Linkage Infrastructure, Equipment and Facilities Funding Rules for funding commencing in 2014

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Linkage Infrastructure, Equipment and Facilities Funding Rules for funding commencing in 2014

 

Australian Research Council Act 2001

I, CHRIS BOWEN, Minister for Tertiary Education, Skills, 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 21 February 2013 

 

 

 

Chris Bowen

Minister for Tertiary Education, Skills, 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 Linkage Infrastructure, Equipment and Facilities

4.3 Selection Criteria

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

6.2 Partner Organisations

6.3 Collaboration

7. Roles and Eligibility for Researchers

7.1 Researcher Roles and General Eligibility

7.2 Eligibility Criteria for Chief Investigators

7.3 Eligibility Criteria for Partner Investigators

8. Proposals

8.1 Number of Proposals

8.2 Proposal Eligibility and Duplication

9. Submission of Proposals

9.1 Proposals

9.2 Submission of Proposals in the RMS

9.3 Closing Time for Proposals

9.4 Certification in the RMS

9.5 Conflict of Interest

10. Selection and Approval Process

10.1 Assessment and Selection Process

10.2 Rejoinder

10.3 Request Not to Assess

10.4 Recommendations and Offer of Funding

11. Appeals Process

12. Reporting Requirements

12.1 Progress Reports for Projects funded beyond one year

12.2 End of Year Reports

12.3 Final Report

12.4 Audited Financial Statement

13. Fundamental Principles of Conducting Research

13.1 Ethics and Research Practices

13.2 Applicable Law

13.3 Confidentiality

13.4 Intellectual Property

13.5 Incomplete or Misleading Information

13.6 Publication and Dissemination of Research Outputs

Appendix A Eligible Organisations

Key Dates

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

Contacts

Researchers should direct requests for information to the Research Office within their organisation.

 

ARC Contacts:

by mail to:  or by courier to:

 

Email: arc-lief@arc.gov.au

Phone: 02 6287 6600

Fax:  02 6287 6638

ARC website:  www.arc.gov.au

 

Appeals must be addressed and sent:

 

by mail to:  or by courier to:

 

Or by email to:

appeals@arc.gov.au

 

Other:

RMS Support Team:

Email:  rms@arc.gov.au

 

Post-award enquiries and report submission:

Email: ARC-postaward@arc.gov.au

1. Name of Funding Rules

These Funding Rules are the Linkage Infrastructure, Equipment and Facilities Funding Rules for funding commencing in 2014.

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 the Linkage Infrastructure, Equipment and Facilities and which will be responsible for the administration of the funding if the Project is approved for funding.

 

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

 

ARC Act means the Australian Research Council Act 2001.

 

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

 

Australian Laureate Fellow means a researcher who receives funding under the ARC Australian Laureate Fellowships scheme.

 

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

 

Commonwealth means the Commonwealth of Australia.

 

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 participating in the Project.

 

Eligible Organisation means an organisation listed at Appendix A.

 

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

 

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

 

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

 

Infrastructure means assets, facilities and services which directly support research across the innovation system and which maintain the capacity of researchers to undertake excellent research and deliver innovation outcomes.

 

In-Kind Contribution means a non-cash contribution which is made by the participating organisations for use in support of the Project and which contribution is valued at market rates.

 

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

 

NCGP means the National Competitive Grants Program.

Partner Investigator (PI) means a researcher who satisfies the eligibility criteria for a Partner Investigator under these Funding Rules.

 

Partner Organisation means an organisation, other than an Eligible Organisation, which is to be a contributor to the Project and satisfies the eligibility requirements for a Partner Organisation under these Funding Rules.

 

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

 

Project Leader means the first-named CI on a Proposal.

 

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

 

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.

4.                      Introduction

4.1                   Overview

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

4.1.2             The Linkage Infrastructure, Equipment and Facilities scheme is funded under the Linkage Program of the ARC’s National Competitive Grants Program.

4.1.3             The Linkage Infrastructure, Equipment and Facilities scheme (LIEF) provides funding for research infrastructure, equipment and facilities to Eligible Organisations to support research. Funding under LIEF required to support research infrastructure will vary between elements, including capital cost and skilled technical support but only to the extent to which it involves the construction, installation and/or creation of the infrastructure.

4.1.4             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 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 [innovative] applications’[1].

