Australian Research Council Linkage International Funding Rules for funding commencing in 2009 (Cth)
Linkage International Funding Rules for funding commencing in 2009
Australian Research Council Act 2001
I, KIM CARR, Minister for Innovation, Industry, Science and Research, having satisfied myself of the matters set out in section 59 of the Australian Research Council Act 2001, approve these Funding Rules under section 60 of that Act.
Dated: 19 March 2008
KIM CARR
Minister for Innovation, Industry, Science and Research
Table of Contents
Acronyms
Key Dates
Contacts
1. Name of Funding Rules
2. Commencement
3. Interpretation
4. Introduction
4.1 Overview
4.2 NCGP Objectives
4.3 Linkage International
4.3.4 ARC International Fellowships (ARCIFs)
4.3.5 Internationally Coordinated Initiatives (ICIs)
4.4 Fundamental principles and requirements
4.4.1 Ethics and Research Practices
4.4.2 Non-duplication
4.4.3 Conflict of Interest
4.4.4 Acknowledging ARC support
4.4.5 Dissemination of research outputs
5. Changes from last year
6. Funding
6.1 Level of funding
6.2 Period of funding
6.3 Types of research supported
6.4 Restrictions on budget items
6.5 Areas of investigation/work not supported
6.6 Number of Proposals and funded projects
6.6.1 General Requirements
6.6.2 Duplication
7. Organisational types, roles and eligibility
7.1 Eligible Organisations
8. Roles and eligibility for researchers
8.1 Researcher roles and general eligibility
8.2 Eligibility criteria for Chief Investigators
8.3 Eligibility criteria for Overseas Investigators
8.4 Eligibility criteria for Partner Investigators
8.5 Eligibility criteria for ARCIF Fellows
9. Cross-scheme issues
9.1 Cross-scheme funding
9.2 Cross-scheme eligibility
9.3 Funding of Medical and Dental Research
10. Application process
10.1 Eligibility Exemption and Eligibility Advising Process
10.2 Proposals
10.3 Certification
10.4 Submission of Proposals
10.4.3 Format
10.4.4 How to complete and submit a Proposal
10.4.5 Number of copies
10.4.6 Closing times for Proposals
11. Selection and approval process
11.1 Selection criteria
11.2 Assessment and selection procedure
11.2.1 Assessment and selection process
11.2.2 Exclusion of Proposals
11.2.3 Assessment
11.2.4 Rejoinder
11.2.5 Recommendations
11.3 Offer of funding
12. Appeals process
13. Administration of funding
13.1 Funding Agreement
13.2 Varying the Funding Agreement
13.3 Varying the Funding Approval
13.4 Reports
14. Other matters
14.1 Applicable law
14.2 Confidentiality
14.3 Project descriptions
14.4 Intellectual property
14.5 Incomplete or misleading information
14.6 Insurance and liabilities
15. ARC International Fellowships
15.1 General requirements for all ARCIF types
15.1.3 Types of ARCIF
15.1.4 Eligible Organisations
15.1.5 Host Organisations
15.1.6 Eligibility criteria
15.1.7 Duration of Funding
15.1.8 Budget items supported
15.1.9 Reimbursement of Relocation Costs
15.1.10 Number of Proposals
15.1.11 Selection criteria
15.2 ARCIF Proposals for Australia-based researchers to work in overseas research organisations
15.2.2 Investigator roles and eligibility criteria
15.2.3 Duration of funding
15.3 ARCIF Proposals for overseas researchers to work in Australia
15.3.2 Investigator roles and eligibility criteria
15.3.3 Duration of funding
16. Linkage International Internationally Coordinated Initiatives (ICIs)
16.1 Introduction
16.2 Organisational types, roles and eligibility
16.2.1 Eligible Organisations
16.3 Investigator types, roles and eligibility
16.4 Types of research supported
16.5 Funding
16.6 Budget Items Supported
16.7 Budget Items Not Supported
16.8 Researchers from Commonwealth-funded Research Centres
16.8.1 Duplication with Commonwealth-funded Research Centres
16.9 Number of Proposals
16.10 Application, Selection and Approval Process
16.11 Closing time for Proposals
16.12 Other Requirements
Appendix 1: National Research Priorities and associated Priority Goals
Appendix 2: Eligible Organisations
Appendix 3: Notional Fellowship salaries and relocation allowances
Appendix 4: Particular Linkage International Internationally Coordinated Initiatives (ICIs) undertaken under these Funding Rules
Acronyms
The following acronyms are used in ARC Funding Rules.
| AEDT | Australian Eastern Daylight Saving (Summer) Time |
| AEST | Australian Eastern Standard Time |
| AIF | Australia-Israel Fellowship |
| AIMS | Australian Institute of Marine Science |
| ANSTO | Australian Nuclear Science and Technology Organisation |
| APA | Australian Postgraduate Award |
| APAI | Australian Postgraduate Award (Industry) |
| APD | Australian Postdoctoral Fellowship |
| APDI | Australian Postdoctoral Fellowship (Industry) |
| APF | Australian Professorial Fellowship |
| ARC | Australian Research Council |
| ARCIF | Australian Research Council International Fellowship |
| ARF | Australian Research Fellowship |
| AVCC | Australian Vice-Chancellors’ Committee |
| CE | ARC Centres of Excellence and ARC Centres |
| CoE | ARC College of Experts |
| CI | Chief Investigator |
| CRC | Cooperative Research Centre |
| CSIRO | Commonwealth Scientific and Industrial Research Organisation |
| DP | ARC Discovery Projects |
| DSTO | Defence Science and Technology Organisation |
| ECR | Early Career Researcher |
| FF | ARC Federation Fellowships |
| GA | Geoscience Australia |
| GAMS | Grant Application Management System |
| GST | Goods and Services Tax |
| HECS | Higher Education Contribution Scheme |
| ICI | Internationally Coordinated Initiative |
| IRF | Indigenous Researcher Fellowship |
| LASP | ARC Learned Academies Special Projects |
| LCI | LASP Chief Investigator |
| LIEF | ARC Linkage Infrastructure, Equipment and Facilities |
| LIF | ARC Linkage Industry Fellowship |
| LP | ARC Linkage Projects |
| LX | ARC Linkage International |
| NCGP | National Competitive Grants Program |
| NHMRC | National Health and Medical Research Council |
| NP | Network Participant |
| OI | Overseas Investigator |
| PI | Partner Investigator |
| QEII | Queen Elizabeth II Fellowship |
| RN | ARC Research Networks |
| SPIRT | Strategic Partnerships with Industry – Research and Training |
| SRC | ARC Special Research Centre |
| SRI | ARC Special Research Initiatives |
| SRF | ARC Senior Research Fellowship |
| SSC | ARC Social Sciences Collaboration Internationally Coordinated Initiative |
| UA | Universities Australia |
| URL | Universal Resource Locator |
Key Dates
Closing Times
ARC International Fellowships (ARCIFs)
Closing time for eligibility exemption and advising requests, ARC International Fellowships (Section 10.1) 5.00 pm (AEST) Friday 11 April 2008
Closing time for submission of ARC International Fellowship Proposals is 5.00 pm (AEST) Friday 23 May 2008
Internationally Coordinated Initiatives (ICIs)
Key dates will be specified in Appendix 4 and in any call for Internationally Coordinated Initiative Proposals issued by the ARC under Linkage International. A call for Proposals for funding for an ICI may be made at any time.
Closing time for eligibility advising and exemption requests, Linkage International Social Sciences Collaboration (Section 10.1) 5.00 pm (AEST) Thursday 24 April 2008
Closing time for submission of Linkage International Social Sciences Collaboration Proposals is 5.00 pm (AEST) Wednesday 4 June 2008
Contacts
The ARC deals with thousands of Proposals each year. Researchers should, therefore, direct requests for information to the Research Office within their organisation.
Where this is not possible, enquiries about the ARC LX scheme may be addressed as follows:
| Postal | Courier |
| Linkage International Coordinator Australian Research Council GPO Box 2702 CANBERRA ACT 2601 | Linkage International Coordinator |
| Email: [email protected] | |
Name of Funding Rules
1.1.1These Funding Rules are the Australian Research Council Linkage International Funding Rules for funding commencing in 2009.
Commencement
2.1.1The Funding Rules shall take effect upon registration on the Federal Register of Legislative Instruments.
Interpretation
3.1.1In these Funding Rules, unless the contrary intention appears:
Adjunct Appointment or equivalent means that an Eligible Organisation has a formal agreement in writing with a researcher which is publicly acknowledged and which establishes an ongoing association with the Eligible Organisation, of the nature of a conjoint, emeritus or honorary academic or visiting fellow. The ARC may seek documentary evidence of such an association if it considers it necessary.
Administering Organisation means an Eligible Organisation which submits a Proposal for funding under LX and which will receive and be responsible for the administration of the funding if the proposed project is approved for funding.
Applicant means the Administering Organisation. Funding under LX is provided to Administering Organisations, not to individual researchers.
ARC means the Australian Research Council, as established under the ARC Act.
