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Future Fellowships Funding Rules for funding commencing in 2014

 

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     16 July 2013 

 

 

 

 

Kim Carr

Minister for Innovation, Industry, Science and Research

Table of Contents

 

Key Dates

Contacts

1. Name of Funding Rules

2. Commencement

3. Definitions

4. Introduction

4.1 Overview

4.2 Future Fellowships

4.3 Selection Criteria and Targeted Priority Areas

4.4 Strategic Statement

5. Funding

5.1 Level and Period of Funding

5.2 Budget Items Supported

5.3 Budget Items Not Supported

5.4 Research / Activities Not Supported

6. Organisational Types, Roles and Eligibility

6.1 Eligible Organisations General Requirements

6.2 Host Organisations General Requirements

7. Role and Eligibility for the Future Fellow

7.1 General

7.2 Eligibility Criteria for the Future Fellow

8. Salary Levels

9. Proposals

9.1 Number of Proposals and Cross-Scheme Eligibility

9.2 Proposal Eligibility and Duplication

9.3 Eligibility Exemption

10. Submission of Proposals

10.1 Proposals

10.2 Submission of Proposals in the RMS

10.3 Closing Time for submission of Proposals

10.4 Certification in the RMS

10.5 Conflict of Interest

11. Selection and Approval Process

11.1 Assessment and Selection Process for Proposals

11.2 Rejoinder

11.3 Request Not to Assess

11.4 Recommendations and Offer of Funding

12. Appeals Process

13. Reporting Requirements

13.1 Progress Reports

13.2 End of Year Reports

13.3 Final Report

14. Fundamental Principles of Conducting Research

14.1 Ethics and Research Practices

14.2 Applicable Law

14.3 Confidentiality

14.4 Intellectual Property

14.5 Incomplete or Misleading Information

14.6 Publication and Dissemination of Research Outputs

Appendix A Eligible Organisations

A1.1 Higher Education Organisations

A1.2 Other Eligible Organisations

A1.3 Medical Research Institutes

Key Dates

Please refer to the Important Dates page on the ARC website for key dates and updates relevant to these Funding Rules at www.arc.gov.au/media/important_dates.htm.

 

Contacts

Participants should direct requests for information to the Research Office or equivalent within their organisation.

 

ARC Contacts:  

• by mail to: by courier to:
• Future Fellowships CoordinatorAustralian Research CouncilGPO Box 2702CANBERRA ACT 2601 Future Fellowships CoordinatorAustralian Research CouncilLevel 2, 11 Lancaster Place, Majura ParkCANBERRA ACT 2609
• Email: ARC-FutureFellowships@arc.gov.au Phone: 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 Future Fellowships Funding Rules for funding commencing in 2014.

2.                     Commencement

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

3.                     Definitions

In these Funding Rules, unless the contrary intention appears:

 

Adjunct or Emeritus Appointment or equivalent means that an Eligible Organisation has a formal agreement with a participant 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 the Future Fellowships scheme and which will be responsible for the administration of the funding if the Proposal is approved for funding.

 

AIATSIS means the Australian Institute of Aboriginal and Torres Strait Islander Studies.

 

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

 

ARC Act means the Australian Research Council Act 2001.

 

ARC Award means a named Award within any ARC scheme where the salary is funded wholly or partly by the ARC.

ARC College means a body of scholars appointed to assist the ARC to identify research excellence, to moderate external assessments and to recommend fundable Proposals.

 

ARC Fellowship means a named Fellowship position within any ARC scheme where the salary is funded wholly or partly by the ARC.

 

ARC Research Centres Program encompasses any research centre wholly or partly funded by the ARC and includes Centres of Excellence, Co-funded Centres and Special Research Initiatives.

 

Award of PhD Date means the date of conferral of a PhD, not the date of submission of the thesis, nor the date the thesis was accepted by the examination board.

 

Centre Personnel means the Centre Director, Research Director, Chief Operations Officer, Chief Investigators or Specified Personnel in the ARC Research Centres Program.

 

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

 

Commonwealth means the Commonwealth of Australia.

 

Commonwealth-funded Research Centre means a research centre established under a competitive Commonwealth scheme and includes Cooperative Research Centres and National Health and Medical Research Council (NHMRC) Centres of Clinical Research Excellence.

 

Conflict of Interest means any conflict of interest, any risk of a conflict of interest and any apparent conflict of interest arising through a party engaging in any activity, participating in any association, holding any membership or obtaining any interest that is likely to conflict with or restrict that party from participating in the Project.

 

Eligibility Exemption Request is for the purposes of obtaining an exemption from the ARC regarding the eligibility of a prospective Proposal.

 

Eligible Organisation means an organisation listed in Appendix A.

 

Fieldwork means the collection of information integral to the project outside of a laboratory, library or workplace setting and often in a location external to the researcher’s normal place of employment. 

 

Funding Agreement means the agreement entered into by the ARC and an Administering Organisation when a Proposal from that organisation is approved for funding.

 

Future Fellow means a researcher who receives funding under the Future Fellowships scheme.

 

Future Fellowship means an individual award which has been awarded under the Future Fellowships scheme to an eligible researcher named in Schedule A, and includes a component of salary and non-salary Funding.

