Australian Research Council Act 2001 - Linkage - Infrastructure - Funding Rules for applicant for funding commencing in 2004 (Cth)
LINKAGE—
INFRASTRUCTURE
EQUIPMENT AND FACILITIES
Funding rules
for funding commencing in
2004
Australian Research Council
Funding rules for applicants for funding commencing in 2004
1 Overview............................................................................................................. 4
2 Objectives........................................................................................................... 4
3 Definition of research infrastructure................................................................... 4
4 Eligibility............................................................................................................ 4
4.1 Eligibility of the institution
4.2 Eligibility of the project
4.2.1 Key criteria
4.2.2 Integrated facilities
4.2.3 Ownership and location of equipment and facilities
4.2.4 Cash contribution by institutions
5 Funding............................................................................................................... 7
5.1 General funding issues
5.2 Goods and Services Tax (GST)
5.3 Areas of investigation not supported
5.4 Budget items not supported
6 Application process............................................................................................. 9
6.1 Applications
6.1.1 Submission of applications
6.1.2 Application format
6.1.3 Application form and instructions to applicants
6.1.3.1 Additional text
6.1.3.2 Supporting documentation and
curricula vitae
6.2 Number of copies
6.3 Closing date for applications
6.4 How to submit applications
7 Selection and approval process......................................................................... 12
7.1 Selection criteria
7.2 Selection procedure
7.3 Exclusion
7.4 Offer of financial assistance
7.5 Acceptance of Funding Agreement
8 Appeals process................................................................................................. 13
9 Funding administration..................................................................................... 14
9.1 Funding Agreement
9.1.1 Reporting requirements
9.1.2 Failure to provide reports
9.1.3 Varying the Funding Approval and Agreement
9.2 Financial management
9.3 Privacy
9.3.1 Privacy of individuals
9.3.2. Privacy complaints and advice
9.4 Confidentiality
9.5 Intellectual Property
9.6 Incomplete or misleading information
9.7 Contact points
Appendices
1 Eligible higher education institutions............................................................... 17
2 Library and information infrastructure............................................................. 18
Acronyms
The following acronyms are used throughout these Funding Rules.
ARC Australian Research Council
EAC Expert Advisory Committee
GAMS Grant Application Management System
GST Goods and Services Tax
LIEF Linkage‑Infrastructure Equipment and Facilities Program
NCGP National Competitive Grants Program
NHMRC National Health and Medical Research Council
RIEF Research Infrastructure Equipment and Facilities Scheme
Australian Research Council
Funding rules for applicants for funding commencing in 2004
1 Overview
The ARC currently funds infrastructure through the
The Program is managed on an annual basis and funding is normally provided for one year only. Applications for LIEF are submitted through the ARC’s Grant Administration and Management System (GAMS).
2 Objectives
The objectives of the LIEF Program are to:
• encourage institutions to develop collaborative arrangements among themselves, across the higher education sector and with organisations outside the sector, in order to develop research infrastructure;
• support large-scale cooperative initiatives involving two or more institutions, thereby allowing expensive facilities to be shared;
• enhance support for areas of research strength; and
• ensure that researchers in fields of recognised research potential have access to the support necessary for development.
3 Definition of research infrastructure
It excludes any direct project costs that can be covered from other sources of funding.
4 Eligibility
4.1 Eligibility of the institution
A single university application is defined as an application whose list of participants includes only
In such cases, the application must demonstrate clearly that:
• the project does not duplicate equipment or a similar facility at another institution where collaborative arrangements would be practicable; and
• collaborative use of the new equipment by other higher education institutions is not feasible.
Applications involving organisations that are not higher education institutions, such as government research organisations and businesses, are also encouraged, provided that:
• at least one eligible higher education institution is involved in the application; and
• any funds allocated for equipment and/or facilities are used to build up infrastructure within the higher education sector.
This applies both to applications submitted by only one university and no collaborating organisations, and applications that involve a number of industry or government partners but only one university partner.