ARC Act means the Australian Research Council Act 2001.
ARC Centre means a research centre wholly or partly funded by the ARC and includes ARC Centres of Excellence, ARC Centres, ARC Special Research Centres and co-funded Centres of Excellence such as the Australian Centre for Plant Functional Genomics (ACPFG), the Australian Stem Cell Centre (ASCC) and National ICT Australia (NICTA).
ARC Centre Fellowship means an ARC Centre Fellowship awarded under the ARC's Centres of Excellence Scheme.
ARC Fellowship means, subject to this paragraph, a position held by a researcher where the salary is funded wholly or partly by the ARC and where the researcher has been nominated in a Proposal to hold a Fellowship. An ARC Fellowship may be awarded at a number of levels and in various ARC schemes. ARC Fellowship includes Australian Postdoctoral Fellowship (APD), Australian Research Fellowship (ARF), Queen Elizabeth II Fellowship (QEII), and Australian Professorial Fellowship (APF)(under the ARC DP scheme). The term also includes Australian Postdoctoral Fellowship (Industry) (APDI) (under the ARC Linkage Projects scheme) and Australian Postdoctoral Fellowship (CSIRO) (APDC) (under the former APD CSIRO scheme) and ARC Centre Fellowship (awarded under the ARC's Centres of Excellence scheme). For the purposes of these Funding Rules, it does not include an Australian Research Council International Fellowship (ARCIF), ARC Federation Fellowship, Indigenous Researcher Fellowship (IRF) or ARC Research Cadetship-Aboriginal and Torres Strait Islander award.
ARC’s Web Site is
Australian Postdoctoral Fellow means a researcher whose salary is wholly or partly funded under an APD (under the DP scheme).
Australian Postdoctoral Fellow (Industry) means a researcher whose salary is funded under an APDI (under the LP scheme).
Australian Professorial Fellow means a researcher whose salary is wholly or partly funded under an APF (under the DP scheme).
Australian Research Council International Fellow means a researcher whose salary is wholly or partly funded under an Australian Research Council International Fellowship (under the LX scheme).
Australian Research Fellow means a researcher whose salary is wholly or partly funded under an ARF (under the DP scheme).
Centre Director means the person appointed to direct the programs of a Commonwealth-funded Research Centre.
Chief Investigator means a researcher who satisfies the eligibility criteria for a Chief Investigator.
Commonwealth means the Commonwealth of Australia.
Commonwealth-funded Research Centre means a research centre substantially funded from Commonwealth competitive research funding sources and includes ARC Centres, CRCs and NHMRC Program Grants and Centres of Clinical Research Excellence. It does not include Research Networks funded by the ARC.
Earnings means the amount paid directly or indirectly as remuneration for work a person undertakes or services he/she performs. It includes amounts paid under employment and/or consultancy arrangements.
Eligible Organisation means an organisation which is eligible to apply for and receive funding under the LX Funding Rules as specified in Section 7.1.
Federation Fellow means a researcher whose salary is funded under the FF scheme.
Funding Agreement means the agreement entered into between the ARC and the Administering Organisation if the Administering Organisation’s Proposal is approved for funding. This Agreement sets out the terms and conditions under which the Commonwealth is to provide funding and the Administering Organisation is to be responsible for administration of the funding and the conduct of the project.
Funding Rules means this document.
GST has the meaning as given in section 195-1 of the A New Tax System(Goods and Services Tax) Act 1999.
Host Organisation means an organisation at which a Fellow undertakes her/his research while holding an ARC Fellowship or ARCIF.
Indigenous Researcher Fellow means a researcher whose salary is wholly or partly funded under an IRF.
Medical and Dental Research means research and/or training which, in the opinion of the ARC, has a significant focus on clinical medical (including dental) outcomes.
Minister means the Minister from time to time responsible for the administration of the ARC Act (currently the Minister for Innovation, Industry, Science and Research), or the Minister's delegate.
National Research Priority means a national research priority detailed in Appendix 1.
Overseas Investigator means a researcher who satisfies the eligibility criteria for an Overseas Investigator.
Overseas Organisation means the employer of an Overseas Investigator. For the purpose of these Funding Rules, Overseas Organisation does not include an overseas organisation controlled by an Australian higher education organisation.
Partner Investigator means a researcher who satisfies the eligibility criteria for a Partner Investigator.
Proposal means a request to the ARC for the provision of financial assistance for a research project.
Queen Elizabeth II Fellow means a researcher whose salary is wholly or partly funded under a QEII (under the DP scheme).
Research Office means a business unit within an organisation that is responsible for administrative contact with the ARC regarding Proposals and research projects.
Special Condition means a special condition specified in a Funding Agreement which governs the use of the funding provided by the ARC.
Introduction
4.1Overview
4.1.1This document sets out the funding rules for LX, a scheme funded under the Australian Research Council’s National Competitive Grants Program (NCGP), which comply with the requirements of the ARC Act.
4.1.2All parties involved in Proposals should read and understand the Funding Rules and the ARC’s standard Funding Agreement (which is available at the ARC’s Web Site) before submitting a Proposal to the ARC. Applicants are responsible for ensuring that their Proposals are complete and accurate.
4.1.3These Funding Rules are current as at February 2008 and have been prepared in accordance with the requirements of the ARC Act in force then. These Funding Rules are subject to change at any time, for reasons including any subsequent amendment to, replacement of or supplementation of the ARC Act.
4.1.4Funding under LX is provided to Administering Organisations, not to researchers. That is, the ARC will accept a Proposal only from an Eligible Organisation and not from any individual researcher or researchers.
4.1.5However, if, in the opinion of the ARC, any researcher nominated in a Proposal as a CI, OI, PI or ARCIF candidate has caused or has significantly contributed to the failure of an organisation to meet its obligations under any current or previous funding agreement with the ARC, the ARC may in its absolute discretion decide to not recommend for approval any or all Proposals involving that researcher.
4.2NCGP Objectives
4.2.1The ARC is an Australian Government statutory authority established under the ARC Act. The primary functions of the ARC, as specified by the ARC Act, are to make recommendations regarding the funding of research programs, to administer funding to support research programs, and to provide policy advice related to research.
4.2.2The ARC has established a range of competitive funding schemes for the support of research and research training under the framework of the NCGP. A list of current NCGP funding schemes is available on the ARC’s Web Site.
4.2.3By the operation of a range of funding schemes under the NCGP, the ARC aims to:
a. maintain and build on existing research and research training;
b. build the scale and focus of research and research training;
c. encourage cross-disciplinary approaches to research and research training;
d. facilitate collaborative approaches to research and research training; and
e. support research and research training of national benefit, including in the following National Research Priorities:
i. An Environmentally Sustainable Australia;
ii. Promoting and Maintaining Good Health;
iii. Frontier Technologies for Building and Transforming Australian Industries; and
iv. Safeguarding Australia.
4.2.4Descriptions of these National Research Priorities and their associated Priority Goals can be found in Appendix 1, and on the ARC’s Web Site.
4.3Linkage International
4.3.1The ARC provides funding under LX for movement of researchers between eligible Australian research organisations and centres of research excellence overseas, and to foster collaboration and networking between Australia-based and overseas researchers.
4.3.2The objectives of LX are to:
a. build collaborations among researchers, research teams and/or research centres of excellence in Australia and overseas;
b. generate opportunities for researchers to participate in leading-edge international research networks and strengthen their international research experience;
c. build Australian research capability by enhancing existing and developing new collaborations among researchers;
d. develop innovative modes of international collaboration; and
e. foster participation in global innovation networks.
4.3.3Funding under LX is available to support high-quality research collaboration in relevant disciplines or cross-disciplinary fields. Specifically, LX provides two categories of support: ARC International Fellowships (ARCIFs); and Internationally Coordinated Initiatives (ICIs).
4.3.4ARC International Fellowships (ARCIFs)
4.3.4.1The following types of ARCIFs are offered under LX:
a. Fellowships to fund Australia-based researchers to work in overseas research organisations (Section 15.2); and
b. Fellowships to fund overseas researchers to work in Australia (Section 15.3).
4.3.4.2Section 15 provides further details regarding Linkage International ARCIFs.
4.3.5Internationally Coordinated Initiatives (ICIs)
4.3.5.1From time to time, the ARC may collaborate with overseas funding agencies to fund ICIs. When an ICI is being conducted, the initiative will be included in Appendix 4 and the ARC will issue a specific call for Proposals for the relevant initiative.
4.3.5.2Proposals for LX ICI funding may be submitted only when invited by the ARC by means of a call for ICI Proposals for funding. The ARC may invite Proposals from one or more Eligible Organisations.
4.3.5.3Section 16 provides further details regarding ARC LX ICIs.
4.4Fundamental principles and requirements
4.4.1Ethics and Research Practices
4.4.1.1The National Health and Medical Research Council (NHMRC) web site, provides a series of publications which outline principles of ethical conduct in research. All Proposals and ARC-funded research projects must, unless otherwise approved by the ARC, conform to the principles outlined in the following and their successor documents:
a. NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2007);
b. as applicable, the NHMRC/ARC/AVCC National Statement on Ethical Conduct in Human Research (2007); and
c. as applicable, codes on animal research promulgated by the NHMRC.