 

Future Fellowship Candidate means a researcher nominated in a Proposal for a Future Fellowship.

 

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, other than the Administering Organisation, at which the Future Fellow undertakes her/his research.

 

Instructions to Applicants means a set of instructions prepared by the ARC to assist applicants in completing the application form and associated documentation.

 

Medical and Dental Research means research and/or training primarily and substantially aimed at understanding or treating a human disease or health condition, and as defined on the ARC website at www.arc.gov.au/applicants/md_research.htm.

 

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

 

National Research Priorities means priority research areas identified by the ARC and updated from time-to-time on the ARC website at www.arc.gov.au.

 

NCGP means the National Competitive Grants Program.

 

NHMRC means the National Health and Medical Research Council.

 

PhD is a qualification that meets the level 10 criteria of the Australian Qualifications Framework Second Edition January 2013.

 

Project means a Proposal approved by the Minister to receive funding from the ARC in accordance with these Funding Rules.

 

Proposal means a request to the ARC for the provision of funding which is submitted in accordance with the Funding Rules.

 

Research Environment means the laboratory, department, school, centre or institute within an Administering Organisation or Host Organisation where research will be undertaken, and which provides opportunities for knowledge growth, innovation, collaboration, mentoring and student training.

 

Research Office means a business unit within an Eligible Organisation that is responsible for administrative contact with the ARC regarding Proposals and Projects.

 

RMS means the ARC’s online Research Management System.

 

Special Condition means a special condition specified in a Funding Agreement which governs the use of the funding provided by the ARC.

 

Strategic Research Priorities means priority research areas identified by the Australian Government and updated from time to time on the ARC website at www.arc.gov.au.

 

UA means Universities Australia.

 

Workshop services means construction and maintenance activities carried out by a technician, often within a dedicated facility for working with materials such as wood, glass, metal or electronics.

4.                     Introduction

4.1                   Overview

4.1.1             These Funding Rules are a legislative instrument, current as at the date of signing by the Minister, and have been prepared in accordance with the requirements of the ARC Act in force then.

4.1.2             The Future Fellowships scheme is funded under the Discovery Program of the ARC’s National Competitive Grants Program.

4.1.3             The Future Fellowships scheme provides funding to Administering Organisations to support research.

4.1.4             The Future Fellowships scheme was announced by the Australian Government in 2008 and was implemented to promote research in areas of critical national importance by giving outstanding researchers incentives to conduct their research in Australia. This round of Future Fellowships, totalling $135.3 million, will offer up to 150 four-year fellowships to mid-career researchers.

4.1.5             For the purposes of these Funding Rules, research is defined as the creation of new knowledge and/or the use of existing knowledge in a new and creative way so as to generate new concepts, methodologies, inventions and understandings. This could include synthesis and analysis of previous research to the extent that it is new and creative.

This definition of research is consistent with a broad notion of research and experimental development (R&D) as comprising “creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man [human-kind], culture and society, and the use of this stock of knowledge to devise new applications”[1].

4.1.6             The ARC undertakes periodic evaluations of the performance and administration of the schemes under the National Competitive Grants Program.

4.2                   Future Fellowships

4.2.1             The objectives of the Future Fellowships scheme are to:

1. attract and retain outstanding mid-career researchers;

2. build collaboration across industry and/or research organisations and/or disciplines;

3. support research in national priorities that will result in economic, environmental, social, health and/or cultural benefits for Australia; and

4. strengthen Australia’s research capacity by supporting innovative, internationally competitive research.

5.          Future Fellowships funding will be awarded on the basis of excellence through a competitive peer review process.

6.                Selection Criteria and Targeted Priority Areas

7.          Proposals will be assessed and ranked using the following selection criteria: 1. Future Fellowship Candidate 40%

i.  research opportunity and performance evidence (ROPE);

ii.  capacity and leadership to undertake the proposed research;

iii.  record of high quality research outputs appropriate to the discipline/s;

iv.  evidence of national and/or international research standing; and

v.  contribution to national and/or international public policy debates and initiatives.

b.        Project Quality 35%

i.  Does the research address a significant problem?

ii.  Is the conceptual/theoretical framework innovative and original?

iii.  Will the aims, concepts, methods and results advance knowledge?

iv.  Are the design and methods appropriate?

v.  Will the proposed research maximise economic, environmental, social, health and/or cultural benefit to Australia?

vi.  Does the Project represent value for money?

vii. Is there a contribution to public policy formulation and debate?

viii. Does the proposed Project address Strategic Research Priorities?

ix.  Will the proposed Project contribute significantly to the advancement of knowledge in one or more of the targeted priority areas in subsection 4.3.2?

c.         Strategic Alignment 15%

i.  How well does the Future Fellowship Candidate align with and/or complement the research strengths or developing research strengths and staffing profile of the Administering Organisation?

ii.  Are the necessary facilities available to conduct the proposed research?

iii.  What resources will be provided by the Administering Organisation to support the Future Fellowship Candidate during her/his Future Fellowship and after the end of the Future Fellowship?

iv. Is it likely that the Future Fellowship Candidate will transition to a continuing position within the Administering Organisation at the end of the Future Fellowship?

d.        Collaboration / Outreach 10%

i.  Are there adequate strategies to encourage dissemination, commercialisation, if appropriate; and promotion of research outcomes?

ii.  How will the Future Fellowship Candidate build collaboration across industry and/or research organisations and/or with other disciplines?