In such cases, the peak body may apply on behalf of, and with the full written agreement of, the higher education institutions. Such applications must identify the mechanism for accountability and distribution of the funding between the eligible higher education institutions.
4.2 Eligibility of the project
Projects must relate to high-quality research activity and must be broadly in line with the research directions of the institution(s) involved.
Where the equipment required will be located in more than one institution, the application must demonstrate clearly that:
• the facility is genuinely integrated and collaborative;
• the items of equipment are complementary in nature; and
overall research outcomes will be enhanced.
A Chief Investigator should be an established researcher who will be primarily involved in the use of the equipment or facility. Normally, there will be at least one Chief Investigator from each of the collaborating institutions. Individual researchers must not be named as Chief Investigators on more than two LIEF applications in a year. Contravention of this limit may result in the exclusion of all LIEF applications involving that researcher as a Chief Investigator.
Chief Investigators must have fulfilled all obligations from previous ARC grants (including final and end of year reports) before LIEF funding can be awarded.
Funding may be sought only for expenditure related to research infrastructure and equipment and facilities such as:
equipment purchase and installation;
• facilities such as computing centres, centrifugation facilities, animal houses, herbaria, experimental farms but not including capital works (see Section 5.4);
• salaries if these are directly associated with creating and installing the facility;
• consortium membership costs, travel to the facility, and secretariat costs in the case of Australia’s participation in significant international-scale projects; and
• library and information infrastructure (non-capital aspects only to support specific research projects). Applicants should refer to the advice at
Appendix 2 of these Funding Rules.
LIEFsupports major facilities and equipment. Minor items of equipment are the responsibility of institutions. However, there may be special circumstances in which a case can be made for an integrated facility consisting of a number of small items. Such applications will be considered only where a convincing case can be made that an integrated facility is necessary to support research activities.
Ownership of shared facilities and equipment provided under LIEFis to be vested in the lead higher education institution identified on the application, listed in its assets register and located on campus. Collaborating institutions must reach agreement on time-sharing and access to equipment or facilities before applying for funding. Details of applicants’ time‑sharing and access arrangements must be included in their LIEF application.
In these circumstances, the terms of access must be guaranteed and agreed to by the parties in a contract prior to application. The costs of managing the equipment or facility should then be proportionally distributed across the users of the facility and agreed to prior to application. In such cases, ownership of the equipment or facility is vested with the institution that receives the LIEF funding. A copy of the signed agreement specifying location, access and sharing of recurrent costs must be attached to the application.
The LIEF Program will fund up to a maximum of 75 per cent of the direct cost of purchasing the equipment or creating the facility (net of GST).
Such items may be included only as in-kind contributions. Supplier discounts on infrastructure items must be included in the application but may not be identified as cash or in-kind contributions.
In such cases, each participating institution is nonetheless required to contribute pro-rata to the funded items at the rate identified in the funding application, irrespective of where those items are to be located. Institutions are required to submit at a minimum the pro-rata sum required, but may maintain the original level of commitment offered.
5 Funding
5.1 General funding issues
The minimum funding available for a grant under LIEFis $100,000. A total budget of approximately $25 million is available for distribution to LIEF projects in 2004. Additional allocations of expenditure cannot be accommodated once the Minister has approved the funding recommendations, as there are no additional funds available.
Funding is normally for one year only and is not recurrent, except whereinternational agreements and national facilities are involved. All applicants must apply for funding each year. Where the ARC has accepted a case for continuing funding, the applicant will be required to submit an application each year until review.
Under such circumstances, the maximum funding period sought must be identified in the text of the initial application. If funding is required for more than five years, a review of the project will be conducted early in the fourth year, before any application for further funding is considered.
All bids for funding projects lasting more than one year must include a strategy for achieving sustainability following the period of LIEF funding.