4.4.1.2If there is any conflict between a successor document and its predecessor, then the successor document prevails to the extent of any inconsistency.
4.4.2Non-duplication
4.4.2.1The ARC will not provide financial assistance to meet the costs of a project to the extent that those costs have been, or are likely to be, met from other Commonwealth funding schemes. The ARC reserves the right to:
a. determine if a Proposal includes such costs and deem a notional amount for them; and
b. recommend a reduced amount of funding for the proposed project accordingly.
4.4.2.2If such costs are, in the opinion of the ARC, a significant portion of the costs for a proposed project, the ARC may decide to recommend that the Proposal not be funded at all.
4.4.3Conflict of Interest
4.4.3.1All parties involved in or associated with Proposals and ARC-funded research projects are required to disclose to the ARC, and the other parties involved in the Proposal/project (including Collaborating and Partner Organisations), any conflict of interest which has the potential to influence, or appear to influence, the request for funding, or the research and activities, publications and media reports related to the Proposal/project. Such conflicts must be disclosed to the ARC at the time of the submission of a Proposal, and in reporting on ARC-funded research projects, and notified to the other parties as soon as practicable after the conflict of interest is identified.
4.4.3.2If, in the opinion of the ARC, any party involved in or associated with a Proposal has failed to disclose any such conflict of interest, the ARC may in its absolute discretion decide to not recommend for approval any or all Proposals involving that party.
4.4.3.3If a conflict of interest exists or arises, the Administering Organisation must have processes in place and documented 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. In the event of any inconsistency between the original and any successor document, the latter document is to apply.
4.4.4Acknowledging ARC support
4.4.4.1The standard Funding Agreement requires that any ARC contribution to research and other activities funded by the ARC be appropriately acknowledged. When, at any time during or after completion of a project, the researcher or any other party publishes or produces material such as books, articles, newsletters or other literary or artistic works which relate to the research project, the Administering Organisation must ensure (wherever possible) that the ARC’s contribution and support of the project is acknowledged in a prominent place and in an appropriate form. This acknowledgement should include the mention of the ARC as a funding body. Similar efforts should be made to acknowledge ARC support when participating in television and radio programs, when interviewed by the print media and when otherwise speaking publicly about the project.
4.4.4.2Advice on acceptable forms of acknowledgement and use of the ARC logo is provided on the ARC’s Web Site.
4.4.5Dissemination of research outputs
4.4.5.1The Australian Government makes a major investment in research to support its essential role in improving the wellbeing of our society. To maximise the benefits from research, findings need to be disseminated as broadly as possible to allow access by other researchers and the wider community.
4.4.5.2The ARC acknowledges that researchers take into account a wide range of factors in deciding on the best outlets for publications arising from their research. Such considerations include the status and reputation of a journal or publisher, the peer review process of evaluating their research outputs, access by other stakeholders to their work, the likely impact of their work on users of research and the further dissemination and production of knowledge. Taking heed of these considerations, the ARC wants to ensure the widest possible dissemination of the research supported under its funding, in the most effective manner and at the earliest opportunity.
4.4.5.3The ARC therefore encourages researchers to consider the benefits of depositing their data and any publications arising from a research project in an appropriate subject and/or institutional repository. If a researcher is not intending to deposit the data from a project in a repository within six-months of the completion of the research, he/she should include the reasons in the project’s Final Report. Any research outputs that have been or will be deposited in appropriate repositories should be identified in the Final Report.
Changes from last year
5.1.1A number of clarifications and revisions have been made in these Funding Rules for funding commencing in 2009 (the 2009 LX Funding Rules). Significant changes from the ‘Linkage International Funding Rules for Proposals for funding commencing in 2008’ include:
a. ARC Centre Fellowships awarded under the ARC Centres of Excellence scheme are explicitly included in the definition of an ARC Fellowship (subsection 3.1.1);
b. Subsection 9.2.1 clarifies that, if a researcher nominated as a CI, PI or ARCIF candidate on a Proposal is involved in a funding request for any proposed research project (including fellowship), salary or equipment that has been approved or submitted under this or any other ARC scheme, or to any other Commonwealth funding body, the Proposal must include details of those requests;
c. Subsection 10.4.3.1 explicitly provides that Proposals must comply strictly with the format, content and submission requirements as specified in these Funding Rules and the “LX Instructions to Applicants for funding commencing in 2009” document issued by the ARC for the relevant category;
d. Explicit provision is made for a Proposal to be ineligible if it seeks salary funding for a CI, OI or PI (subsection 6.4.2.b); and.
e. Linkage International Awards and Materials World Networks Internationally Coordinated Initiative have been discontinued.
5.1.2The list of changes above is not comprehensive. Applicants and other parties involved in Proposals should read and understand the entire Funding Rules and standard Funding Agreement before a Proposal is submitted to the ARC.
Funding
6.1Level of funding
6.1.1All amounts referred to in these Funding Rules are to be read as exclusive of GST (if any), unless expressly stated otherwise.
6.1.2The minimum and maximum levels of funding which will be provided by the ARC for a project is described at subsection 16.5.1 for ICIs. There is no specific minimum or maximum level of funding for ARCIFs. If an ICI Proposal requests less than the minimum, or more than the maximum, level of funding specified in these Funding Rules the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
6.1.3If an ARCIF is requested, the Proposal should include a request for the Fellowship salary and on-costs in the budget. ARCIFs are awarded at levels outlined in Appendix 3, Item 1.
6.1.4The ARC reserves the right to recommend levels of funding for a project at levels which may differ from those requested in the Proposal.
6.1.5If a Proposal seeks funding for a project that involves items that the ARC does not permit, including those specified in Sections 6.4 and 6.5, then to that extent part or all of the Proposal will not be recommended or approved for funding. If exclusion of non-permitted items results in a Proposal falling beneath the specified minimum the ARC reserves the right to not recommend a Proposal for support.
6.2Period of funding
6.2.1Financial assistance may be payable under these Funding Rules for LX projects in respect of the financial year 2008-09 and any subsequent years to which the ARC Act applies. Funding for approved projects will commence with effect from 1 January 2009, unless other arrangements are approved by the ARC.
6.2.2Projects may be funded for the durations specified for the particular category, subject to sufficient funding being available for LX, the provisions of the ARC Act, and continued satisfactory progress of the project.
6.2.3For the purposes of these Funding Rules, the term of a researcher’s fellowship is determined based on the date on which the researcher commenced the fellowship. In the case of fellowships awarded under these Funding Rules, the commencement date will be 1 January 2009, unless the commencement has been deferred to a later date approved by the ARC.
6.2.4The ARC may recommend funding for a project for a duration different from that requested in the Proposal.
6.3Types of research supported
6.3.1Subject to Sections 6.4 and 6.5, LX supports a range of activities in support of research which involve the movement of eligible researchers between eligible Australian research organisations and centres of research excellence overseas, and the fostering of collaboration and networking between Australia-based and overseas researchers.
6.4Restrictions on budget items
6.4.1LX funds only those costs which directly support a research project. The ARC may in its absolute discretion determine whether any project costs meet this requirement.
6.4.2LX has restrictions on the following budget items:
a. Capital works and general infrastructure
Capital works and general infrastructure costs are not funded by the ARC, in whole or in part, under LX.
b. Salaries of Chief Investigators (CIs), Overseas Investigators (OIs) and Partner Investigators (PIs)
The Commonwealth will not provide support, in whole or in part, to meet the salaries of CIs, OIs or PIs under LX. If a Proposal requests salary funding for a CI, OI or PI, the Proposal will not be recommended or approved for funding.
c. Teaching and Teaching Relief
LX funding is not provided to fund teaching and/or teaching relief.
d. Special Studies Programs
Funds are not provided for travel or related expenses for researchers when on a Special Studies Program. However, some specified expenses may be funded for CIs, if approved by the ARC as a Special Condition, and provided that the Proposal clearly demonstrates that such expenses are not covered by a Special Studies Program, and that the research to be undertaken directly relates to the project.
e. Research support for Overseas Investigators and Partner Investigators
Funds are not provided for OIs and/or PIs, apart from short-term project support for investigators visiting from overseas. Short-term project support may include support for travel within Australia for investigators visiting from overseas but excludes the cost of their travel to and from Australia. (Note: ARCIF travel costs are detailed in Section 15).
f. International students’ fees, Higher Education Contribution Scheme (HECS) and Higher Education Loan Programme (HELP) liabilities
Funds are not provided to pay the fees of international students or the HECS or the HELP liabilities for students.
g. Basic facilities
The Administering Organisation must agree to provide the following basic facilities (where relevant to the Proposal), which will not be funded under LX:
i. accommodation (e.g. laboratory and office, suitably equipped and furnished in standard ways);
ii. access to workshop services (e.g. machine tools and qualified technicians available to each member of staff, according to need, for research);
iii.access to film or music editing facilities;
iv.access to a basic library collection;
v.standard reference materials or funds for abstracting services;
vi.provision of computers, including laptops (excluding access to high-performance computers or other specialised applications) and basic computing facilities such as printers, word processing and other standard software; and
vii.use of photocopiers, telephones, mail, fax, email and internet services.
h. Publication costs
Publication costs, including printing and page costs, will not be funded under LX.
i. Costs not directly related to a project
Costs not directly related to a project will not be funded, for example costs of a personal nature.