4.3.2             Future Fellowships funding commencing in 2014 encourages Proposals in the following targeted priority areas:

1. National research capacity

The Proposal should demonstrate how the Project and the Future Fellowship Candidate will increase Australia’s research capacity to undertake research in the targeted areas at the most appropriate Administering Organisation, including attracting Australian or overseas researchers to conduct research in the best Research Environment whilst developing existing or emerging research strengths.

b.        Targeted research areas

The targeted research areas of national significance are: bioinformatics; computer system security; Indigenous health and wellbeing; managing innovation, renewable energy and green technology; pattern recognition and data mining; safeguarding Australia (especially electronic security, surveillance and detection); understanding culture and communities.

4.4                   Strategic Statement

4.4.1             The Administering Organisation must provide a strategic statement within the Proposal which:

1. details the existing and/or emerging research strengths of the Administering Organisation;

2. describes how the Future Fellowship Candidate aligns with and/or complements the staffing profile of the Administering Organisation;

3. outlines plans for integration of the Future Fellowship Candidate into the ongoing activities of the organisation at the end of the Future Fellowship; and

4. is signed by the Deputy Vice-Chancellor (Research), Chief Executive Officer or equivalent.

5. Funding

6.                Level and Period of Funding 1.          All amounts referred to in these Funding Rules are to be read as exclusive of GST (if any), unless expressly stated otherwise. 2.          A Future Fellowship may be requested and/or awarded at one of three salary levels and salary-related (on-cost) funding. 3.          A Future Fellowship will be funded for four (4) years on a full-time basis. 4.          An Administering Organisation may be awarded up to $50,000 of non-salary funding per annum which may be used for infrastructure, equipment, travel and relocation costs directly related to the Future Fellow’s research. 5.          The ARC reserves the right to recommend levels of funding for a Project at levels that may differ from those requested in the Proposal. 6.          Funding for approved Projects will commence with effect on 1 July 2014, unless other arrangements are approved by the Minister. Any funding awarded will be subject to sufficient funds being available for the Project, the provisions of the ARC Act, and continued satisfactory progress of the Project.

7.                Budget Items Supported 1.          Budget items that directly support the Future Fellowship Candidate’s research may be funded from the non-salary funding. Examples of such budget items may include:

   1. access to national and international research and infrastructure facilities including specialist archives, collections and databases;
   2. expenditure on Fieldwork essential to the project, including technical and logistical support for the Future Fellowship Candidate only;
   3. expert services of a third party if the services are deemed to be directly related to and necessary for the proposed Project. Such services include, but are not limited to:

8. language translation services, transcribing services;

9. purchase of bibliographical or archival material (electronic or hard copy); and

10. workshop services, data collection and analysis services.

d.        maintenance, infrastructure and equipment required for the Future Fellowship Project. Funding will not be provided for infrastructure or equipment that is deemed to be for broad general use;

e.         one laptop every two years, and proportional access to high-performance computers or other specialised computer applications that are justified against the proposed Project for use only by the Future Fellow;

f.          publication and dissemination of Project outputs and outreach activity costs;

g.        relocation costs subject to the policies of the Administering Organisation;

h.        travel costs essential to the Project, including economy travel costs for domestic and/or international travel and accommodation (excluding relocation costs) not exceeding $100,000 over the life of the Future Fellowship. Travel costs related to carrying out Fieldwork are supported separately under 5.2.1.b and are not counted towards the $100,000 limit detailed in this subsection 5.2.1.h; and

i.          web hosting and web development specific to the project.

5.2.2             All budget items must be justified in the Proposal to the satisfaction of the ARC.

5.3                   Budget Items Not Supported

5.3.1             Budget items that will not be supported by ARC funding and should not be requested in the budget include:

1. bench fees or similar laboratory access fees;

2. capital works and general infrastructure costs, in whole or in part;

3. costs not directly related to research, for example, professional membership fees, professional development courses, fees for patent application and maintenance, equipment for live music or drama performances, visas, insurance, mobile phones (purchase or call charges), entertainment costs, hospitality costs, and other indirect costs;

4. fees for international students or the Higher Education Contribution Scheme (HECS) and Higher Education Loan Programme (HELP) liabilities for students;

5. hosting of seminars, conferences and other similar activities;

6. research support, including travel and fieldwork related expenses, for anyone, other than the Future Fellow;

7. salaries for personnel other than the Future Fellow (unless allowed in subsection 5.2.1c);

8. stipends for postgraduate students in whole or in part; and

9. teaching and/or teaching relief.

10.          The following basic facilities must be provided and funded by the Administering Organisation and be accessible to the Future Fellow where relevant:

11. access to film or music editing facilities;

12. access to a basic library collection;

13. accommodation (for example, laboratory and office, suitably equipped and furnished);

14. provision of basic computer facilities such as desktop computers, portable computer devices, printers, word processing and other standard software;

15. standard reference materials or funds for abstracting services; and

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

17.                Research / Activities Not Supported

18.          Except where such activities meet the definition of research at subsection 4.1.5, the Future Fellowships scheme does not support production of: 1. data compilation, computer programs, research aids and tools; 2. descriptive data compilations, catalogues or bibliographies; and 3. teaching materials.