5.2 Goods and Services Tax (GST)
However, non government-related entities which are liable to pay GST on the transaction with the ARC will receive base funding plus GST.
The ARC will make GST adjustments to payments depending on whether the funding has been provided to a government-related or non-government-related entity. Applicants are therefore required to provide their budgets exclusive of GST.
5.3 Areas of investigation not supported
Research in the fields of clinical medicine and dentistry is not supported. The National Health and Medical Research Council (NHMRC) has responsibility for funding research in those fields.
5.4 Budget items not supported
The following items are
• capital works (that is, the construction of buildings), because institutions receive operating grant funding for capital works;
rental of accommodation;
• operational costs, including salaries of staff engaged in teaching and research, and in research only (including the cost of ‘buying time’ to free such staff to do more research) except, at the ARC’s discretion, where subscriptions for major international facilities cover such costs;
• salaries of staff supporting research at the institutional level (for example, Deputy Vice-Chancellor Research, Research Grants Officer);
stipends of postgraduate research students;
• travel costs directly associated with individual projects (with the exception of travel costs to allow participation in international consortia); and
• small pieces of equipment that should be funded by institutions (such as personal computers).
Please refer to
Application process
6.1 Applications
All details in the application, particularly concerning any successful grants, must be current.
For successful applications, the ARC may publish details contained in the full application, including applicants’ names and institutions, application title, summary of proposal and research classifications.
Applicants should note that applications are considered by a committee that may include people who are
Applications under LIEFconsist of two parts:
1 Application form. Parts A, B, C, D and E of the application form are completed in GAMS and provided to the ARC in both electronic and paper copies.
2 Additional text (Part F of application form). Part F includes supporting documentation and applicants’ curricula vitae. Part F is provided to the ARC as a paper copy behind the associated application form.
All documents must be written in English and must comply strictly with the ARC’s format and submission requirements.
All pages must be in black type, use a single column and
Pages in excess of the number stipulated for each part below will be removed from the application before it is assessed.
Applicants must complete the application form produced by the ARC’s web-based GAMS, available at
The application form is organised into six parts:
Part A Administrative summary
Part B Personnel
Part C Cost and usage
Part D Research support
Part E Collaborating organisation details
Part F Project and participant information
Applicants should note that a separate document,
The additional text is to be no longer than
• a description of the research activities to be supported, stating how the research will be enhanced and why it is important. Comments must be related to the research priorities of the institution/s involved;
• the need and level of demand for the proposed equipment in Australia and the availability of comparable infrastructure elsewhere in the country;
• a description of the collaborative arrangements proposed, including the involvement of each institution. A single university applicant must justify why collaborative arrangements are not feasible or appropriate;
• a detailed budget justification that states the amount required for each item and the priority afforded each item (A, B or C). Note that each budget item and its priority must be justified;
• funding from sources other than the applicant institutions;
• details of staff, students and resources involved in the research activities; and
• the arrangements proposed for the purchase or construction of the equipment, its location, installation, day-to-day management and operation, maintenance, access by users to the facility, and the sharing of time and resources to maximise its use.
Applicants for library or information infrastructure must also address the issues identified in
6.1.3.2 Supporting documentation and curricula vitae
These documents are
• curriculum vitae (CV) for each Chief Investigator, each no more than
one page in length (including publication details). CVs must include the following details:
o name;
o qualifications and current appointment;
o relevant employment history;
o a list of the ten most significant relevant publications for the last five years and the total number of peer-reviewed research publications over the last five years; and
o brief details of all competitive grant funding for the last five years
▪ CVs longer than one page will be removed from the application before assessment
. • summary of quotes for items to be purchased, one page in length, to be included in the application after the additional text and CVs
o quotes must include all discounts to be provided by suppliers;
o quotes for items in foreign currency must include the exchange rate at the time of applying;
• if equipment is to be located outside an eligible higher education institution (as listed at
Appendix 1 ), a copy of an agreement on access, use and maintenance between collaborators must be attached.