6.5Areas of investigation/work not supported
6.5.1LX does not support:
a. Medical and Dental Research;
b. activities leading solely to the creation or performance of a work of art, including visual art, musical compositions, drama, dance, film, broadcasts, designs and literary works. These areas are generally covered by other Commonwealth Government funding agencies;
c. projects such as uncritical compilations and purely descriptive catalogues or editions that do not involve original research;
d. production of teaching materials, even though some research may be involved in their production;
e. compilation of data, unless this is an integral part of a project, in which case the Proposal must include a statement indicating the research objectives to which the data would contribute; and/or
f. development of research aids and tools (including computer programs), unless they form an integral part of the Proposal, in which case the Proposal must include a statement indicating the research objectives to which these activities would contribute.
6.5.2If the ARC considers that a Proposal seeks funding for a project that involves any of the items not permitted under Sections 6.4 or 6.5, then to that extent part or all of the Proposal will not be recommended or approved for funding. However, if the ARC considers other parts of the proposed project remain worthy of support, the ARC may recommend that a reduced amount of funding be approved for the Proposal.
6.6Number of Proposals and funded projects
6.6.1General Requirements
6.6.1.1Unless otherwise specified, a Proposal must identify at least one researcher who will be a CI or ARCIF Fellow on the proposed project.
6.6.1.2Proposals may be submitted only to the extent that, if all were successful, the researchers nominated on those Proposals would not be involved in more than the maximum numbers of projects permitted in 2009 (see subsection 15.1.10.1 for ARCIF Proposals and Section 16.9 for ICI Proposals). For the purposes of applying these limits, the number of Proposals and the number of ongoing research projects which are to be funded in 2009 on which a researcher is nominated, are evaluated as at the closing time for the submission of Proposals, for the relevant category, regardless of any subsequent change in, or withdrawal of, Proposals. Submitting Proposals that exceed any or all of these limits may result in all Proposals involving the relevant researcher(s) not being recommended or approved for funding.
6.6.1.3Specific limits on number of projects funded for 2009:
Limit type Limit description a. CI limit SSC A researcher may not nominated as a CI on more than one SSC ICI Proposal submitted in 2008. b. ARCIF limit An ARCIF candidate must not have previously been awarded an ARCIF.
Only one ARCIF may be requested per Proposal.
c. ARCIF Project Leader A person nominated as a project leader on an ARCIF Proposal may participate in only one ARCIF Proposal submitted in 2008.
6.6.1.4For the purposes of the limits applying in these Funding Rules, a project for which funding was/is to be carried over, or deferred, into the next year is considered to be funded for the years notified in the letter of offer of funding provided by the ARC. For example, if a project was originally funded for four years and funding is subsequently carried over to a fifth year, the project will still be considered for these purposes as funded for the original four years.
6.6.2Duplication
6.6.2.1Only one Proposal may be submitted to LX in respect of a particular project in the same funding round, regardless of any variation in the listed researchers and/or Administering Organisation. If the ARC considers that a project described in a Proposal is the same as or similar (in whole or in part) to a project described in another Proposal that is submitted in the same funding round, the ARC may in its absolute discretion decide to not recommend for approval any or all of those Proposals, or recommend that a reduced amount of funding be provided for that or any similar Proposal. The ARC reserves the right to determine whether Proposals are duplicates or sufficiently similar to warrant one or more Proposals’ being not recommended for approval.
Organisational types, roles and eligibility
7.1Eligible Organisations
7.1.1A Proposal may be submitted only by an Eligible Organisation. Appendix 2 specifies Eligible Organisations for each of the LX categories.
7.1.2Eligible Organisations for LX Proposals are listed in Appendix 2 for the various categories as follows:
LX Category Eligible Organisations a. LX ARCIFs Proposals for LX ARCIFs may be submitted only by the organisations specified in Appendix 2, Item 1. b. LX ICIs Proposals for LX ICIs may be submitted only by the organisations specified in Appendix 2, Item 2.
Roles and eligibility for researchers
8.1Researcher roles and general eligibility
8.1.1Roles that may be may be undertaken by researchers under LX are:
a. Chief Investigator (CI);
b. Overseas Investigator (OI);
c. Partner Investigator (PI); or
d. ARC International Fellow (ARCIF).
8.1.2A Proposal must nominate at least one CI or ARCIF candidate.
8.1.3All CIs, OIs, PIs and ARCIF candidates nominated on a Proposal must satisfy the eligibility criteria for the role they are to perform, as specified in Section 8 of these Funding Rules.
Note: If a person has been nominated for an incorrect role on a Proposal (that is, for the role for which he/she does not satisfy the eligibility criteria), the Proposal may be funded only if, upon request by the ARC, the Administering Organisation provides the ARC with relevant certifications from the person, and evidence that he/she satisfies the eligibility criteria, for the role he/she is to perform.
8.1.4The first-named researcher nominated on a Proposal who is a CI or ARCIF candidate on the Proposal will be considered the ‘Project Leader’ of the project.
8.1.5A researcher nominated as a CI, OI, PI or ARCIF candidate must take significant intellectual responsibility for the proposed project, any strategic decisions called for in its pursuit and the communication of results. The researcher 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 determine whether a person has the requisite capacity to perform the role.
8.1.6At the time of the submission of a Proposal all obligations regarding previously funded projects involving the nominated CIs and ARCIF candidates on the Proposal must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory progress and final reports.
8.1.7If the ARC considers that a researcher nominated in a Proposal as a CI, OI, PI or ARCIF does not meet the eligibility criteria in this Section or Sections 8.2, 8.3, 8.4 or 8.5 for the role which that researcher is to perform, the Proposal will not be recommended or approved for funding.
8.2Eligibility criteria for Chief Investigators
8.2.1To be eligible to be a CI, a person must meet the criteria stipulated in Section 8.2 and subsections 8.1.5 and 8.1.6.
8.2.2A researcher nominated on a Proposal as a CI must meet at least one of the following criteria as at 1 January 2009, and for the full term of her/his participation in the project:
a. be an employee of, and derive at least 50 per cent of her/his Earnings from, an Eligible Organisation listed in Appendix 2 for the relevant category under which funding is being sought; or
b. be a holder of an Adjunct Appointment or equivalent, at an Eligible Organisation listed in Appendix 2, Item 1 and not derive more than 50 percent of her/his Earnings from organisations outside the higher education sector that are funded predominantly from State/Territory or Commonwealth Government sources if the Government funding for her/his organisation, or her/his part of the organisation, is provided mainly for research activities. Such organisations include, but are not limited to, Commonwealth-funded Research Centres which are outside the higher education sector, AIMS, ANSTO, CSIRO, DSTO, GA and State/Territory Research and Development organisations and research areas within a Government entity; or
c. be a Federation Fellow.
8.2.3He/she must reside predominantly in Australia for the full term of her/his participation in the project. If the person does not have permanent resident status he/she must obtain temporary or permanent resident status from the Department of Immigration and Citizenship before he/she may commence on the project.
8.2.4A CI must not receive any Earnings from ARC funding for the project.
8.2.5Notwithstanding a researcher’s eligibility under the criteria above or below in this Section, a researcher undertaking undergraduate or postgraduate studies is not eligible to be a CI, unless the researcher’s undergraduate or postgraduate studies lie outside the scope and area of the research proposed in the Proposal.
8.2.6If a Proposal has been approved for funding and any or all of the CIs are at any time during the project no longer able to work as proposed on the project, the project may be continued with a replacement CI(s) provided that:
a. approval is obtained from the Minister or the ARC for the change in CI; and
b. a replacement CI meets the following criteria at the time he/she is nominated as a replacement and for the full term of her/his participation in the project:
i he/she must take significant intellectual responsibility for the proposed project and any strategic decisions called for in its pursuit and the communication of results. The researcher must have the capacity to make a serious commitment and contribution 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; and
ii. he/she must reside predominantly in Australia for the full term of her/his participation in the project; and
iii. all obligations regarding previously funded projects involving the nominated replacement CI must have been fulfilled to the satisfaction of the ARC; and
iv. he/she must be:
(a)an employee of, and derive at least 50 per cent of her/his Earnings from, an Eligible Organisation listed in Appendix 2 for the relevant category under which funding is being sought; or
(b)be a holder of an Adjunct Appointment or equivalent, at an Eligible Organisation listed in Appendix 2, Item 1 and not derive more than 50 percent of her/his Earnings from organisations outside the higher education sector that are funded predominantly from State/Territory or Commonwealth Government sources if the Government funding for her/his organisation, or her/his part of the organisation, is provided mainly for research activities. Such organisations include, but are not limited to, Commonwealth-funded Research Centres which are outside the higher education sector, AIMS, ANSTO, CSIRO, DSTO, GA and State/Territory Research and Development organisations and research areas within a Government entity; or
(c)A Federation Fellow.