19.          The Future Fellowships scheme does not support Medical and Dental Research, as defined in section 3 of the Funding Rules.

20. Organisational Types, Roles and Eligibility

21.                Eligible Organisations General Requirements 1.          A Proposal may only be submitted by an Eligible Organisation listed at Appendix A, through its Research Office. 2.          The Eligible Organisation which submits the Proposal will be the Administering Organisation. 3.          A Proposal may involve one Administering Organisation and one or more Host Organisations.

22.                Host Organisations General Requirements 1.          If the Future Fellowship Candidate proposes to undertake research at an organisation other than the Administering Organisation whilst holding a Future Fellowship, this organisation must be listed as a Host Organisation within the Proposal. 2.          Each Proposal may identify one or more Host Organisations which do not have to be Eligible Organisations listed in Appendix A. 3.          The Proposal must describe:

23. the extent of the collaboration between the Future Fellowship Candidate and the Host Organisation(s);

24. the extent to which the Host Organisation(s) will accommodate the Future Fellowship Candidate; and

25. how the Host Organisation(s) will provide a suitable Research Environment for the Future Fellowship Candidate.

6.2.4             The Future Fellow may conduct research at the Host Organisation(s), provided that it is in the best interests of the research and its outcomes, and is of national benefit to Australia, for a period or periods of up to:

1. twelve (12) months in total, over the life of the Future Fellowship, at Host Organisations that are not Eligible Organisations; or
2. twenty-four (24) months in total, over the life of the Future Fellowship, at Host Organisations that are Eligible Organisations.

7.                     Role and Eligibility for the Future Fellow

7.1                   General

7.1.1             The Future Fellow must take significant intellectual responsibility for the Project, its conception, and any strategic decisions required in its pursuit and the communication of its results. The researcher must have the capacity to make a serious commitment to the Future Fellowship. The ARC reserves the right to determine whether a person has the requisite capacity to perform the role.

7.1.2             The Future Fellow is expected to spend the majority of her/his time on research activities related to the proposed Future Fellowship and may not engage in other professional employment for the duration of the Future Fellowship.

7.1.3             The Future Fellowship may be awarded on a full-time or part-time basis. The Future Fellowship may be converted to (or from) part-time at any time to enable the Future Fellow to continue to fulfil family and/or carer responsibilities, provided that the Future Fellowship does not exceed eight years from the date of commencement (excluding any periods of suspension and/or maternity and/or parental leave). A Future Fellowship does not have a minimum full-time equivalent (FTE), but the FTE of the Future Fellowship must match that of the Future Fellow’s employment contract. The Administering Organisation and not the ARC is to manage changes to the Future Fellow’s working hours. The Administering Organisation will notify the ARC of any changes to working hours via Progress Reporting.

7.1.4             The Administering Organisation must ensure the Future Fellow has access to periods of up to 14 weeks paid maternity leave where such leave is taken during the course of the Future Fellowship. The ARC will provide up to 14 weeks funding for this purpose. The Administering Organisation must seek ARC approval for any extension to the life of the Project exceeding the 14 weeks paid maternity leave. The funding for this purpose is to be claimed by the Administering Organisation through submission of a Variation of Funding Agreement.

7.1.5             The Administering Organisation must ensure that Future Fellows are entitled to take up to two weeks paid partner/parental leave at the time of birth or adoption to the parent who is not identified as the primary caregiver during the course of the Future Fellowship. The ARC will provide up to two weeks funding for this purpose and the Future Fellowship period will be extended for a period equivalent to the duration of the paid partner/parental leave. The funding for this purpose is to be claimed by the Administering Organisation through submission of a Variation of Funding Agreement.

7.1.6             The Future Fellow may spend up to 0.15 FTE of her/his time annually on teaching activities. The Future Fellowship will not be extended to accommodate any periods of teaching. Supervision of honours or postgraduate students is not included in this limit.

7.1.7             The Future Fellow must conduct research for a minimum of 24 months of the Future Fellowship at the Administering Organisation.

7.1.8             The Future Fellow must be employed by the Administering Organisation for the duration of the Future Fellowship.

7.2                   Eligibility Criteria for the Future Fellow

7.2.1             A Proposal must only nominate one Future Fellowship Candidate.

7.2.2             To be considered a mid-career researcher for the purposes of the Future Fellowships scheme, a Future Fellowship Candidate must:

1. have been awarded a PhD on or between 1 March 1999 and 1 March 2009; or

2. have obtained approval from the ARC, via the submission of an Eligibility Exemption Request pursuant to the process outlined in section 9.3, for the:

3. recognition of research experience or a research qualification equivalent to between 5 and 15 years research experience since the award of a PhD; and/or

4. variation of the qualification and/or timing requirements. Applications for the variation of timing will not be approved if the researcher was awarded their PhD after 1 March 2009 or before 1 March 1992.