6.2 Number of copies
An original and
1 application form;
2 additional text; and
3 supporting documentation and curricula vitae.
6.3 Closing date for applications
Paper originals of LIEF applications must be received by the ARC, and the application form completed using GAMS must be submitted, by close of business (AEST)
6.4 How to submit applications
University Research Offices have access to GAMS and will allocate GAMS UserIDs and passwords to enable applicants at their university to access the system and create application forms. If an applicant has previously been allocated access to GAMS, her/his UserID and password should still be current.
Applicants who require an alternative means to submitting the form online should contact their University’s Research Office.
Research Offices should send applications
by
| by
|
Applicants should note that a separate document,
7 Selection and approval process
7.1 Selection criteria
Assessment will be based on the following criteria:
The application should indicate the relevance of the proposed infrastructure to national needs and the availability of comparable infrastructure elsewhere in Australia.
2 Excellence of the researchers and research activity to be supported.
This evaluation will take into account the opportunities that have been made available to the researchers to date.
Where possible (and relevant), applications should also detail past and present cooperation and collaboration between the institutions concerned. Where the application seeks an extension of existing equipment facilities and/or additional equipment for a facility previously funded under LIEF or the Research Infrastructure Equipment and Facilities (RIEF) Scheme, then the extent of the current usage should be set out.
The application must provide clear evidence of the extent of financial and other support from the collaborating institutions and partners, and must be consistent with the institutions’ research management plans.
7.2 Selection procedure
The Advisory Committee:
• ranks each application relative to the others on the basis of the application;
assesses and recommends budgets; and
• prepares funding recommendations that are submitted to the ARC Board and then to the Minister for approval.
The ARC has procedures for managing any institutional and personal conflicts of interest experienced by Committee members, and for enabling members to withdraw from considering particular applications.
7.3 Exclusion
Applications may be excluded for contravening the Funding Rules in any way, for instance by:
• failing to submit the application through the appropriate Research Office for certification;
not meeting the eligibility criteria; or
providing incomplete or misleading information.
7.4 Offer of financial assistance
Collaborating institutions will be advised of the details of relevant funding offers. The Minister’s decision is final.
7.5 Acceptance of Funding Agreement
Applicants should familiarise themselves with the draft LIEF Funding Agreement, which will be available at
The administering institution must sign the Agreement before funding payments can be made. If the institution is administering more than one grant under the LIEFProgram, only one Funding Agreement needs to be completed.
8 Appeals process
Appeals must be made on the appeals form available on 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
9 Funding administration
9.1 Funding Agreement
Administering organisations should note that the Funding Agreement and post-award management cover the following matters.
These comprise:
•
End of Year Report on the project. This details expenditure of Commonwealth funds and is the mechanism for institutions to seek a carry-forward of unspent funds. The End of Year Report is to be submitted by 31 March in the year following the calendar year for which funds were awarded;•
Audited Financial Statement , to be submitted by 30 June of the year following the year for which funds were awarded; and•
Final Report on the project. This report must be submitted by 1 November of the year following the calendar year in which all ARC funds and partner contributions have been expended.
The ARC reserves the right to suspend payment of further instalments of any current funding until the appropriate reports have been received and assessed as satisfactory.
In this case, the ARC may withhold the remainder of the institution’s payments for the current year or initiate recovery of paid funds.
The Funding Approval may be varied where any of the following circumstances occur:
(a) the organisation’s involvement with the research program ends;
(b) the research program changes so that it is no longer consistent with the description in the Funding Approval;
(c) the person named in the funding approval as the person leading the research program ceases to lead the program;
(d) any of the collaborating partner institutions involved in the research program end their involvement with the program;
(e) there are significant alterations to the level of access to the funded equipment or facility granted to the partner institutions; and
(f) any other such circumstances as the ARC may, in its discretion, determine.