8.3Eligibility criteria for Overseas Investigators
8.3.1A researcher who is employed by an overseas research organisation and who is providing significant commitment, intellectual input and relevant expertise to the project may be able to participate as an OI.
8.3.2A researcher nominated on a Proposal as a OI must meet the following criteria as at 1 January 2009, and for the full term of her/his participation in the project. He/she must:
a. not meet the eligibility criteria specified in subsection 8.2.1 for a CI;
b. be employed by an overseas research organisation substantially funded to undertake research;
c. secure a significant contribution of cash, in-kind or other resources from the researcher’s organisation for the proposed project (having regard to the total cost of the project and the relative contribution of other investigators); and
d. take significant intellectual responsibility as outlined in subsection 8.1.5.
8.3.3If a Proposal has been approved for funding and any or all OIs are at any time during the project no longer able to work as proposed on the project, the project may be continued with a replacement OI(s) provided that:
a. approval is obtained from the Minister or the ARC for the change in OI; and
b. the replacement OI(s) must:
i. meet the eligibility criteria specified in subsection 8.3.2b, 8.3.2c and 8.3.2d at the time of her/his nomination and for the full term of her/his participation in the project; and
ii. not meet the eligibility criteria specified in subsection 8.2.6.b.iv. for a replacement CI.
8.4Eligibility criteria for Partner Investigators
8.4.1To be eligible to be a PI on a Proposal, a researcher must:
a. not meet the eligibility criteria specified in subsection 8.2.1 for a CI or subsection 8.3.2.b for an OI;
b. secure a significant contribution of cash, in-kind or other resources from the researcher’s organisation for the proposed project (having regard to the total cost of the project and the relative contribution of other investigators); and
c. take significant intellectual responsibility as outlined in subsection 8.1.5.
8.4.2If a Proposal has been approved for funding and any or all PIs are at any time during the project no longer able to work as proposed on the project, the project may be continued with a replacement PI(s) provided that:
a. approval is obtained from the Minister or the ARC for the change in PI; and
b. the replacement PI(s)must:
i. meet the eligibility criteria specified in subsection 8.4.1.b and 8.4.1.c at the time of her/his nomination and for the full term of her/his participation in the project; and
ii. not meet the eligibility criteria specified in subsection 8.2.6.b.iv for a replacement CI or subsection 8.3.3.b for a replacement OI.
8.5Eligibility criteria for ARCIF Fellows
8.5.1To be eligible to be an ARCIF Fellow, a researcher must satisfy the eligibility criteria specified in subsection 15.1.6 and any further eligibility criteria specified for the relevant ARCIF type at Sections 15.2-15.3.
Cross-scheme issues
9.1Cross-scheme funding
9.1.1The ARC will not duplicate financial assistance for research already funded by the Commonwealth or which is likely to be funded from other Commonwealth funding sources (including under other ARC funding schemes). The ARC reserves the right to determine if a Proposal duplicates or is likely to duplicate research being funded by another Commonwealth source. In such circumstances the ARC may in its absolute discretion decide to recommend that the Proposal not be approved for funding. However, if the ARC considers that parts of the proposed project remain worthy of support, the ARC may assess the Proposal in the usual way and the ARC may instead recommend that a reduced amount of funding be approved for the Proposal.
9.2Cross-scheme eligibility
9.2.1If a researcher nominated as a CI, OI, PI or ARCIF candidate on a Proposal is involved in a funding request or requests for any proposed research project (including fellowship), salary or equipment that has been submitted under this or any other ARC scheme or to any other Commonwealth funding body, the Proposal must contain details of the request(s) and summary details of all other funding must be included in the Proposal. Proposals must indicate the level of funding obtained for approved projects (including fellowships), or being sought for current or future projects (including fellowships), from all Commonwealth funding sources and must list all existing research funding from all Commonwealth sources. If these processes are not observed, or the ARC determines that incomplete, misleading or inaccurate details were included in the Proposal, the ARC may in its absolute discretion decide to not recommend the LX Proposal for approval.
9.2.2If a researcher holds a current ARC Fellowship or is concurrently the subject of multiple ARC Fellowship requests, whether these are in one or more ARC schemes, the Proposals must be cross-referenced. If more than one of these fellowships is approved for funding, only one Fellowship can be undertaken at any point in time. That is, any existing Fellowship must be relinquished or suspended for the period of the ARCIF.
9.2.3The ARC may liaise with other funding agencies to discuss any overlap between proposed or existing research projects (including fellowships) in order to avoid duplication of funding. The ARC may, for this purpose, disclose to such an agency any information in a Proposal.
9.3Funding of Medical and Dental Research
9.3.1Pursuant to Section 6.5, the ARC does not fund Medical and Dental Research under LX. The ARC reserves the right to determine conclusively whether the proposed research involves Medical and Dental Research.
9.3.2The NHMRC funds a range of Medical and Dental Research. In some instances, it may not be clear to the intending Administering Organisation whether or not a Proposal would fall within this area of research such that it would not be funded by the ARC. In these cases, an Eligibility Advising Request may be submitted to the ARC, by forwarding a summary of not more than two pages outlining the proposed research, according to the process described in Section 10.1. The ARC may use the Eligibility Advising Request to decide whether it would be willing to accept a Proposal involving the proposed research. For the purpose of advising in relation to proposed research the ARC may, but is under no obligation to, refer Eligibility Advising Requests to the NHMRC in order to consult with the NHMRC about the likelihood of the NHMRC’s funding proposed research in the relevant research area. The intending Administering Organisation will be advised of the ARC’s decision approximately two weeks after the due date for such requests.
9.3.3If the Administering Organisation submits, or is intending to submit, applications to the ARC and the NHMRC for similar research it must cross-reference the Proposals and must declare the dual submission on the ARC application form.
9.3.4In all cases, whether or not the above process is observed, the ARC reserves the right to decide whether a proposed project falls, or elements of a project, fall within the area of Medical and Dental Research.
Application process
10.1Eligibility Exemption and Eligibility Advising Process
10.1.1These Funding Rules describe a number of situations where it is possible to submit an Eligibility Exemption Request or an Eligibility Advising Request for the purposes of obtaining an exemption or advising from the ARC regarding the eligibility of a proposed Proposal. All such Requests must be submitted on the ARC Eligibility Exemption/Advising Request Form via the Research Office of the intending Administering Organisation, and, subject to subsection 10.1.2, be received by the ARC by:
For requests regarding Proposals for ARC International Fellowships: 5.00 pm (AEST) Friday 11 April 2008
For requests regarding Proposals for Social Sciences Collaboration: 5.00 pm (AEST) Thursday 24 April 2008
10.1.2Subject to this subsection, Eligibility Exemption Requests and Eligibility Advising Requests received after 5:00 pm (AEST) Friday 11 April 2008 for ARC International Fellowships, or after 5:00pm (AEST) Thursday 24 April 2008 for Social Science Collaboration Proposals, will not be considered. The ARC may, in its absolute discretion, and only in exceptional circumstances, accept late Eligibility Exemption/Advising Requests.
10.1.3An exemption from the eligibility requirements may be granted only if an Eligibility Exemption/Advising Request has been submitted in accordance with the requirements of Section 10.1. Similarly, an Eligibility Advising may be provided by the ARC only upon receipt of an Eligibility Advising Request which has been submitted in accordance with the requirements of Section 10.1. An Eligibility Advising, however, does not constitute an exemption from the eligibility requirements - rather it provides an indication to potential Applicants about the likelihood of a Proposal’s satisfying certain eligibility requirements if the Proposal is submitted in accordance with the circumstances outlined in the Eligibility Advising Request.
10.1.4Eligibility Exemption and Eligibility Advising Requests must include the supporting information required in each of the situations where exemptions/advisings are being sought, as described elsewhere in this document. The Research Office will be advised of the outcome of any such request as soon as possible to allow time for a detailed Proposal to be completed if appropriate. If an Eligibility Exemption or Eligibility Advising is given, the ARC will provide an identifying number for the exemption/advising which is to be quoted on any associated Proposal which is submitted to the ARC.
10.1.5The ARC Eligibility Exemption/Advising Request form is available on the ARC’s Web Site.
10.2Proposals
10.2.1A Proposal should be submitted as a mature research plan ready for implementation. 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, including its College of Experts.
10.2.2All details in the Proposal must be current at the time of submission.
10.2.3In submitting a Proposal, the Administering Organisation and the CIs, OIs, PIs and ARCIF candidates nominated in the Proposal are consenting to the Proposal’s being assessed under the ARC’s peer assessment procedures and agree to the release of the Proposal to third parties for assessment purposes.