7.2.3             At the closing time of submission of Proposals, all obligations regarding previously funded ARC Projects involving the Future Fellowship Candidate must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory progress and final reports.

7.2.4             The Future Fellow must take significant intellectual responsibility for the conduct of the Project and for any strategic decisions called for in its pursuit and the communication of results. The Future Fellow must have the capacity to make a serious commitment to carrying out the Project and cannot assume the role of a supplier of resources for work that will largely be placed in the hands of others.

7.2.5             The Future Fellow must legally reside predominantly in Australia for the duration of the Future Fellowship, except where ARC approval has been granted.

7.2.6             The Future Fellow must relinquish any fellowships or the duties of any existing appointments prior to commencement. The Future Fellow may hold honorary or non-remunerated fellowships. The Administering Organisation must ensure that honorary or non-remunerated fellowships will not impair the capacity of the Future Fellow to complete the proposed Project.

7.2.7             Subject to subsection 7.2.6, at the closing time of submission of Proposals, a Future Fellowship Candidate who holds an ARC Fellowship may apply for a Future Fellowship only within the final twelve months of her/his fellowship.

7.2.8             The Future Fellow cannot commence another ARC Fellowship until the entire Future Fellowship salary component has been expended.

8.                     Salary Levels

8.1.1             A Future Fellowship salary may be requested and awarded at one of three salary levels (2014$) (plus salary-related (on-cost) funding), which is either equivalent to or higher than the academic salary level of the Future Fellowship Candidate as at the closing time for submission of Proposals.

Table 1: Future Fellowship Salary Levels

 

8.1.2             Where the Future Fellowship Candidate is either unemployed, in part-time employment, or is an international researcher, the minimum salary level applicable should be determined by the Future Fellowship Candidate’s most recent full-time appointment (at level) and the nearest salary equivalent in Australian dollars ($A). Researchers with a current salary level greater than Future Fellowship Level 3 can only apply for a Future Fellowship Level 3.

8.1.3             The ARC has the absolute discretion in determining the requirements outlined in subsection 8.1.1 for circumstances including, but not limited to, Future Fellowship Candidates who are employed overseas, who are not employed, or who are not receiving a salary, at the closing time of submission of Proposals.

8.1.4             The salary level guide and classifications outlined are intended to provide the Future Fellowship Candidate with guidance as to the standard expected at each Future Fellowship Salary Level, in terms of classification relative to opportunities.

1. Future Fellowship Level 1 – Salary $111,739 (plus 28% on-costs)

A Future Fellowship Level 1 Candidate will:

1. be equivalent to Academic Level C (or at a salary level below) within an Australian University;
2. be recognised nationally as being influential in expanding the knowledge of their discipline area; and
3. have made independent and original contributions to research, which have a significant impact on their field of expertise.

b.            Future Fellowship Level 2 – Salary $135,264 (plus 28% on-costs)

A Future Fellowship Level 2 Candidate will:

1. be equivalent to Academic Level D (or at a salary level below) within an Australian University;

ii.        be recognised internationally as being influential in expanding the knowledge of their discipline area;

iii.      have made independent and original contributions to research, which have a significant impact on their field of expertise; and

iv.      lead and foster excellence in research, including research training supervision.

c.             Future Fellowship Level 3 – Salary $158,787 (plus 28% on-costs)

A Future Fellowship Level 3 Candidate will:

1. be equivalent to Academic Level E (or at a salary level below) within an Australian University;

ii.        be recognised internationally as being influential in expanding the knowledge of their discipline area;

iii.      have made outstanding contributions to research, which have a high level of impact on their field of expertise internationally;

iv.      lead and foster excellence in research, including research training supervision;

v.        make or have made a contribution to high level research policy; and

vi.      be capable of initiation and management of large research projects.

9.                     Proposals

9.1                   Number of Proposals and Cross-Scheme Eligibility

9.1.1             The Future Fellowship Candidate may be nominated on no more than one Future Fellowships Proposal in this funding round, evaluated as at the closing time of submission of Proposals, regardless of any subsequent change in, or withdrawal of, Proposals. Submitting Proposals that exceed this limit will result in all Proposals involving the relevant researcher not being recommended for funding.

9.1.2             The Future Fellowship Candidate may not submit more than two Future Fellowships Proposals in the funding rounds between 2009 and 2014. This includes Proposals that have been withdrawn after the closing time of submission of Proposals and Proposals which were deemed ineligible by the ARC.

9.1.3             A Future Fellow cannot apply for a subsequent Future Fellowship.

9.1.4             Researchers cannot submit a Future Fellowships Proposal for funding commencing in 2014 and the following regardless of the time of proposal submission:

1. a Discovery Early Career Researcher Award (DECRA) for funding commencing in 2015;
2. a Discovery Outstanding Researcher Award (DORA) within a Discovery Projects Proposal for funding commencing in 2015;
3. an Australian Laureate Fellowships Proposal for funding commencing in 2014; or
4. a Fellowship or other career award on a NHMRC proposal for funding commencing in 2014 or 2015.

9.1.5             A Future Fellow may only receive funding concurrently for a maximum of two Discovery Projects. If two Projects are funded concurrently under the Discovery Projects scheme only one can be as sole CI.