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

4.2                   Linkage Infrastructure, Equipment and Facilities

4.2.1             The objectives of the Linkage Infrastructure, Equipment and Facilities (LIEF) scheme are to:

1. encourage Eligible Organisations to develop collaborative arrangements with other Eligible Organisations, higher education institutions and/or their Partner Organisations to develop and support research infrastructure;
2. support large-scale cooperative initiatives thereby allowing expensive infrastructure, equipment and facilities to be shared and/or accessed; and
3. support areas of existing and/or emerging research strength.

4.3                   Selection Criteria

Proposals will be assessed and ranked using the following selection criteria:

1. Significance of research to be supported with the proposed infrastructure, equipment and facilities:              20%

2.               nature of the research, including aims and significance;

3. relevance of the proposed infrastructure, equipment and facilities to the needs of ARC and other competitively funded research projects/programs; and

4. enhancement of support for areas of existing and/or emerging research strength.

b.        Need and use of the proposed infrastructure, equipment and facilities:  30%

1. availability of and access to similar infrastructure, equipment and facilities at organisational, regional, national and/or international level;
2. demonstrated needs from the researchers and/or research projects that will utilise the proposed research infrastructure, equipment and facilities including level of demand and likely measurable impact on the research;
3. value for money and budget justification for cash and in-kind contributions, and the expected rate of use of the proposed infrastructure, equipment and facilities;
4. planned use of the proposed infrastructure, equipment or facilities including proposed arrangements for broader access and the alignment of this planned use with other similar existing facilities within Australia and/or internationally;
5. special needs for regional or otherwise isolated institutions; and
6. national benefit of the proposed research infrastructure, equipment and facilities to the research community.

 

c.         Nature of the alliance and commitment between the organisations named on the Proposal              30%

1. relevance of the research to the strategic priorities of the organisations;
2. evidence that each of the organisations is genuinely committed to, and prepared to collaborate in the Project;

iii.               existing or planned strategic research alliances between the higher education organisation(s) and other organisation(s); and

iv.               effectiveness of cooperative arrangements for the management and sharing of the proposed infrastructure, equipment and facilities.

d.        Investigator(s) 20%

i.  research opportunity and performance evidence (ROPE); and

ii.  for CIs who will manage the purchase, design, manufacture, installation, maintenance and coordination of access to the proposed infrastructure, equipment and facilities, a demonstrated record in these activities.

5.                      Funding

5.1                   Level and Period of Funding

 

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

5.1.2             The minimum level of funding provided by the ARC for a Project under LIEF is $150,000 per year.

5.1.3             The maximum level of funding provided by the ARC for a Project under LIEF is up to 75 per cent of the total direct cost of the infrastructure, equipment and facilities.

5.1.4             A Project may be applied for and awarded funding for one year, or, for subscriptions and/or membership costs for coordinated access to major national and/or international facilities or consortia, up to five years.

5.1.5             The ARC reserves the right to recommend levels of funding for a Project at levels that may differ from those requested in the Proposal.

5.1.6             Funding for a Project may only be carried forward for a maximum of two years from the date funding commences, except under exceptional circumstances and with the prior approval of the ARC.

5.1.7             Funding for approved projects will commence effective 1 January 2014, unless other arrangements are approved by the Minister.

5.2                   Budget Items Supported

Budget items which directly support provision of infrastructure, equipment and facilities for use in research projects may be funded, including:

1. animal houses, herbaria, experimental farms;
2. integrated research facilities consisting of multiple components which can be used either simultaneously or serially for research projects (where each of these research projects is integrated by having a single research aim or theme);
3. international facilities, consortium membership or subscription costs, approved by the ARC under an international agreement including costs associated with the establishment, upgrading, and/or operation appropriate to Australia’s participation in the use of the facility;
4. major national research facilities, consortium membership or subscription costs, including reasonable operational costs directly relevant to the research program (where subscriptions cover such costs or where membership of a major national facility incurs an obligation that cannot be funded by other means);
5. library and research information infrastructure (non-capital aspects only) to support specific research projects/programs which may also include salaries and minor pieces of equipment to build an integrated facility;
6. purchase, upgrade, construction, transportation of, installation of, maintenance of and/or management of access to the infrastructure, equipment and facilities, including salaries and/or on costs directly associated with these activities; and
7. data compilations, catalogues or bibliographies directly linked to the needs of competitively funded projects/programs.