10.3Certification
10.3.1The Administering Organisation must obtain the agreement of all parties necessary to allow the proposed project to proceed. These agreements must be attested to by hand-written signatures and certification from all relevant persons and organisations involved in the Proposal. These agreements, certifications and signatures are to be retained by the Administering Organisation which must provide them if requested by the ARC. A form is available for this purpose on the ARC’s Web Site. If the Administering Organisation fails to provide this material upon request, the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
10.3.2A Proposal must be submitted through the appropriate Research Office. If a Proposal has not been submitted through the appropriate Research Office/Chief Executive Officer for certification, the Proposal will not be recommended or approved for funding.
10.4Submission of Proposals
10.4.1Unless otherwise notified by the ARC in writing, Proposals under LX consist of two parts:
a. an on-line form which must be completed and submitted in the ARC on-line grants application management system accessible via the ARC’s Web Site; and
b. additional text which must be submitted as part of the paper version of the Proposal, including relevant supporting documentation and investigator curricula vitae.
10.4.2Proposals for an ICI may be submitted only when invited by the ARC, at the times and in the manner outlined within Section 16 of these Funding Rules. The ARC may seek Proposals relating to a particular ICI described in Appendix 4.
10.4.3Format
10.4.3.1All documents must be written in English and must comply strictly with the format, content and submission requirements as specified in these Funding Rules and the “LX Instructions to Applicants for funding commencing in 2009” document issued by the ARC for the relevant category. If a Proposal fails to meet any format, content or submission requirements, the ARC may in its absolute discretion decide to not recommend the Proposal for approval.
10.4.3.2All pages of additional text must be in black type, use a single column and 12-point font size on white A4 paper, be printed on one side only and unbound, with all margins being at least 2cm. As Proposals may be scanned electronically, a highly legible font type must be used, such as Arial, Courier, Palatino, Times New Roman and Helvetica. Variants such as mathematical typesetting languages may also be used. 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 and the reproduction quality may not be optimal. Finely detailed graphics and greyscale may also not be precisely reproduced.
10.4.3.3The pages of the Proposal must be numbered consecutively starting from page 1.
10.4.4How to complete and submit a Proposal
10.4.4.1Administering Organisations must use the form within the ARC’s on-line grants application management system accessible via the ARC’s Web Site.
10.4.4.2A “LX Instructions to Applicants for funding commencing in 2009” document for the relevant category will be available from the ARC’s Web Site. This document specifies a range of requirements for Proposals and also assists parties in preparing Proposals.
10.4.4.3Administering Organisations may have internal closing dates for Proposal preparation which precede ARC closing times.
10.4.4.4Research Offices have access to the ARC on-line grants application management system and will allocate User IDs and passwords to enable researchers at their organisations to access the system and prepare Proposals. If a researcher has previously been allocated access, her/his User ID and password should still be current. If a researcher does not have a Research Office or equivalent unit, he/she should email [email protected] at the ARC for assistance.
10.4.4.5Research Offices should submit forms in the ARC’s on-line grants application management system and forward the Proposal and a copy which must, aside from the required signatures on the certification pages and additional text, identically match the contents of the submitted on-line application form. Proposals should be sent:
by courier to:
OR
by mail to:
Linkage International Coordinator
Australian Research Council
1st Floor, 8 Brindabella Circuit
CANBERRA AIRPORT ACT 2609Linkage International Coordinator
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
10.4.5Number of copies
10.4.5.1In addition to the on-line form, the paper part of a Proposal must be submitted along with an identical paper copy. The paper version must be clipped, not stapled. The paper parts of the Proposal must be submitted with the additional text, including supporting documentation, interleaved appropriately (see the "LX Instructions to Applicants for funding commencing in 2009” for the relevant category).
10.4.6Closing times for Proposals
10.4.6.1Subject to subsection 10.4.6.3, the paper parts of a Proposal must be received by the ARC, and the on-line form completed using the ARC’s on-line grants application management system must be submitted, by the following times for the relevant category under which funding is being sought:
a. for ARC International Fellowship Proposals: 5:00pm (AEST) Friday 23 May 2008;
b. for Social Sciences Collaboration Proposals: 5:00pm (AEST) Wednesday 4 June 2008.
10.4.6.2Proposals may be withdrawn but additions, deletions and modifications will not be accepted after submission, unless invited by the ARC.
10.4.6.3If the required paper parts of a Proposal are not received by the ARC by 5:00pm (AEST) Friday 23 May 2008 for ARC International Fellowship Proposals or 5:00pm (AEST) Wednesday 4 June 2008 for Social Sciences Collaboration Proposals, the ARC may in its absolute discretion decide to not recommend the Proposal for approval. In deciding whether to recommend or not recommend such a Proposal the ARC may take into account whether:
a. in the opinion of the ARC, exceptional circumstances apply; or
b. the Administering Organisation is able to provide evidence to the satisfaction of the ARC that all the documents were despatched by the Administering Organisation sufficiently in advance of the closing time for the documents to have been delivered to the ARC by the closing time in the normal course of events.
Selection and approval process
11.1Selection criteria
11.1.1All LX Proposals which meet the eligibility criteria will be assessed and merit ranked using the criteria specified for the particular LX category specified in:
a. subsection 15.1.11 for ARCIFs; or
b. Section 16.10.1 for ICIs.
11.2Assessment and selection procedure
11.2.1Assessment and selection process
11.2.1.1Assessment of Proposals is undertaken by the ARC, which has the right to make recommendations solely on the basis of its expertise, and which may:
a. consider if a Proposal satisfies the eligibility criteria set out in these Funding Rules;
b. identify and consider any other matters that these Funding Rules state may result in the ARC’s recommending that a Proposal not be approved for funding;
c. assign assessors to review Proposals;
d. seek comments on assessors’ reports from the parties involved in the Proposal;
e. rank each Proposal relative to the others on the basis of the Proposal, any assessors’ reports, and any response to those assessment reports;
f. assess and recommend the amount of funding to be made available for a Proposal; and/or
g. prepare funding recommendations.
11.2.1.2The ARC College of Experts assists with the assessment of Proposals. The ARC has procedures for managing organisational and personal conflicts of interest experienced by members of the College of Experts, members of other ARC committees, ARC staff, and other assessors, and for enabling individuals to withdraw from the assessment process for particular Proposals where any actual or perceived conflict may exist.
11.2.2Exclusion of Proposals
11.2.2.1The ARC will not recommend for approval, and the Minister will not approve for funding, any Proposal that fails to satisfy the “eligibility criteria” set out in these Funding Rules, including:
a. if the ARC considers that the Proposal seeks funding for any of the items not permitted under Sections 6.4 or 6.5 and the ARC considers no other part of the proposed project remains worthy of support (subsection 6.5.2);
b. if the Proposal seeks salary funding for a CI, OI or PI (subsection 6.4.2.b);
c. if the Proposal was not submitted by an Eligible Organisation (Section 7.1);
d. if the Proposal did not nominate at least one CI or ARCIF candidate (subsection 8.1.2);
e. if the ARC considers that a researcher nominated in the Proposal as CI, OI, PI or ARCIF candidate does not meet the eligibility criteria as specified in Section 8.1 or Sections 8.2, 8.3, 8.4 or 8.5 for the role which that researcher is to perform (subsection 8.1.7);
f. if the ARC determines that a proposed project would fall within the area of Medical and Dental Research (subsection 6.5.1.a and Section 9.3);
g. if a Proposal has not been submitted through the appropriate Research Office/Chief Executive Officer for certification (subsection 10.3.2);
h. if the Proposal is not for a program of research, or a program that supports the conduct of a program of research; and
i. if the ARCIF Proposal includes more than the maximum number of researchers of a specified role(s) (subsection 15.1.10.1a).
11.2.2.2The ARC may in its absolute discretion decide not to recommend for approval a Proposal if:
a. in the opinion of the ARC, any researcher nominated in the Proposal as a CI, OI, PI or ARCIF candidate has caused or has significantly contributed to the failure of an organisation to meet its obligations under any current or previous funding agreement with the ARC (subsection 4.1.5);
b. in the opinion of the ARC, any party involved in or associated with the Proposal has failed to disclose any conflict of interest which has the potential to influence, or appear to influence, the request for funding, the research and activities, or publications and media reports related to the Proposal (subsection 4.4.3.2);
c. if the Proposal has sought funding which is less than the minimum amount or more than the maximum amount of funding allowed (subsection 6.1.2);
d. the limits on the number of Proposals and projects permissible are exceeded (subsection 6.6.1.2);
e. the ARC considers that the project described in the Proposal is the same as or similar (in whole or in part) to a project described in another Proposal that is submitted in the same funding round (subsection 6.6.2.1);
f. where required so the Proposal does not include a required letter from a Centre Director (subsection 16.8.1.2);
g. in the opinion of the ARC, a Proposal duplicates or is likely to duplicate research already being funded, or which is likely to be funded, by the Commonwealth (subsections 4.4.2.2, 9.1.1 and 9.3.1);
h. where required the Proposal does not include details of other funding or funding requests (subsection 9.2.1);
i. the ARC considers incomplete, inaccurate, or misleading material has been provided in relation to the Proposal or if the Administering Organisation and/or researchers nominated in the Proposal as a CI, OI, PI or ARCIF have provided the ARC with incomplete, unsatisfactory, inaccurate or misleading information in relation to the provision of advice relating to, or in the reporting of progress of, a funded project (subsections 9.2.1 and 14.5.2 and 14.5.3);
j. when requested, the Administering Organisation fails to provide the signed certifications and agreements of all parties necessary to allow the proposed project to proceed (Section 10.3);
k. the on-line part of a Proposal is not submitted, or the paper part of the Proposal is not received by the ARC, by the closing time (subsection 10.4.6);
l. the circumstances of a Proposal are such that an eligibility exemption or advising is required but the required process has not been followed (including that the deadlines are not met) (Section 10.1);
m. the Proposal fails to meet any format and other submission requirements (Section 10.4);
n. where required to do so the Proposal does not include a required letter from a Centre Director (subsection 16.8.1.2);
o. it is an ICI Proposal and the collaborating overseas agency or agencies have decided not to fund the counterpart Proposal(s) (subsection 16.10.4); or
p. it is an ICI Proposal and it fails to meet one or more requirement specified against the relevant initiative in Appendix 4.