9.1.6             Proposals may be submitted only to the extent that, if successful, the Future Fellowship Candidate nominated on the Proposal would not be involved in more than the maximum number of Projects permitted after 1 July 2014. This number is evaluated as at the closing time of submission of Proposals.

9.1.7             A Future Fellow will not be permitted to relinquish a CI role, Fellowship, Award or existing ARC grants held on 1 July 2014, to circumvent these limits.

9.1.8             Applicants should note the eligibility criteria for access to other 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 at www.arc.gov.au.

9.2                   Proposal Eligibility and Duplication

9.2.1             The ARC will not duplicate funding for research, including infrastructure, funded by the Commonwealth as at 1 July 2014.

9.2.2             The Proposal must list all current funding and requested funding for the Future Fellowship Candidate under any ARC scheme, including Projects, Awards and Fellowships, or any other Commonwealth funding scheme.

9.2.3             The ARC will assess whether a Proposal meets the eligibility requirements in these Funding Rules and may recommend that a Proposal that does not meet the requirements be deemed ineligible.

9.2.4             A decision under subsection 9.2.3 may be made by the ARC at any stage during assessment of the Proposal and may result in non-progression of the Proposal to the next level of assessment.

9.3                   Eligibility Exemption

9.3.1             An Eligibility Exemption Request, including all supporting documentation, must be submitted on the ARC Eligibility Exemption Request Form. This form is available on the ARC website at www.arc.gov.au/ncgp/futurefel/ft_eligibility.htm. This form must be submitted through the RMS and received by the ARC by the closing date and time on the Important Dates page on the ARC website at www.arc.gov.au/media/important_dates.htm, unless otherwise advised.

9.3.2             Pursuant to subsection 9.3.1, Eligibility Exemption Requests received after the closing date and time will only be considered in exceptional circumstances.

9.3.3             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.

9.3.4             The ARC may grant an Eligibility Exemption for the Future Fellowship Candidate commensurate with a significant interruption or limitation of their research outputs owing to:

1. periods of approved maternity/parental/carer's leave;
2. greater than three months of unemployment;
3. part-time academic employment, where the part-time position is the Future Fellowship Candidate’s sole source of employment; and/or
4. any other exceptional circumstances.

9.3.5             The ARC may grant an Eligibility Exemption for the Future Fellowship Candidate where evidence can be provided to indicate that the Future Fellowship Candidate’s research qualification/experience is equivalent to a PhD obtained within the time limits (see subsection 7.2.2b).

10.               Submission of Proposals

10.1               Proposals

10.1.1         The Proposal must be submitted as a mature research plan presenting the proposed research ready for implementation and 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.

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

10.2               Submission of Proposals in the RMS

10.2.1         Administering Organisations must submit Proposals through the RMS unless otherwise advised by the ARC.

10.2.2         All Proposals must meet the format and content requirements, including certification, as set out in the RMS form and the Instructions to Applicants.

10.3               Closing Time for submission of Proposals

10.3.1         The online form completed within the RMS must be submitted by the closing date and time on the Important Dates page on the ARC website at www.arc.gov.au/media/important_dates.htm.

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

10.3.3         Upon receipt of a written request with justification from the Administering Organisation, the ARC may approve the withdrawal of a Proposal. The ARC will approve such a request only in exceptional circumstances.

10.4               Certification in the RMS

10.4.1         The Administering Organisation must certify a Proposal online in the RMS. Research Offices should ensure that the Research Office delegate role is authorised in the RMS to certify and submit Proposals.

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

10.5               Conflict of Interest

10.5.1         Each party involved in a Proposal must declare to the Administering Organisation at the date of submission any Conflict of Interest that exists or is likely to arise in relation to any aspect of the Proposal.

10.5.2         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.

10.5.3         As part of the certification at 10.4.1, the Administering Organisation must certify that all Conflicts of Interest have been disclosed in accordance with 10.5.1, and that any Conflict of Interest will be managed in accordance with 10.5.2.

10.5.4         The ARC’s Conflict of Interest policy and management practices are available on the ARC website at www.arc.gov.au.

11.               Selection and Approval Process

11.1               Assessment and Selection Process for Proposals

11.1.1         Assessment of Proposals is undertaken by the ARC, which has the right to make recommendations for funding to the Minister, based on any number of assessments or solely on the basis of its expertise.

11.1.2         All Proposals will be considered against eligibility criteria and compliance with the Funding Rules.

11.1.3         All Proposals may be:

1. assigned to independent assessors from a range of organisations, who will assess and report and may provide written comments on the Proposal against the selection criteria; and
2. ranked and allocated a budget relative to other Proposals by the ARC College or other Selection Advisory Committee (SAC), on the basis of the Proposal, any assessors’ reports and any rejoinder.

11.1.4         The ARC may exclude Proposals at any time during the selection process. Grounds for exclusion include, but are not limited to:

1. not meeting the eligibility criteria set out in these Funding Rules; or

2. providing incomplete, inaccurate or misleading information.

3.      Following the recommendations of the ARC College or other Selection Advisory Committee, the CEO must make recommendations to the Minister in relation to what Proposals should be approved and at what level of funding, and what Proposals should not be approved.

