Australian Research Council Act 2001 - Discovery Indigenous Researchers Development - Funding Rules for Funding commencing in 2004 (Cth)
DISCOVERY—INDIGENOUS
RESEARCHERS
DEVELOPMENT
Funding Rules for applicants
for funding commencing in
2004
Australian Research Council
Funding Rules for Funding Commencing in 2004
• • •
The following acronyms are used throughout these guidelines.
APD Australian Postdoctoral Fellowship
APDC Australian Postdoctoral Fellowship (CSIRO)
APDI Australian Postdoctoral Fellowship (Industry)
ARC Australian Research Council
EAC Expert Advisory Committee
GAMS Grant Application Management System
HECS Higher Education Contribution Scheme
NHMRC National Health and Medical Research Council
All research proposals should conform to the principles outlined in the Joint NHMRC/AVCC Statement and Guidelines on Research Practice (1997) (at Proposed research involving humans should conform to the principles outlined in the NHMRC’s National Statement on Ethical Conduct in Research Involving Humans (at: URL: Proposed research involving animals should conform to the principles outlined in the NHMRC’s codes on animal research (at
Australian Research Council
Funding Rules for Funding Commencing in 2004
The
• develop the research expertise of Indigenous Australian researchers to a level competitive with mainstream research funding;
• support fundamental research and research training by Indigenous Australians individuals and teams;
• provide Indigenous Australian researchers with experience in the preparation of research grant applications; and
• expand Australia ’s knowledge base and research capability.
Duration of Grant | 1-3 years |
Level of Funding | |
Applications received after close of business (AEST) |
3.2 Type of research supported
4.1 Applicant Roles
There are four applicant roles available under
• Chief Investigator (CI)
• ARC Research Cadetship—Aboriginal and Torres Strait Islander (RC-ATSI)
• Mentor (M)
• Supervisor (S)
4.2 General eligibility
To be eligible to apply for a
• identify as an Australian Aboriginal or Torres Strait Islander; and
• be accepted as such by the community in which s/he lives or has lived.
It is not a requirement that Mentors and Supervisors be Indigenous.
4.3 Eligibility to apply as Chief Investigators
To be eligible to apply as a Chief Investigator, the applicant must meet the following criteria
• He/she must be an active researcher who takes intellectual responsibility for the project, its conception, any strategic decisions called for in its pursuit and the communication of results. The applicant must have the capacity to make a serious commitment to the project and cannot assume the role of a supplier of resources for work that will largely be placed in the hands of others. The ARC reserves the right to rule on the question of capacity.
• He/she must reside predominantly in Australia for the full term of the grant. If the applicant does not have permanent resident status he/she must obtain temporary resident status from the Department of Immigration, Multicultural and Indigenous Affairs before taking up the grant.
• He/she must meet at least
one of the following two criteria—
- be associated with, or employed by, an Australian higher education institution. The applicant must hold a substantive position at, and/or derive at least 50 per cent of her/his salary from, that institution; and/or
- be a currently-enrolled candidate for a postgraduate research degree.
Researchers who are enrolled in higher research degrees may apply for a research grant, where the project forms part of their current research towards the degree. In this case, applicants will still need to demonstrate research capacity and experience.
Indigenous Australian researchers are not eligible to apply for a grant if they:
• are undertaking an undergraduate degree or an undergraduate diploma;
• currently hold or have held, a nationally competitive grant or fellowship from the ARC (other than an award made under the Discovery – Indigenous Researchers Development program) or the NHMRC;
• derive more than 50 percent of appropriated salary from a research organisation outside the higher education sector that is funded primarily for research from State/Territory or Commonwealth Government sources, for example:
- Defence Science and Technology Organisation (DSTO);
- Commonwealth Scientific and Industrial Research Organisation (CSIRO);
- Geoscience Australia (GA);
- State/Territory Research and Development (R&D) organisations; and
- NHMRC block-funded institutions.
4.4 Eligibility to apply as RC-ATSI
• The RC-ATSI is one or two years’ full-time employment on an approved project and are tenable at Australian higher education institutions.
• RC-ATSIs are not eligible to apply for a second RC-ATSI. However, they may apply for an APD (Discovery—Projects), APDI (Linkage—Projects) or APDC (Linkage—APD CSIRO) in the final year of their Research Cadetship.