11.2.3Assessment
11.2.3.1In addition to assessment by the ARC, a Proposal may at the ARC’s absolute discretion be assessed by external assessors. Assessors may be drawn from a range of organisations to reduce the potential for conflicts of interest. Proposals will be assessed against the criteria set out in these Funding Rules and the reports by the assessors may include written comment.
11.2.3.2The ARC reserves the right to make recommendations for funding to the Minister based on any number of assessments or solely on the assessment of the ARC.
11.2.3.3Administering Organisations may provide written notification to the ARC naming any person or persons whom they do not wish to assess a Proposal. A “Request not to Assess” form is available from the ARC’s Web Site for this purpose. Such notifications must contain detailed justification and be submitted using the “Request not to Assess” form through the Administering Organisation’s Research Office. This notification must not accompany the Proposal. The notification must be received by the ARC by the applicable closing time for submission of Proposals for the relevant category and be sent:
by courier to:
OR
by mail to:
Linkage International Coordinator
Australian Research Council
1st Floor, 8 Brindabella Circuit
CANBERRA AIRPORT ACT 2609Linkage International Coordinator
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
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.
11.2.4Rejoinder
11.2.4.1Assessors’ written comments, if obtained, may be provided to allow the opportunity for a rejoinder to the comments. Names of assessors are not provided. At the same time, the ARC may add questions to the material sent for rejoinder. A period of up to 2 weeks may be given to submit a rejoinder to the ARC. Subject to subsection 11.2.4.2, rejoinders will not be accepted after the nominated closing time for rejoinder submissions. The ARC may limit the length of rejoinders which can be submitted. Unless otherwise notified by the ARC in writing, rejoinders must be submitted through the ARC’s on-line grants application management system.
11.2.4.2The ARC may, in its absolute discretion, and only in exceptional circumstances, accept late rejoinders.
11.2.5Recommendations
11.2.5.1The ARC’s recommendations will be submitted in accordance with the ARC Act to the Minister for consideration. The Minister determines which Proposals will be approved and the amount and timing of financial assistance to be paid to Administering Organisations for approved Proposals.
11.2.5.2Under 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.
11.3Offer of funding
11.3.1Administering Organisations whose Proposals are approved will be:
a. notified in a letter of offer that will indicate the financial assistance to be offered; and
b. provided with a copy of a Funding Agreement for signing.
Appeals process
12.1.1Appeals will be considered only against administrative process issues and not, for example, against committee recommendations or assessor ratings and comments.
12.1.2Appeals must be made on the appeals form available from the ARC’s Web Site. The form must be lodged by the Administering Organisation and must be authorised by a Deputy Vice Chancellor (Research), Chief Executive Officer or equivalent. Appeals must be received by the ARC within 28 days of the date on the letter notifying the outcome of Proposals.
12.1.3Appeals must be addressed and sent:
by courier to:
OR
by mail to:
The Appeals Officer
Research Council
1st Floor, 8 Brindabella Circuit
CANBERRA AIRPORT ACT 2609The Appeals Officer
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
Administration of funding
13.1Funding Agreement
13.1.1All parties involved in a Proposal should familiarise themselves with the standard Funding Agreement, but only the Administering Organisation and the ARC will be parties to the Funding Agreement. Parties involved in a funded project must accept the terms of the Funding Agreement and the Administering Organisation must sign the Funding Agreement before the ARC will commence payments.
13.1.2Projects must commence as required by the Funding Agreement. Failure to do so may result in termination of the Funding Agreement.
13.1.3Administering Organisations should note that the Funding Agreement covers post-award management, including reporting requirements and financial management. The standard Funding Agreement can be viewed on the ARC’s Web Site.
13.2Varying the Funding Agreement
13.2.1Requests to vary the Funding Agreement must be forwarded in writing by the Administering Organisation’s Research Office to the ARC. Forms are available on the ARC’s Web Site. Amendment of any clauses of the Funding Agreement will be at the ARC’s absolute discretion.
13.3Varying the Funding Approval
13.3.1Requests to vary the funding approval must be forwarded in writing by the Administering Organisation’s Research Office to the ARC.
13.3.2The funding approval may be varied by varying the amount of financial assistance, the period of financial assistance, the name of the person leading the research project and/or the name of the organisation receiving financial assistance.
13.3.3The Minister may vary the funding approval if:
a. any of the organisations involved in the project end, or substantially change, their involvement with the project;
b. the research project changes so that it is no longer consistent with the description in the funding approval as previously approved or as otherwise varied;
c. the desirable period of funding for a project is not consistent with the period in the funding approval as previously approved or as otherwise varied;
d. the person nominated in the funding approval as the person leading the research project, or any such replacement person approved by the Minister, ceases to lead the project; and/or
e. the ARC considers and recommends that the particular circumstances of the project warrant variation of the funding approval, providing such variation is reasonably justified upon the facts of the case and any variation or change to the project accords with the LX objectives.
13.4Reports
13.4.1Administering Organisations are required to submit reports to the ARC concerning funded projects, in the format and by the due dates detailed in the Funding Agreement.
Other matters
14.1Applicable law
14.1.1The ARC is required to comply with the requirements of the Privacy Act 1988 and the Freedom of Information Act 1982.
14.2Confidentiality
14.2.1The 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:
a. is 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. is disclosed to the ARC’s personnel to enable effective management or auditing of LX or any Funding Agreement;
c. is disclosed by the ARC to the Minister;
d. is 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. is authorised or required by law to be disclosed;
f. is disclosed in accordance with any other provision of these Funding Rules or the Funding Agreement; or
g. is in the public domain otherwise than due to a breach by the ARC of any obligation of confidence.
14.2.2Where 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. Notwithstanding the above, and in addition to the exemptions listed at subsection 14.2.1, the ARC may publicise and report offers or awards of funding, including information about the proposed research; the name of nominated CIs, OIs, PIs or ARCIF Fellows and their organisations; the name of the Administering Organisation and any other parties involved in or associated with the project; the title and summary descriptions of the project and its intended outcomes (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 project title and summaries would not, if released, compromise their own requirements for confidentiality (such as future protection of intellectual property).
14.3Project descriptions
14.3.1In 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.
14.4Intellectual property
14.4.1The ARC does not claim ownership of any intellectual property in a Proposal or which is created or developed from the conduct of a project funded under LX.
14.4.2However, all Proposals become the property of the ARC on submission. Administering Organisations submit their Proposals on the basis that the ARC may copy, modify and otherwise deal with information contained in a Proposal (and allow any external assessor or other third party to do the same) for any purpose related to:
a. the evaluation and assessment of Proposals;
b. verifying the accuracy, consistency and adequacy of information contained in a Proposal, or otherwise provided to the ARC;
c. the preparation and management of any Funding Agreement; or
d. the administration or management of the NCGP.
14.4.3If a Proposal contains information belonging to a third party, the Administering Organisation must ensure that it has in place all necessary consents to allow the ARC to deal with that information in accordance with these Funding Rules, prior to the Administering Organisation’s submitting its Proposal.
14.4.4Except with written approval from the ARC, all Proposals and ARC-funded research projects must comply with the National Principles of Intellectual Property Management for Publicly Funded Research (available on the ARC’s Web Site) and accord with any intellectual property policies of the researcher's organisation.
14.5Incomplete or misleading information
iii. expected results, including the potential of the research to result in economic and/or social benefits to Australia and to contribute to one of the National Research Priorities; and
iv. value for money and budget justification, including where appropriate any cash or in-kind financial contributions to be made from non-ARC sources; and
b. the parties who are to be involved in and associated with the project, including their track record relative to opportunities and their capacity to undertake the proposed activities.
16.10.2Sections 10 and 11 of the Funding Rules set out general requirements for all categories of LX, including the Application, Selection and Approval processes.
16.10.3The ARC may refer recommended Proposals to the collaborating overseas agency or agencies specified in Appendix 4, Column 1, for further coordinated discussion.