4.      The ARC has procedures in place for managing organisational and personal Conflicts of Interest for assessors, members of the ARC College or SAC, members of other ARC Committees and ARC staff. Details of these procedures are available on the ARC website at www.arc.gov.au/about_arc/coe_guidelines.htm#conflict.

5.            Rejoinder

6.      The Administering Organisation may be given the opportunity for a rejoinder to assessors’ written comments, and to provide any additional information requested by the ARC. Names of assessors will not be provided to the Administering Organisation or the Future Fellowship Candidate.

7.            Request Not to Assess

8.      Administering Organisations may name any person or persons whom they do not wish to assess a Proposal by submitting a ‘Request Not to Assess’ form available on the ARC website at www.arc.gov.au/applicants/request_notassesform.htm and received by the Request Not to Assess date and time on the Important Dates page on the ARC website at www.arc.gov.au/media/important_dates.htm. While the ARC will endeavour to be accommodating to such requests, only one request may be submitted per Proposal and any request containing more than three (3) individual non-assessors for a Proposal must be directly supported in writing by the Deputy Vice-Chancellor (Research) or equivalent of the Administering Organisation.

9.            Recommendations and Offer of Funding

10.      In accordance with the ARC Act, the ARC Chief Executive Officer will submit funding recommendations to the Minister for consideration. The Minister will determine which Proposals will be approved and the amount and timing of funding to be paid to Administering Organisations for approved Proposals.

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

12.      All Administering Organisations will be notified of the outcomes of their Proposals (including Proposals not recommended for funding). Outcomes, funding allocations and other relevant information about the successful Proposals will be published on the ARC website.

13.      Administering Organisations whose Proposals are approved will be notified in a letter of offer that will indicate the funding to be offered and provided with a copy of a Funding Agreement for signing. Outcomes of the selection process are also made available on the ARC website.

14.      The Minister may vary the funding approval if the ARC recommends that the particular circumstances of the Project warrant variation. Any variation or change will accord with the Future Fellowships Funding Rules and Funding Agreement.

15. Appeals Process

16.      Applicants for funding under the schemes of the NCGP are able to submit an appeal against administrative process issues. The appeals process is designed to ensure that the applicant has been treated fairly and consistently in the context of the selection procedures.

17.      Appeals will be considered only against administrative process issues and not against committee decisions, assessor ratings and comments or the assessment outcome.

18.      Appeals must be submitted by the Administering Organisation on the ARC Appeals Form available on the ARC website at www.arc.gov.au/applicants/appeals.htm, authorised by a Deputy Vice-Chancellor (Research) or equivalent. Appeals must be received within 28 days of the date of the notification to the Administering Organisation of the outcome of Proposals. The ARC will not accept appeals later than 5.00 pm (AEDT/AEST) on the date of submission of the appeal.

19.      Appeals must be addressed and sent to the Appeals address advised at the beginning of these Funding Rules. The ARC will accept both electronic and hard copy Appeal submissions.

20.      Applicants for funding may at any time seek to appeal ARC decisions using available external appeal options. Regarding available options for external appeal, the Administrative Appeals Tribunal does not have general power to review ARC decisions.

21. Reporting Requirements

22.            Progress Reports 1.      Year 1: Report by Exception. A report must only be submitted if significant issues are affecting the progress of the Project. The report must specify the actions being taken to address the issues. Years 2 and 3: A Progress Report must be submitted. Details of ARC reporting requirements can be found on the ARC website at www.arc.gov.au/applicants/reported_requirements.htm. 2.      If the ARC is not satisfied with the progress of any Project, further payment of funds will not be made until satisfactory progress has been made on the Project. If satisfactory progress is still not achieved within a reasonable period of time, the funding may be terminated and all outstanding monies will be recovered by the ARC. 3.      When required, Progress Reports must be submitted by 31 March in the year following each full calendar year for which the funding was awarded as directed by the ARC.

23.            End of Year Reports 1.      The Administering Organisation must submit an End of Year Report by 31 March in the year following each calendar year for which the funding was awarded in accordance with the instructions to be provided by the ARC each year.

24.            Final Report 1.      A Final Report must be submitted for the Project within twelve (12) months of the final payment or within twelve (12) months of the final approved carryover of funds as directed by the ARC. Details of ARC reporting requirements can be found on the ARC website at www.arc.gov.au/applicants/reported_requirements.htm. 2.      The Final Report must justify why any publications arising from the Project have not been deposited in an open access institutional repository within twelve (12) months of publication. The Final Report must outline how data arising from the Project has been made publicly accessible where appropriate. 3.      If any reports are not submitted or are not satisfactory to the ARC this will be noted against future Proposals submitted by the Future Fellow. 4.      The ARC may also seek additional information about subsequent publications after submission of the Final Report.

25. Fundamental Principles of Conducting Research

26.            Ethics and Research Practices 1.      All Proposals and ARC-funded research Projects must conform to the principles outlined in the following and their successor documents:

    1. NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2007);
    2. as applicable, the NHMRC/ARC/UA National Statement on Ethical Conduct in Human Research (2007);
    3. as applicable, NHMRC Values and Ethics - Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health Research (2003);
    4. as applicable, AIATSIS Guidelines for Ethical Research in Australian Indigenous Studies (2011); and
    5. as applicable, codes on animal research promulgated by the NHMRC. 2.      If there is any conflict between a successor document and its predecessor, then the successor document prevails to the extent of any inconsistency.

