University of Wollongong

 

Victoria

Deakin University

La Trobe University

Melbourne College of Divinity

Monash University

Royal Melbourne Institute of Technology (RMIT University)

Swinburne University of Technology

The University of Melbourne

University of Ballarat

Victoria University

 

Queensland

Bond University

Central Queensland University

Griffith University

James Cook University

Queensland University of Technology

The University of Queensland

The University of the Sunshine Coast

University of Southern Queensland

 

Western Australia

Curtin University of Technology

Edith Cowan University

Murdoch University

The University of Notre Dame Australia

The University of Western Australia

 

South Australia

The Flinders University of South Australia

The University of Adelaide

University of South Australia

 

Tasmania

University of Tasmania

Northern Territory

Charles Darwin University

Batchelor Institute of Indigenous Tertiary Education

 

Australian Capital Territory

The Australian National University

University of Canberra

 

Multi-State

Australian Catholic University

 

C1.2 Other Organisations eligible to submit Proposals

Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS)

 

Museums and herbaria which are Australian publicly funded organisations not directly funded to carry out research, but with research-related purposes and objectives.

 

Appendix D

Notional Fellowship salaries, relocation allowances and teaching relief contributions

D1.1 ARC Notional Fellowship Salaries for funding commencing in 2011*

• The figures in the table below are based on the 2010 levels of funding and will be subject to variation (for example, due to annual indexation). Updated levels will be available on the ARC website at www.arc.gov.au/applicants/salaries.htm.

 

D1.2 Maximum ARC Fellows Relocation Allowances

North America $17,000

Europe/Asia (Northern Hemisphere)/Africa/South America $14,000

Asia (Southern Hemisphere)/Oceania $11,000

Within Australia $8,000

 

Unless otherwise specified in these Funding Rules, travel associated with relocations will be funded only up to a maximum of one return economy class airfare for each person approved for relocation.

 

 

 

D1.3 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 $34,338 (at 2010 rates) for up to 6 months in each consecutive year (or pro rata for a lesser period) per CI (regardless of the level of appointment of the CI). The ARC may fund justified teaching relief for up to 6 months in each consecutive year.