5.3                   Budget Items Not Supported

Budget items which will not be supported by ARC funding are:

1. basic facilities that should normally be funded by an Administering Organisation, Eligible Organisation and/or Partner Organisation;
2. capital works and general infrastructure costs;
3. fees for international students or the Higher Education Contribution Scheme (HECS) and Higher Education Loan Program (HELP) liabilities for students;
4. costs of accommodation;
5. salaries and/or on costs, in whole or in part, for CIs or PIs;
6. teaching and/or teaching relief;
7. and travel costs associated with use of the proposed infrastructure, equipment and facilities.

5.4                   Research / Activities Not Supported

5.4.1             Except where such activities meet the definition of research at 4.1.4 the LIEF scheme does not support infrastructure, equipment and facilities for production of:

1. descriptive compilations not linked to the needs of competitively funded projects/programs; and/or
2. teaching materials.

5.4.2 The LIEF scheme does not support Medical and Dental Research, defined as research and/or training primarily and substantially aimed at understanding or treating a human disease or health condition. This includes, but is not limited to, Projects that involve any of the following:

1. late pre-clinical or early human trials of a human therapeutic agent, material or diagnostic test or device; or other interventional research involving humans;
2. using material collected from human subjects for the primary purpose of studying the underlying causes, prevalence, epidemiology or mode of inheritance of a disease or human condition; or
3. using established animal models or established cell lines for the purpose of studying the underlying causes, prevalence, epidemiology or mode of inheritance of a human disease or human health condition.

6.                      Organisational Types, Roles and Eligibility

6.1                   Eligible Organisations

6.1.1             A Proposal may be submitted only by an Eligible Organisation listed at Appendix A.

6.1.2             The Eligible Organisation that submits the Proposal will be the Administering Organisation.

6.1.3             The Administering Organisation must demonstrate a significant contribution of cash and/or in kind resources to the Project. An Eligible Organisation named on the Proposal or which has a CI named on a Proposal must also demonstrate a significant contribution of cash and/or in-kind resources to the Project.

6.1.4             A Proposal must involve two or more Eligible Organisations unless it can be demonstrated that:

1. collaborative use of the proposed infrastructure, equipment and facilities by another Eligible Organisation is not practicable; and
2. similar infrastructure, equipment and facilities are not available at another Eligible Organisation where collaborative arrangements would be practicable.

6.2                   Partner Organisations

6.2.1             Partner Organisations named on a Proposal must participate for the duration of the Project unless otherwise approved by the ARC.

6.2.2             A Partner Organisation must demonstrate a significant contribution of cash and/or in kind resources to the Project having regard to the total cost of the Project and the relative contribution of each PI, if any.

6.2.3             A Partner Organisation contribution must be specified in Australian dollars and, subject to these Funding Rules, contributed at the specified level regardless of currency fluctuations.

6.3                   Collaboration

6.3.1             The infrastructure, equipment and facilities, where appropriate, will be located at the Administering Organisation and be listed in its assets register, unless otherwise approved by the ARC.

6.3.2             The Proposal must set out, as agreed by each organisation named on the Proposal:

1. the terms and conditions of access; and
2. details of the arrangements and costs of managing the infrastructure, equipment and facilities (including any recurrent expenditure) and how any costs will be distributed.

6.3.3             Where the infrastructure, equipment and facilities requested is proposed to be located in more than one organisation, the Proposal must demonstrate clearly that:

1. the facilities are genuinely integrated and collaborative;
2. the items of infrastructure, equipment and facilities are complementary; and
3. the overall research outcomes will be enhanced.

7.                      Roles and Eligibility for Researchers

7.1                   Researcher Roles and General Eligibility

7.1.1             Roles that may be undertaken by researchers are:

1. Chief Investigator (CI); or
2. Partner Investigator (PI).

7.1.2             A Proposal must nominate at least one CI; the first-named CI from the Administering Organisation will be the Project Leader and must have a demonstrated high capacity to manage the Project.

7.1.3             A Proposal may nominate no more than a total of 30 CIs and PIs. No more than five CIs from each Eligible Organisation or five PIs from each Partner Organisation may be nominated on a Proposal.

7.1.4             A CI or PI 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 CI or PI 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.

7.1.5             A CI or PI must be a significant and regular user of the infrastructure, equipment and facilities, on average, for a minimum of four hours per week (full time equivalent) by the CI or PI and/or their working group.

7.1.6             At the time of the submission of a Proposal, all obligations regarding previously funded LIEF Projects involving all the nominated CIs and PIs on the Proposal must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory Final Reports.