• Applicants who apply for a RC-ATSI may apply for both a postdoctoral Cadetship, which provides a salary, and for a research project grant. Applicants who apply for RC-ATSI but not for a research grant must demonstrate how their research will be supported.
To be eligible to apply as an RC-ATSI, the applicant must meet the following criteria
• He/she must be an active researcher who takes intellectual responsibility for the project, its conception, any strategic decisions called for in its pursuit and the communication of results. The applicant must have the capacity to make a serious commitment to the project and cannot assume the role of a supplier of resources for work that will largely be placed in the hands of others. The ARC reserves the right to rule on the question of capacity;
• He/she must reside predominantly in Australia for the full term of the grant. If the applicant does not have permanent resident status he/she must obtain temporary resident status from the Department of Immigration, Multicultural and Indigenous Affairs before taking up the grant; and
• He/she must be researchers who have been awarded a PhD, or equivalent research doctorate, since 1 January 2000, or have not yet submitted their PhD but will do so before 31 December 2003. If an RC-ATSI is offered, it will be contingent upon receiving official confirmation that the thesis has been submitted by 31 December 2003. The cadetship cannot be taken up until formal advice has been received that the PhD thesis has been awarded. If these conditions have not been satisfied, the offer will be withdrawn.
4.4.2 Indigenous Australians not eligible to apply as RC-ATSIs
Indigenous Australian researchers are not eligible to apply for a grant if they:
• are undertaking an undergraduate degree or an undergraduate diploma;
• currently hold or have held, a nationally competitive grant or Fellowship from the ARC or the NHMRC.
4.4.3 Eligibility exemption on grounds of career interruption
In some circumstances, an applicant who is seeking an RC-ATSI may not satisfy all the required eligibility criteria due to research career interruption (including working in universities in non-research positions). If this is the case, an applicant may apply for an exemption from the eligibility criteria.
If, after reading these Funding Rules, a researcher is unsure whether he/she is eligible to apply for an RC-ATSI, he/she must consult the institution’s research office in the first instance.
If the candidate does require an eligibility exemption, a request must be lodged in writing, through the institution’s research office, with the D-IRD Program Coordinator, Disciplines and Programs Branch, ARC, before
If an applicant seeking an eligibility exemption fails to meet the above deadline, his/her subsequent application will be deemed ineligible.
4.5 Mentors and supervisors
As
If the proposed research is part of the research towards a higher research degree, it is strongly recommended that the applicant’s Supervisor be consulted on the preparation of the application and be associated with the proposal. The roles of Supervisor and Mentor can be filled either by the same individual or by separate persons, and applications may nominate both a mentor and supervisor.
4.6 Number of applications/grants
In any one year, the ARC will consider no more than two initial applications to
Submitting initial applications that contravene the above limits will result in the automatic exclusion of all applications involving that researcher as a Chief Investigator.
Only one application to the
Researchers may hold a maximum of two
Researchers may hold a maximum of one
A researcher may hold one grant a RC-ATSI and one as a Chief Investigator provided that one at least one of these grants must have more than one Chief Investigator or RC-ATSI.
5.1. Level of funding
The minimum grant size is $10,000 per annum.This level refers to the average annual amount that the ARC deems necessary for the project over the full period of the grant (not the average amount applied for, nor the amount sought in the first year).
The RC-ATSI salary is commensurate with current ARC APD salary rates (see Appendix).
5.2 Duration of funding
Applicants may apply for one or two years Cadetship but please note that the ARC reserves the right to offer a one year Cadetship.
5.3 Areas of investigation/work not supported
• clinical medicine and dental research and training and public health research and training that are covered by the NHMRC;
• activities leading solely to the creation or performance of a work of art, including visual art, musical compositions, drama, dance, designs and literary works, for which Commonwealth Government support is provided through the Australia Council for the Arts;
• scholarly investigations which, while important in themselves, do not lead to conceptual advances or discoveries, or to practical outcomes or applications. Such projects as uncritical biographical compilations and purely descriptive catalogues or editions that do not involve original research are not funded;
• production of teaching materials, even though some research may be involved in their production;
• compilation of data, unless an integral part of a project, in which case applicants must provide a statement indicating the research objectives to which the data would contribute; and
• development of research aids and tools (including computer programs), unless they form an integral part of a project, in which case applicants must provide a statement indicating the research objectives to which these activities would contribute.
