Australian Research Council Act 2001 Special Research Initiatives Guidelines for Initiatives commencing in 2002 and 2003 (Cth)
SPECIAL RESEARCH INITIATIVES
Guidelines
for initiatives commencing in
2002 and 2003
Australian Research Council
Special Research Initiatives
Guidelines for Initiatives Commencing in 2002 and 2003
Table of Contents
1 Introduction
2 Objectives
3 Description
Type of research supported
4 Eligibility..................................................................................................................... 4
5 Funding........................................................................................................................ 4
5.1 Level and length of funding..................................................................................... 4
5.2 Areas of investigation/work not supported.............................................................. 4
6 Application process
6.1 Applications
6.2 Application Forms
7 Selection and approval process................................................................................. 5
8 Ministerial approval
9 Offer of funding
9.1 Funding Contract................................................................................................... 6
9.2 Ownership of assets.............................................................................................. 6
10 Funding administration............................................................................................... 6
10.1 Privacy of individuals
10.2 Freedom of Information
10.3 Confidentiality....................................................................................................... 7
10.4 Intellectual property............................................................................................... 7
10.5 Incomplete or misleading information...................................................................... 7
10.6 Contact points
APPENDIX 1
APPENDIX 2
Nano-Materials and Bio-Materials
The Genome-Phenome Link
Complex Systems
Photon Science and Technology
Acronyms
The following acronyms are used throughout these guidelines.
ARC Australian Research Council
NCGP National Competitive Grants Programme
SRI Special Research Initiatives
Australian Research Council
Special Research Initiatives
Guidelines for Initiatives Commencing in 2002 and 2003
1 Introduction
These guidelines set out the funding rules under the Australian Research Council Act 2001 for the Special Research Initiatives Scheme.
The ARC takes a proactive role in identifying specific initiatives to be undertaken in this Scheme. Initiatives may be identified by the ARC in consultation with institutions, professional organisations and peak bodies representing higher education communities. Initiatives may result from ARC Discipline Cluster Reviews or other discipline research strategies, reviews of National Competitive Grants Programme (NCGP) outcomes in a particular field or from other reviews or reports of a similar nature. The ARC expects that some initiatives will be identified by ARC Expert Advisory Committees in the course of their work on NCGP programmes. In providing advice to government on Australian research, the ARC may identify initiatives to be funded under SRI.
Because of its proactive role in identifying initiatives and the diverse nature of the initiatives to be funded under SRI, the ARC may invite applications from one or more parties (who may include researchers, consultants and facilitators).
2 Objectives
Special Research Initiatives (SRI) aims to support specific activities which:
encourage greater collaboration among Australian researchers, including the development of international research linkages; and
- encourage the co-operative development of a high quality research capacity in innovative areas; and
- enhance the scale and focus of research in Designated Priority Areas of Research (refer to section 3.1)
3 Description
Type of research supported
Funding under the scheme is available to support activities related to high quality research endeavour in all fields, including the social sciences and humanities as well as the natural sciences and engineering, supported under the NCGP. .
Specifically, SRI funding supports:
· co-operative activities among researchers;
· co-operative development of national and international linkages;
· co-operative development of innovative research areas; and
· other activities which the ARC judges to be consistent with the Scheme’s objectives.
Activities may include one-off conferences, workshops, seminars and development of networks, where the purpose is to initiate collaboration that would not otherwise occur and, where appropriate, the dissemination of the outcomes of the collaborative activities funded under the Scheme.
The scheme does not fund research per se. Funding is not available under the Scheme for research infrastructure support or for the actual costs of undertaking research. Funding is not available for regular conferences.
The Minister for Education, Science and Training has designated the following areas of research as priority areas of research for the 2003 funding round:
·Genome/Phenome Research
·Nano and Bio-materials
·Complex/Intelligent Systems
·Photon Science and Technology.
These areas of research will be referred to as Designated Priority Areas of Research.
Discovery—Projects support will include supporting projects focussed upon Designated Priority Areas of Research (see Appendix 2).
4 Eligibility
Funding under the Special Research Initiatives scheme may be awarded to a higher education institution or other administering organisation. All institutions listed at Appendix 1 are eligible for support under the Special Research Initiatives Scheme.
5 Funding
Applications will be invited by the ARC.
5.1 Level and length of funding
The ARC reserves the right to determine the level and length of funding allocated to the initiative. Normally, funding will only be provided for one-off or seed activities. Funding is normally awarded for one year.
5.2 Areas of investigation/work not supported
Special Research Initiatives does not support the following:
·clinical medical 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.
6 Application process
6.1 Applications
The ARC may identify and promote activities suitable for funding, and call for applications from relevant groups or individuals. Applications would include:
· an outline of the activity or activities being proposed;
· a statement on how these activities will meet the Scheme objectives;
· an indication of the funding sought, relative to the total cost of the proposed activity;
· financial and in-kind contributions from participating institutions and from other sources.