7.2                   Eligibility Criteria for Chief Investigators

7.2.1             A researcher nominated on a Proposal as a CI must meet at least one of the following criteria as at 1 January 2014, and for the full term of her/his participation in the Project:

1. be an employee for at least half time (50 per cent of Full Time Equivalent) at one Eligible Organisation;
2. be a holder of an Emeritus, Adjunct or equivalent appointment at an Eligible Organisation and not be employed more than half-time (50 per cent of Full Time Equivalent) at another organisation that:
3. is outside the higher education sector, and
4. engages in research funded predominantly from state/territory or Commonwealth Government funding sources; or
5. be a Federation Fellow; or
6. be an Australian Laureate Fellow.

7.2.2             A CI must reside predominantly in Australia for the life of the Project. The CI may seek approval from the Administering Organisation to undertake fieldwork, or study leave, directly related to the Project. Such absences must not total more than half the Project funding period.

7.2.3             A researcher who is an employee of an Eligible Organisation listed in Appendix A who does not reside predominantly in Australia may be a PI.

7.2.4             A researcher undertaking undergraduate or postgraduate studies is not eligible to be a CI.

7.2.5             Each Eligible Organisation must identify a maximum of one CI who has a demonstrated record relative to opportunity in managing the proposed research infrastructure, equipment and facilities to be CI Manager for the Eligible Organisation.

7.2.6             If a Proposal has been approved for funding and a CI is, at any time, no longer able to work as proposed on the Project, the Project may be continued provided that the Project still includes at least one CI who was named on the Proposal and any replacement CI is approved by the ARC and meets the CI eligibility criteria.

7.3                   Eligibility Criteria for Partner Investigators

7.3.1             A researcher nominated on a Proposal as a PI must:

1. 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 PI 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;
2. not meet the eligibility criteria for a CI; and
3. secure a significant cash or in-kind contribution or other resources from their own organisation for the Project (having regard to the total cost of the Project and the relative contribution of other investigators).

7.3.2             Each Partner Organisation may identify a maximum of one PI who has a demonstrated record relative to opportunity in managing the proposed research infrastructure, equipment and facilities.

7.3.3             If a Proposal has been approved for funding and a PI is, at any time, no longer able to work as proposed on the Project, the Project may be continued provided that the relevant Partner Organisation continues its involvement with the Project, and any replacement PI is approved by the ARC and meets the PI eligibility criteria.

8.                      Proposals

8.1                   Number of Proposals

A researcher must not be nominated as a CI or as a PI on more than two LIEF Proposals in the same funding round.

8.2                   Proposal Eligibility and Duplication

8.2.1             A Proposal may only be submitted once in the same funding round to LIEF regardless of any variation in the proposed infrastructure, equipment and facilities, the proposed research, the listed researchers and/or Administering Organisation.

8.2.2             The ARC will not duplicate funding for infrastructure, equipment and facilities funded by the Commonwealth as at 1 January 2014. No part of the cash contribution by an organisation named on the Proposal can be from Commonwealth financial assistance for projects funded or likely to be funded for the same infrastructure, equipment and facilities.

8.2.3             The Proposal must list, in the manner required by the Instructions to Applicants, all current funding and requested funding for each CI and PI under any ARC scheme or any other Commonwealth funding scheme relevant to the proposed infrastructure, equipment and facilities.

8.2.4             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.

8.2.5             A decision under subsection 8.2.4 may be made by the ARC at any stage during the assessment of a Proposal and may result in non-progression of the Proposal to the next level of assessment.

9.                      Submission of Proposals

9.1                   Proposals

9.1.1             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.

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

9.2                   Submission of Proposals in the RMS

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

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

9.3                   Closing Time for Proposals

9.3.1             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.

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

9.3.3             Upon receipt of a written request from the Administering Organisation the ARC may approve the withdrawal of a Proposal. The ARC will consider the request to withdraw a Proposal but may choose not to give effect to such a request.

9.4                   Certification in the RMS

9.4.1             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.

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

9.5                   Conflict of Interest

9.5.1             All parties involved in or associated with a Proposal must disclose at the date of submission any Conflict of Interest that exists or is likely to arise in relation to any aspect of the Proposal.

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

9.5.3             All Proposals must include a declaration of any Conflicts of Interest with members of the ARC College. A list of ARC College members is available on the ARC website at www.arc.gov.au.  

9.5.4             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.                 Selection and Approval Process

10.1               Assessment and Selection Process

10.1.1         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.

10.1.2         All Proposals will be considered against eligibility criteria and compliance with these Funding Rules.

10.1.3         All Proposals may be:

1. assigned to independent assessors, from a range of organisations, who will assess and report, which may include 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, on the basis of the Proposal, any assessors’ reports and any rejoinder.