• Discovery—Indigenous Researchers Development does not provide additional funding for existing projects previously funded by the Commonwealth under an ARC program.
5.4 Budget items not supported
• Salaries of Chief Investigators: the Commonwealth will not provide support, in whole or in part, to meet the salaries of Chief Investigators. Salaries for RC-ATSIs are provided.
• Special Studies Programs: funds are not provided for travel or other expenses for researchers when on a Special Studies Program. Travel to special facilities away from the base where a researcher is conducting his/her study is seen as part of the normal costs of a Special Studies Program.
• International students’ fees and Higher Education Contribution Scheme (HECS) liability: funds are not provided to pay the fees of international students or HECS liabilities for Australian students. A postgraduate student with a scholarship funded from a
Discovery—Indigenous Research Development grant and engaged as part of a project is deemed not to be the holder of an Australian Postgraduate Award (APA).• Computer facilities for molecular analysis: applicants for projects involving molecular biology should be aware that the ARC supports the Australian National Genomic Information Service which provides access to a range of databases and a large suite of analysis programs. As this service is available at modest cost, proposals seeking funding for computer facilities to undertake molecular analysis will have to justify such needs very thoroughly.
• Basic facilities: the host institution must certify its agreement to provide the following basic facilities which will not be funded under
Discovery—Indigenous Researchers Development :
- accommodation (eg. laboratory and office, suitably equipped and furnished in standard ways);
- access to workshop services (eg. machine tools and qualified technicians available to each member of staff, according to need, for research);
- access to a basic library collection;
- adequate computing time (excluding access to high-performance computers);
- standard reference materials or funds for abstracting services;
- basic computing, word processing and microfilm reading facilities;
- use of photocopiers, telephones, mail, fax, email and Internet services; and
- transcription services where the project is linked to higher degree studies.
• Publication costs
, including page costs, are not funded underDiscovery —Indigenous Researchers Development .
5.5 Cross scheme eligibility
If a funding request for any project, salary or equipment is being submitted to any other funding body, the
The ARC may liaise with other funding agencies to discuss any overlap between applications in order to avoid duplication of funding.
As the application is the prime source of information available to the selection committee, it must contain all the information necessary for assessment of the project without the need for further written or oral explanation, or for reference to additional documentation, including the World Wide Web, unless requested by the committee. All details in the application, particularly concerning any successful grants, must be current when submitted.
It is the responsibility of the administering institution to obtain signatures of the Chief Investigators, RC-ATSIs, Mentors and Supervisors named at part A2 of the form.
These signatures are to be retained by the administering institution who must provide these certifications if requested. A proforma is available for this purpose on the ARC website ( level="2">
Applications under
1 Application form to be completed in Grant Application Management System (GAMS)
2 Additional text Section B10 ‘Research Record Relative To Opportunities’;
Sections C2 and C3, ‘justifications of funding requested from the ARC’ and ‘details of non-ARC contributions;
Part E, ‘Project Description’.
If applicable, add supporting documentation:
Section A7.2, ‘additional detail’ for any participants associated with a Commonwealth Government-funded Centre
Section D2, ‘reports on ARC grants’
Curricula vitae and resumes should not be submitted as a part of the application. Additional unsolicited text will be removed from the application.
6.4 Application format
All documents must be written in English and must comply strictly with the format and submission requirements.
References may be reproduced in 10 point font size. Colour graphs or colour photographs may be included but they will be reproduced in black and white.
The application form is produced by the ARC’s web-based GAMS at
Applicants should note that a separate document,
An original and
Paper originals of the applications for
Applications should be sent to–
by
| by
|
7.1 Selection criteria
Primary criteria in considering applications are:
• the quality of the research project being proposed;
• the quality of the researcher(s) proposing the research project; and
• the quality of the research environment and/or mentor.
Other considerations may be:
• the probable impact of a successful outcome for the research project; and/or
• the extent to which the successful completion of the research project will train and equip the researcher to compete for mainstream research funding.
If an application is judged to be outside the scope of the
7.2 Assessment and selection procedure
Assessment of applications is undertaken by a selection committee comprising two or more members of the ARC Expert Advisory Committees. The selection committee may:
• exclude ineligible applications;
• assign independent readers/assessors to review the applications;
• seek applicants’ comments on assessors’ reports;
• rank each application relative to the others on the basis of the application, the assessors’ reports and applicants’ response to these assessments;
• assess and recommend budgets; and
• prepare funding recommendations that are submitted to the ARC Board for endorsement and then to the Minister for approval.