At the time of calling for applications the ARC will set, and advise prospective applicants of the relevant timeframes for the:
· closure of applications;
· assessment process; and
· notification to applicants of the outcome of the assessment process.
6.2 Application Forms
When applications are invited they must be submitted on the application form. Unlike other ARC programs, SRI applications are not submitted electronically via the ARC’s Grant Application Management System (GAMS).
All proposals and applications must be signed by the Chief Investigator and Deputy Vice-Chancellor (Research) or delegate, or equivalent in other administering organisations.
An original and one identical paper copy only are required.
Applications should be sent to the ARC–
| by mail, to Programme Coordinator (Special Research Initiatives) | by courier, to Programme Coordinator (Special Research Initiatives) |
7 Selection and approval process
Applications will be assessed by the ARC using the following criteria:
·the likelihood that the activity will meet the Scheme’s objectives and the objectives of the specific initiative;
·the range of collaboration involved;
·financial and in-kind contributions to be made by the participating organisations;
·where appropriate, funding from other sources; and
·the expected results of the activity.
Applications under the Special Research Initiatives Scheme involving support from other sources would be viewed favourably. For the purposes of this Scheme, "funding from other sources" comprises funding from sources other than the Commonwealth Education, Science and Training portfolio, and includes funding from other Commonwealth competitive grants schemes (excluding the ARC), funding from State government sources, industry, other Government research organisations such as CSIRO, non-profit organisations or endowments. Where organisations other than higher education institutions participate in proposed activities, they would be expected to contribute at an appropriate level, either in cash or in kind, to the joint activities.
Applications will be assessed by the ARC. The ARC reserves to the right to approve applications and determine the funding to be offered to successful applicants. The ARC reserves the right not to fund an Initiative should no suitable application be forthcoming.
8 Ministerial approval
A recommendation from the ARC Board is sent to the Minister for his/her consideration. The Minister determines if the application will be offered funding. The Minister’s decision is final.
9 Offer of funding
The successful administering organisation will be notified in a letter of offer, that will indicate the funding to be provided and will include the Funding Contract.
9.1 Funding Contract
The successful applicants must accept the terms of the Funding Contract and the administering institution must sign the Funding Contract before payments can be made. The Funding Contract must be signed by the administering institution within one month of the offer of the Funding Contract. Failure to do so will result in withdrawal of the offer of funding.
9.2 Ownership of assets
Funding Contracts specify that the ownership of any asset purchased wholly or partly with the funding will be vested in the administering institution and listed in its assets register.
10 Funding administration
Administering organisations should note that the Funding Contract covers the post-award management including reporting requirements and financial management.
10.1 Privacy of individuals
The ARC is bound by the provisions of the Privacy Act 1988. Section 14 of the Privacy Act 1988 contains the Information Privacy Principles (IPPs), which prescribe the rules for handling personal information.
Persons, bodies and organisations involved in the Special Research Initiatives Scheme are requested by the ARC to abide by the Privacy Act 1988 when handling personal information
collected for the purposes of that scheme. In brief, persons, bodies and organisations should ensure that:
·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 the person contends that a record is inaccurate, and it 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.
10.2 Freedom of Information
All documents created or held by the ARC with regard to the Special Research Initiatives Scheme are subject to the Freedom of Information Act 1982. Unless a document falls under an exemption provision, it will be made available to the general public if requested under the Freedom of Information Act 1982.”
Decisions regarding requests for access will be made by the CEO of the ARC or by her authorised officer in accordance with the requirements of the Freedom of Information Act 1982.
10.3 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.
10.4 Intellectual property
Applicants must agree to comply with the National Principles of Intellectual Property Management for Publicly Funded Research (available at and act in accordance with any intellectual property policies of the applicant’s institution.
10.5 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.
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, 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; or
·falsifying claims in publications records (such as describing a paper as accepted for publication when it has only been submitted).
10.6 Contact points
Enquiries about SRI may be addressed to
Programme Coordinator (Special Research Initiatives)
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
Email [email protected]
Phone 02 6284 6600
Fax 02 6284 6638
Web address
APPENDIX 1
Eligible higher education institutions
Higher education institutions receiving Commonwealth funding on a triennial basis
| New South Wales Charles Sturt University | Western Australia Curtin University of Technology The University of Notre Dame Australia The University of Western Australia South Australia The Flinders University of South Australia |
| Victoria Deakin University | Tasmania Australian Maritime College Northern Territory Northern Territory University |
| Queensland Bond University Griffith University James Cook University | Australian Capital Territory The Australian National University Multi-State Australian Catholic University |
APPENDIX 2
Descriptions of Designated Priority Areas of Research
Nano-Materials and Bio-Materials
The development of advanced techniques in materials science and in biotechnology underpins progress and growth in almost every area of industrial and economic activity. The marriage of biotechnology and materials science promises exciting research opportunities, with enormous potential for economic, social and environmental applications and impact.