10.1.4         Following the recommendation 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.

10.1.5         The ARC has procedures in place for managing organisational and personal Conflicts of Interest for assessors, members of the ARC College, members of other ARC Committees and ARC staff.

10.2               Rejoinder

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.

10.3               Request Not to Assess

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 . This form must be 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. 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.

10.4               Recommendations and Offer of Funding

10.4.1         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 funding to be paid to Administering Organisations for approved Proposals.

10.4.2         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.

10.4.3         All Administering Organisations will be notified of the outcomes of their Proposals (including Proposals not recommended for funding).

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

10.4.5         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 ARC LIEF Funding Rules and Funding Agreement.

11.                 Appeals Process

11.1.1         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.

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

11.1.3         Appeals must be submitted by the Administering Organisation on the ARC Appeals Form on the ARC website at www.arc.gov.au/applicants/appeals.htm, authorised by a Deputy Vice-Chancellor (Research), Chief Executive Officer 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.

11.1.4         Appeals must be addressed and sent to the address advised under ‘Contacts’ at the beginning of these Funding Rules. The ARC will accept both electronic and hard copy appeal submissions.

11.1.5         Applicants for funding may seek at any time to appeal ARC decisions using available external appeal options.

12.                 Reporting Requirements

12.1               Progress Reports for Projects funded beyond one year

12.1.1         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.

12.1.2         Year 2 of a 4 Year Project and Year 3 of a 5 Year Project: A Progress Report must be submitted in accordance with the instructions to be provided by the ARC each year.

12.1.3         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.

12.1.4         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. If a Project has been completed in the first calendar year of funding no Progress Report is required.

12.2               End of Year Reports

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

12.3               Final Report

12.3.1         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.

12.3.2         The Final Report must justify why any publications arising from a 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.

12.3.3         If any reports are not submitted or are not satisfactory to the ARC this will be noted against future Proposals submitted by all participants.

12.3.4         The ARC may also seek additional information about subsequent publications after submission of the Final Report.

12.4               Audited Financial Statement

12.4.1         In accordance with section 58 of the ARC Act, the Administering Organisation must submit an Audited Financial Statement by 30 June for each year following each calendar year for which the funding was awarded.

12.4.2         In completing the Audited Financial Statement, the Administering Organisation must ensure that the amount shown in that statement as ‘approved carry forward funds’ is the same as the amount (if any) for which approval was given by the ARC to carry over in the End of Year Report.

13.                 Fundamental Principles of Conducting Research

13.1               Ethics and Research Practices

13.1.1         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); and
3. as applicable, codes on animal research promulgated by the NHMRC.

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

13.2               Applicable Law

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

13.3               Confidentiality

13.3.1         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:

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 LIEF 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; and/or

g. in the public domain.

13.3.2         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.

13.3.3         Notwithstanding the above, and in addition to the exemptions listed at clause 13.3.1, the ARC may publicise and report offers or awards of funding, including information about the proposed research; the name of the investigators nominated in funded LIEF Proposals 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 title and summaries of the proposed Project would not, if released, compromise their own requirements for confidentiality (such as future protection of intellectual property).

13.3.4         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.

13.4               Intellectual Property

13.4.1         The ARC does not claim ownership of any intellectual property in a Proposal or in any research arising from an approved Proposal.

13.4.2         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 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.

13.5               Incomplete or Misleading Information

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

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

13.5.3         A decision under subsection 13.5.2 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.

13.5.4         Examples of misleading information and misconduct include:

1. providing fictitious research opportunity and performance evidence;
2. plagiarism;
3. making false claims in publications records (such as describing a paper as accepted for publication when it has only been submitted);
4. making false claims in relation to qualifications and/or appointments;
5. making false certifications in the RMS certification; or
6. 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).

13.6               Publication and Dissemination of Research Outputs

13.6.1         Publication and dissemination of Project outputs and outreach activity costs may be supported at up to two (2) per cent of total non-salary ARC funding awarded to the Project, and no prior approval is required; nor does this need to be separately itemised at time of application. This excludes fees for patent application and holding.

13.6.2         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 clause 12.3.2.

 

Appendix A  Eligible Organisations

 

The organisations listed below are eligible to apply for and receive funding under these Funding Rules.

 

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

Charles Darwin University

Batchelor Institute of Indigenous Tertiary Education

 

Australian Capital Territory

The Australian National University

University of Canberra

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

 

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