14.2               Applicable Law

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

14.3               Confidentiality

14.3.1         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:

1. 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;

2. disclosed to ARC personnel to enable effective management or auditing of the Future Fellowships scheme or any Funding Agreement;

3. disclosed by the ARC to the Minister;

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

5. authorised or required by law to be disclosed;

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

7. in the public domain.

8.      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, including any intellectual property contained in the Proposal.

9.      Notwithstanding the above, and in addition to the exemptions listed at subsection 14.3.1, the ARC may publicise and report offers or awards of funding, including information about the proposed research; the name of the Future Fellows and their organisations; the name of the Administering Organisation and any other parties involved in or associated with the Project; the title and summary descriptions of the Project and its intended outcomes; and the level and nature of financial assistance from the ARC. Administering Organisations should ensure that information contained in the Project title and summaries would not, if released, compromise their own requirements for confidentiality (such as future protection of intellectual property).

10.      In making public information about a Proposal that has been approved for funding, the ARC may use a Project description, including title and summary, which may differ from that provided in the Proposal.

11.            Intellectual Property

12.      The ARC does not claim ownership of any intellectual property in a Proposal or in any research arising from a Project.

13.      The Administering Organisation must adhere to an intellectual property policy, approved by the Administering Organisation’s governing body, which has as one of its aims the maximisation of benefits to Australia arising from research. Unless otherwise approved by the Commonwealth, the Administering Organisation’s intellectual property policy must comply with the National Principles of Intellectual Property Management for Publicly Funded Research as amended from time to time.

14.            Incomplete or Misleading Information

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

16.      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.

17.      A decision under subsection 14.5.2 may be made by the ARC at any stage during the assessment of the Proposal and may result in non-progression of the Proposal to the next level of assessment.

18.      Examples of misleading information and misconduct include:

19. providing fictitious research opportunity and performance evidence;

20. plagiarism;

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

22. making false claims in relation to qualifications and/or appointments;

23. making false certifications in the RMS certification; or

24. failing to disclose to the Administering Organisation 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).

14.6               Publication and Dissemination of Research Outputs

14.6.1         All Proposals and ARC-funded research projects must comply with the ARC Open Access policy on the dissemination of research findings, which is available at www.arc.gov.au. In accordance with this policy, the ARC requires that any publications arising from a Project must be deposited into an open access institutional repository within a twelve month period from the date of publication. The ARC strongly encourages the depositing of data arising from a Project in an appropriate publicly accessible subject and/or institutional repository. See also subsection 13.3.2.

Appendix A  Eligible Organisations

 

A1.1             Higher Education Organisations

 

New South Wales

Australian Catholic University

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

MCD University 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

Batchelor Institute of Indigenous Tertiary Education

Charles Darwin University

 

Australian Capital Territory

The Australian National University

University of Canberra

 

A1.2             Other Eligible Organisations

 

Australian Antarctic Division (AAD)

Australian Astronomical Observatory (AAO)

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

Australian Nuclear Science and Technology Organisation (ANSTO)

Commonwealth Scientific and Industrial Research Organisation (CSIRO)

Defence Science and Technology Organisation (DSTO)

Geoscience Australia (GA)

The Australian Institute of Marine Science (AIMS)

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

 

A1.3             Medical Research Institutes

 

Adelaide Women’s and Children’s Health Research Institute

ANZAC Health and Medical Research Foundation

Baker IDI Heart and Diabetes Institute

Bionics Institute

Brain Research Institute Pty Ltd

Brien Holden Vision Institute

Cancer Council of Victoria

Cancer Council Queensland

Centenary Institute of Cancer Medicine and Cell Biology

Centre for Eye Research Australia Ltd

Children’s Cancer Institute Australia for Medical Research

Children’s Medical Research Institute

Garvan Institute of Medical Research

The George Institute for Global Health

Howard Florey Institute

Institute for Breathing and Sleep

Kolling Institute of Medical Research

Lions Eye Institute

Ludwig Institute for Cancer Research

Macfarlane Burnet Centre for Medical Research

Mater Medical Research Institute

Murdoch Childrens Research Institute

National Stroke Research Institute

Neuroscience Research Australia

Prince Henry’s Institute of Medical Research

Queensland Institute of Medical Research

Royal Brisbane and Women's Hospital

Schizophrenia Research Institute

St Vincent’s Institute of Medical Research

Telethon Institute for Child Health Research

The Heart Research Institute Ltd

The Lung Institute of Western Australia

The Mental Health Research Institute

The Wesley Research Institute

The Walter and Eliza Hall Institute for Medical Research

Victor Chang Cardiac Research Institute

Westmead Millennium Institute for Medical Research Ltd

Woolcock Institute of Medical Research Ltd

 

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[1] OECD (2002), Frascati Manual: Proposed Standard Practice for Surveys on Research and Experimental Development, Paris (Page 30).