Biotechnology promises to revolutionise our approaches in areas such as medicine, microbiology and agriculture. Reconstitution of molecular motors, DNA and DNA-protein recognition systems, bio-membranes, and the reconstruction of extracellular and intracellular matrixes, are likely to form the basis of new generation biosensors, bio-inspired materials, high throughput screening systems, chloroplast-like energy transduction systems, and tissue reconstruction procedures.
Materials such as metals, ceramics, polymers, composite materials and natural products are used in a wide range of sectors, such as manufacturing, construction, infrastructure, communications, transport, agriculture and medicine. The ability to ‘tailor’ material properties at scales near to those of individual atoms and molecules promises to allow the production of materials with novel mechanical, thermal, chemical and surface properties, and with vastly improved performance compared to conventional materials. As well, the ability to form nano-scale assemblies of atoms and molecules is vital to advances in computing, drug design, chemical processing and synthesis, and sensor development.
Australia has extensive existing research strengths both in advanced materials science and in biotechnology. Priority funded research into nano-materials and bio-materials would build on this existing base, in these areas of internationally recognised importance, and would lead to:
higher performance levels, and hence greater materials utilisation efficiency, to improve product performance and conserve natural resources;
improved cost-effectiveness and value-added use of materials through advanced manufacturing;
the development of novel devices, sensors, and techniques for medical, biochemical, industrial and environmental applications; and
revolutionary new ways to produce implants for medical applications, and the ‘production’ of replacement organs.
The Genome-Phenome Link
The complete description of the human genome and those of other organisms has been a major achievement of modern science. There is a heightened expectation that gene therapies and the genetic improvement of plants and animals of agricultural importance by gene transfer will lead, among other things, to the eradication of inherited disease and to a solution to the world’s food problems. However, the connection between an organism’s genes (its genome) and its physical appearance and behaviour (its phenotype) is exceptionally complex and, at present, highly elusive. The growth and differentiation of cells and an organism’s predisposition to disease can be controlled by multigene clusters and fine control of the gene expression mechanisms.
Although molecular biologists have been very successful in identifying and manipulating genes, the control of gene expression and the interactions of gene products which lead ultimately to the expression of a unique phenotype are poorly understood.
The reductionist approaches of molecular biologists have often focused on the analysis of bimolecular systems (protein-protein, protein-DNA, protein lipid). Although it has been revealing to understand these interactions, the reactions that lead to the expression of a unique phenotype are infinitely more complex. Nevertheless, molecular genetics coupled with the use of modern technologies based on microchip gene arrays and high through-put and high sensitivity screening are allowing scientists to experimentally access these complex systems and to describe the way in which environmental and genetic factors cooperate positively or negatively to determine the final phenotype.
The post-genomic era will see an increasing focus on the nature of the link between the genome and phenome. Molecular biologists will continue to describe DNA sequences, but there will be an increasing need for biologists who understand not only molecular genetics but also the behaviour of the whole cell, the whole tissue and the whole organism. The problem requires a team approach and the collaboration of molecular biologists, cell biologists, physiologists and biophysicists.
Key areas of study include:
Genomics and bioinformatics;
cell differentiation;
control of gene expression;
cell signalling pathways;
energy transduction;
multigene control of the phenotype traits; and
identification of quality and disease resistance genes in plants and farm animals.
Complex Systems
Real-world systems are almost always made up of a large number of components that interact in varying and complex ways. This leads to complex behaviour that is difficult to understand, predict and manage. Research into the characterisation and control of such systems attempts to describe them in explicit (often mathematical) ways, in order to provide enhanced degrees of understanding, predictability, control and efficiency in management.
Very simple control systems include the thermostat that controls the temperature of a hot water system, or a street light that comes on at dusk. Much more complex systems which benefit from the application of research into control and system characterisation include the Internet, air traffic control, irrigation, robotics and a wide array of systems associated with power distribution, telecommunications, defence, manufacturing, transport and finance, as well as ecological and biological systems.
Complex systems are modelled and control strategies implemented by mathematicians, computer scientists, information scientists, engineers and other scientists from a broad range of disciplines.
Relevant areas of research include:
- system analysis and control theory;
- mathematical and statistical modelling;
- system and software engineering;
- software-hardware co-design;
- intelligent systems, and
- communications engineering.
Photon Science and Technology
Photon Science and Technology is one of the major growth areas of modern science and technology. Unexpected discoveries in basic photon science, new applications that penetrate many disciplines very swiftly, and very rapid idea-to-market cycles characterise the field. Australia has exceptional quality and some considerable breadth and depth in photon science research, with a demonstrated capacity to found and grow commercial ventures.
Photon Science and Technology includes:
modern areas such as:
olaser science and applications;
ooptical fibres and communication systems;
ophotonics, linking photon science and electronics;
omaterials characterisation by synchrotron and other X-ray sources; and
oatom optics and quantum computing; and
traditional areas such as:
ooptical materials and components including astronomical instrumentation;
osolar energy conversion (for example silicon photovoltaics and artificial photosynthesis);
ophotometry and spectroscopy; and
ohuman vision.
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