The ARC has procedures for declaring conflicts of interest and for members to withdraw from considering particular applications.
7.3.1 Exclusion of ineligible applications by the selection committee
Exclusion of ineligible applications by Expert Advisory Committee members may take place at any time during the selection process. The attention of all applicants is drawn to the major reasons for which applications are excluded on the grounds of eligibility:
• failing to submit the application through the appropriate Research Office/Chief Executive Officer for certification;
• not meeting the eligibility criteria for a Chief Investigator or RC-ATSI;
• exceeding limits on the number of applications permissible;
• incomplete or misleading information; and
• designating the application as ‘commercial-in-confidence’.
Each application not initially excluded will be assigned to one or more Australian-based readers who will be asked to read and rank assigned applications. Although every effort will be made to obtain one or more assessments for each application, the ARC reserves the right to make decisions based on any number of assessments or solely on the expert assessment of the selection committee.
Applicants may name any person whom they do not wish to assess the application. Detailed written justification must be submitted through the institution’s research office, in a separate letter, and it
D-IRD Program Coordinator
Disciplines and Programs Branch
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
The readers’ textual comments will be provided to the administering institution allowing the opportunity for a one-page rejoinder to the comments. To ensure impartiality, the readers’ names are not provided to the applicant. At the same time, the selection committee may add questions to the assessments sent to the applicants for rejoinder. Applicants have at least 10 working days in which to submit a response to the ARC.
The selection committee may make final checks on eligibility. The committee ranks each application relative to the others on the basis of the application, the readers’ reports and the applicants’ rejoinders to these assessments. The committee assesses and recommends budgets. The committee’s funding recommendations are submitted to the ARC Board.
A recommendation from the ARC Board is sent to the Minister for his/her consideration. The Minister determines which applications will be offered funding.
7.4 Offer of grant
Following the Minister’s approval, the successful administering institution will be informed by the ARC in a letter of offer that will indicate the funding to be provided and include the Conditions of Grant.
The successful administering institution will be notified in a letter of offer that will indicate the funding to be provided and will include any special conditions.
The agreement must cover the role of the Institutions in the project including:
• contributions by the institutions;
• payment of salaries for ARC Fellows;
• intellectual property arrangements; and
• an undertaking by the institutions to abide by the Funding Contract.
This will be available on the ARC website ( The grantee must accept the Funding Contract and the administering institution must sign the Funding Contract before grant payments can be made.
Projects must be commenced by 31 July in the first year of the grant. Failure to do so will result in termination of funding.
Appeals will be considered only against process issues and not against committee decisions or assessor ratings and comments. Appeals must be made on the appeals form available from the ARC website ( form must be lodged through the institution’s Research Office and be received,
The Appeals Officer
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
Administering organisations should note that the Funding Contract and post-award management cover the following matters.
Institutions are required to submit these documents to the ARC:
•
Exceptions Report on grants that have financial exceptions, by 1 October in the calendar year for which they were granted•
End-of-year Report on the expenditure of grant funds, by 31 March in the year following each calendar year for which funding was provided•
Progress Report on the project, by 31 January in the year following the calendar year for which funds were granted (Recipients of one-year grants should only provide a progress report if they are requesting a carry over of funds.)•
Final Report on the project, within six months of the completion of the grant•
Audited Financial Statement , by 30 June of the year following the year of the grant, in accordance with theAustralian Research Council Act 2001 ( ARC reserves the right to suspend payment of further instalments of any current grant until the appropriate reports have been received and assessed as satisfactory.9.1.2 Failure to provide reports Where an institution fails to submit satisfactory reports,or if those submitted are not satisfactory, as required, the Minister may determine that funds have not been used in accordance with conditions applicable to the grant, and that all or part of the grant must be repaid. In this case, the ARC may withhold the remainder of the institution’s payments under the Program for the current year or initiate recovery of grant money.
9.1.3 Varying the Funding Contract Requests to vary the Funding Contract must be forwarded in writing by the institution’s Research Office, or equivalent, to the ARC.