9.2 Financial management
LIEFoperates 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 the
9.3 Privacy
Documents containing personal information are handled and protected in accordance with the provisions of the
Persons, bodies and organisations involved in the ARC program must abide by the IPPs and the
• personal information is collected in accordance with IPPs 1-3;
• suitable storage arrangements, including appropriate filing procedures are in place;
• suitable security arrangements exist for all records containing personal information;
• access to a person’s own personal information held by the organisation is made available to the person at no charge;
• records are accurate, up-to-date, complete and not misleading;
• where a record is found to be inaccurate, the correction is made;
• where a person requests that a record be amended because it is inaccurate but the record is found to be accurate, the details of the request for amendment are noted on the record;
• the personal information is only to be used for the purposes for which it was collected, or for other purposes where expressly allowed by IPP 10; and
• personal information is only disclosed in accordance with IPP 11.
Privacy complaints can be made directly to the Federal Privacy Commissioner, but the Federal Privacy Commissioner prefers that the ARC be given an opportunity to deal with the complaint in the first instance.
9.4 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.
9.5 Intellectual property
Applicants must agree to comply with the intellectual property statute of the administering organisation and the National Principles of Intellectual Property Management for Publicly Funded Research (available at Incomplete 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.
The Commonwealth Government is committed to protecting its revenue, expenditure and property from any attempt, whether 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 (for example, describing a paper as accepted for publication when it has only been submitted).
9.7 Contact points
Enquiries about LIEFmay be addressed to:
LIEF Program Co-ordinator
Australian Research Council
GPO Box 2702
ACT 2601
Email [email protected]
Phone 02 6284 6600
Fax (02) 6284 6638
Higher education institutions receiving Commonwealth funding on a triennial basis
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 | Curtin University of Technology Edith Cowan University Murdoch University The University of Notre Dame Australia The University of Western Australia The Flinders University of South Australia The University of Adelaide University of South Australia |
Deakin University La Trobe University Monash University RMIT University Swinburne University of Technology University of Ballarat The University of Melbourne Victoria University | University of Tasmania Australian Maritime College Northern Territory Batchelor College Northern Territory University |
Central Queensland University Griffith University James Cook University Queensland University of Technology The University of the Sunshine Coast The University of Queensland University of Southern Queensland | The Australian National University University of Canberra Australian Catholic University |
Applications for library and information infrastructure must address the matters raised here in addition to the requirements specified in the body of these Funding Rules.
One of the aims of the LIEF Programis to fund the development of library and information infrastructure that enhances high-quality research projects. Applications in this category must demonstrate that they will enhance
All applications for library and information infrastructure should demonstrate:
• how the infrastructure enhances/ will enhance the ability of Australian researchers to access or use information resources effectively and efficiently;
• that the project will not duplicate existing library and information infrastructure, but will link to existing infrastructure in Australia and overseas;
• that the project has the capacity for future development and enhancements;
that the outcomes are sustainable; and
• that current developments in the information sciences, including international standards and protocols, systems and software to further library and information network inter-operability, are understood and applied.
All applications for library and information infrastructure should address one or more of the following elements of the national library and information infrastructure:
• The development of improvements in access to information resources that can be made available nationally. This may include
o developing services that provide access to integrated print and electronic information resources, and/or
o improving the level and quality of access through developing significant new directory, cataloguing or indexing services;
• The testing, development and implementation of innovative and sustainable models that will lead to improved access to distributed information and research library resources;
• The purchase or development of information resources of national significance, whether in electronic form or otherwise, that can be made available nationally. This will include
o the development of information resources to meet Australian research priorities, and/or
o proposals to meet or provide resources that will fill significant gaps in the research resources available to the nation.
Applications for library and information infrastructure must outline:
• how access to the resources will be managed (eg through subscription to a database); and
• how the resource will be sustained following the period of LIEF funding. When addressing this point, applicants should note that in general it is desirable that publicly funded databases should be made available to members of the public, unless there are specific reasons for this not to be the case (eg copyright).
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