9.1.4 Payment of funds
Discovery—Indigenous Researchers Development operates on a calendar year basis. Subject to appropriations, payment of funds will be made to institutions in regular instalments, in accordance with approved payment arrangements made under theAustralian Research Council Act 2001. ( Funds must be used only for purposes approved underDiscovery—Indigenous Researchers Development , otherwise they must be returned through the usual payments system.9.2 Privacy of individuals Documents containing personal information are handled and protected in accordance with the provisions of the
Privacy Act 1988 , which sets standards for the collection, storage, use and disclosure of, and access to, personal information. Personal information is disclosed only with permission of the individual to whom it relates or where the Act allows.9.3 Confidentiality Information contained in applications is regarded as confidential unless otherwise stated and will be received and treated as confidential by the ARC, institutions and assessors.
9.4 Intellectual property Applicants must agree to comply with the
National Principles of Intellectual Property Management for Publicly Funded Research (available at and with the intellectual property policies and agreements of their research institutions.Researchers may need to negotiate appropriate arrangements directly with Indigenous Australian communities where this is appropriate. While evidence that agreement on intellectual property has been reached will not be a precondition for applications to be considered, it is strongly suggested that such matters be settled at the outset.
9.5 Incomplete or misleading information It is a serious offence to provide false or misleading information. If an application is incomplete or contains information that is considered misleading, it will be excluded from any further consideration for funding.
If the ARC believes that omissions or inclusion of misleading information are intentional, or if there is evidence of malpractice, the ARC will refer the matter for investigation with a view to prosecution under Commonwealth criminal law. The Commonwealth Government is committed to protecting its revenue, expenditure and property from any attempt, either by members of the public, contractors, sub-contractors, agents, intermediaries or its own employees to gain financial or other benefits by deceit.
Examples of malpractice include, but are not restricted to:
• providing fictitious track records; and
• falsifying claims in publications records (such as describing a paper as accepted for publication when it has only been submitted).
Grantees will be required to provide access to their premises, books of account and relevant documentation to officers of Department of Education, Science and Training’s National Investigations Unit (NIU), or such other persons authorised by the ARC, where there may be suspected breaches of the criminal law and to the Australian National Audit Office (ANAO) in respect of the ANAO’s statutory responsibilities.
9.6 Contact points
For further information, the institution’s Research Office should be contacted in the first instance.
Enquiries about
Discovery—Indigenous Researchers Development may be addressed to:D-IRD Program Coordinator
Disciplines and Programs Branch
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
Email: [email protected]
Phone: 02 6284 6600
Fax: 02 6284 6638
Web ARC Notional Fellowship Salaries
2003 Salaries in 2002 $ Australian Postdoctoral Fellowships (APD) / Australian Postdoctoral Fellowships Industry (APDI)/ Australian Postdoctoral Fellowships CSIRO (APDC)
Salary Scale* Salary + 26% on-costs $51,067 $64,345
* salary scales and stipends will be indexed to 2003 dollars for successful applications
2003 ARC Fellows Relocation (maximum) Allowances USA $15,000
UK/Europe/Asia (Nth Hem) $12,000
Asia (Sth Hem)/NZ $ 9,000
Australia (Interstate) $ 6,000
Claiming relocation costs
The institution will make payments to an RC-ATSI for travel and removal expenses associated with relocating residence in order to take up the position, or for an approved transfer, on condition that the Research Cadet provides full particulars of mode and time of travel and the receipts for all other payments (for example, removal expenses) to the institution within six months of the expenditure being incurred. The ARC will reimburse the institution only as part of the end-of-year report, provided that the claim is submitted within a year of the expenditure having been incurred.
The ARC will reimburse in accordance with the the following relocation expenses:
• travel expenses, not exceeding the cost of the cheapest direct airfare, for the Research Cadet and his/her dependants. Where a Cadet elects to travel by car, the Commonwealth will provide a mileage allowance up to the maximum equivalent of the cheapest direct airfare. On completion of the Cadetship, the Cadet will be entitled to the same return fare provisions and removal expenses, provided that he/she has not obtained subsequent employment in Australia for a period exceeding twelve months.
• relocation costs for the Cadet and his/her dependants. For the purposes of relocation entitlements, a dependant is defined as a person who moves residence with the Cadet. A spouse/partner who transfers employment to the city of the institution may be regarded as a dependant; a child continuing to study at the former city and not intending to live with the Cadet, may not be regarded as a dependant.
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