16.10.4ARC funding of an ICI Proposal may be subject to the decision of the collaborating overseas agency or agencies to fund the counterpart application submitted by overseas counterparts.
16.10.5Preference may be given for the funding of an ICI Proposal where the collaborating overseas agency or agencies decide to fund the counterpart application submitted by overseas counterparts.
16.11Closing time for Proposals
16.11.1At the time of inviting ICI Proposals the ARC will set and advise Applicants the relevant timeframes for the closure of ICI Proposals. For specific initiatives these details are shown in Appendix 4, Column 2. Proposals may be withdrawn but may not be changed after submission. Additions, deletions and modifications to Proposals will not be accepted after submission, unless invited by the ARC. Subject to this subsection, Proposals received after the closing time will not be accepted. The ARC may, in its absolute discretion, and only in exceptional circumstances, accept late Proposals.
16.12Other Requirements
16.12.1In addition to the above requirements for ICI Proposals, other requirements may be specified against any initiative in Appendix 4, Column 7.
Appendix 1: National Research Priorities and associated Priority Goals
Research Priority 1: An Environmentally Sustainable Australia
Transforming the way we utilise our land, water, mineral and energy resources through a better understanding of human and environmental systems and the use of new technologies.
Natural resources have traditionally fuelled our national and regional economies. They have the potential to generate further wealth and employment opportunities in the future. But our natural resources and biodiversity must be used on a sustainable basis so that the benefits continue to be enjoyed by future generations.
Australia faces significant environmental challenges:
Efficient and sustainable water use is a critically important issue for our economic and social development;
Significant land degradation issues, such as salinity, need to be arrested to underpin our agricultural production systems;
Climate change can be expected to have complex, long-term consequences for the environment, for our agricultural and marine production systems and for communities; and
The cleanliness and efficiency of our energy production systems should be enhanced.
There is substantial effort underway to develop more efficient water utilisation practices, to protect our rivers and groundwater resources, and to protect and remediate our fragile soils.
Our agricultural and mining industries are being transformed through the adoption of new technologies, and the development of new types of foods.
This will help to revitalise our regional communities and generate substantial export earnings for the nation over the coming decades.
Australia is well placed to take an international lead in developing new and improved energy technologies and in capturing and ‘sequestering’ carbon dioxide.
Other opportunities lie in managing and using our unique, rich land- and marine-based biodiversity, and in developing our deep earth resources.
Australia has a strong record of achievement in research in fields in the natural sciences, such as agriculture, natural resource management, climate change, horticulture, forestry, mining, energy, and marine sciences, as well as in the social sciences and humanities.
We must build on these strengths to improve our competitive advantages while enhancing our understanding of natural systems and the interplay of human activities.
In particular, there needs to be an increased understanding of the contributions of human behaviour to environmental and climate change, and on appropriate adaptive responses and strategies.
To understand and manage these complex interactions better will require significant collaboration within the research community and with other stakeholders.
Priority goals for research fall in the seven areas of water utilisation, transforming resource-based industries, overcoming land degradation, developing cleaner, more efficient fuels and energy sources, managing biodiversity, deep earth resources and responding to climate change and variability.
Priority Goals
Water – a critical resource
Sustainable ways of improving water productivity, using less water in agriculture and other industries, providing increased protection of rivers and groundwater and the re-use of urban and industrial waste waters.
Australia is one of the driest continents and is dependent upon access to freshwater supplies for economic and social development. It has a complex geological structure, a highly variable climate, unique ecosystems, flora and fauna and a distinctive indigenous and settler history. Enhancing our understanding of the links between these factors and water availability will result in a better understanding of sustainable water management practices.
Transforming existing industries
New technologies for resource-based industries to deliver substantial increases in national wealth while minimising environmental impacts on land and sea.
Resource-based industries underpin much of Australia’s prosperity and have the potential to do so in the future. For example, Australia remains highly prospective for minerals discoveries and highly attractive for the development of new era foods from agricultural and marine sources. Our competitive advantage and national well being will depend on research and on the development and adoption of new technologies.
Overcoming soil loss, salinity and acidity
Identifying causes and solutions to land degradation using a multidisciplinary approach to restore land surfaces.
The Australian landscape is fragile: soil salinity, acidity, and nutrient levels pose significant, long term challenges for agriculture and the environment. Research is helping to find solutions to these problems. For example, the National Land and Water Resources Audit shows the extent of salinity, soil erosion and soil acidification in the Australian environment and illustrates Australia’s leading edge in national mapping of critical resource data. Further multidisciplinary effort is required to develop sustainable land management practices that are appropriate for Australian conditions and mitigate major land degradation processes and increase biodiversity.
Reducing and capturing emissions in transport and energy generation
Alternative transport technologies and clean combustion and efficient new power generation systems and capture and sequestration of carbon dioxide.
Australia is well positioned to produce world class solutions to reduce and capture greenhouse gas emissions. We are also well placed to develop alternative energy technologies and ecologically sustainable transport and power generation systems.
Sustainable use of Australia’s biodiversity
Managing and protecting Australia’s terrestrial and marine biodiversity both for its own value and to develop long term use of ecosystem goods and services ranging from fisheries to ecotourism.
Australia has a unique and rich flora and fauna. Many of our complex ecosystems – on which our agricultural, fisheries and tourism industries depend - have adapted to events such as drought and fire, and have been shaped by indigenous and settler management practices. There is a need for a more comprehensive understanding of these natural systems and the interplay with human activities, and the effects of management and protection measures.
Developing deep earth resources
Smart high-technology exploration methodologies, including imaging and mapping the deep earth and ocean floors, and novel efficient ways of commodity extraction and processing (examples include minerals, oil and gas) while minimising negative ecological and social impacts.
Many of Australia’s known mineral assets may be nearly exhausted within the next decade. New land-based deposits are believed to be buried deeper in the crust and the deep marine areas surrounding Australia are also largely unexplored. New technologies, such as remote sensing, indicate scientists are on the brink of being able to ‘see’ inside the earth and identify deeply buried deposits.
Responding to climate change and variability
Increasing our understanding of the impact of climate change and variability at the regional level across Australia, and addressing the consequences of these factors on the environment and on communities.
Australia already has a highly variable climate, and climate change can be expected to have further significant impacts. It is important to enhance our understanding of the consequences of climate change and variability at the regional level across Australia, and the implications for the environment and for communities. It is also important to explore beneficial adaptation strategies to climate change and variability to ensure ongoing social, economic and environmental well being.
Research Priority 2: Promoting and Maintaining Good Health
Promoting good health and well being for all Australians
Average life expectancies have increased markedly in recent decades. Australians also expect to lead longer and healthier lives in the future, and to remain productive and independent over an extended period.
Enabling individuals and families to make choices that lead to healthy, productive and fulfilling lives will yield economic and social benefits and add materially to national well being.
Australians expect that their children and grandchildren should have a healthy start to life.
Developing strategies to promote the healthy development of young Australians, and addressing the causes and reducing the impact of the genetic, social and environmental factors which diminish their life potential will be critical.
A revolution is also underway at the other end of the life cycle. Australia, like many other developed nations, is undergoing a major demographic shift involving significant growth in the aged population.
To meet this challenge, it will be important to promote healthy ageing by developing better social and medical strategies to ensure that older Australians enjoy healthy and productive lives.
Informed insights into the causes of disease and of mental and physical degeneration will contribute to the achievement of this goal.
All Australians stand to benefit from preventive healthcare through the adoption of healthier attitudes, habits and lifestyles.
Evidence-based preventive interventions may help reduce the incidence and severity of many diseases, including major health problems such as cardiovascular and neurodegenerative diseases, mental ill-health, obesity, diabetes, asthma and chronic inflammatory conditions. These could include interventions that reduce exposure to contamination of the physical environment (eg air pollution).
Improvements in the health and well being of the young, of older Australians and in preventive healthcare will be underpinned by research.
However, while Australia has an enviable record in health and medical research, the research effort is spread across the many universities, hospitals and health and medical research institutes, resulting in critical mass only in limited areas of research.
There is also a need to draw on multidisciplinary approaches that include research contributions from the social sciences and humanities.
This priority is designed to promote health and prevent disease through a more focused and collaborative effort.
Priority goals for research fall in the four areas of a healthy start to life, ageing well, ageing productively, preventive healthcare and strengthening Australia’s social and economic fabric.
Priority Goals
A healthy start to life
Counteracting the impact of genetic, social and environmental factors which predispose infants and children to ill health and reduce their well being and life potential.
Human health in the developing foetus and in early childhood is critical to the future well being of the adult. Research shows that health and well being in early childhood is predictive of later positive outcomes, and that health in middle and late childhood is also crucial.
Ageing well, ageing productively
Developing better social, medical and population health strategies to improve the mental and physical capacities of ageing people.
Australia’s population is ageing, with a significant projected increase in the number of people aged over 65 and over 85. While Australia is relatively well-placed compared with many OECD nations, major shifts in cultural expectations and attitudes about ageing are necessary to respond constructively, at both an individual and population level. A healthy aged population will contribute actively to the life of the nation through participation in the labour market or through voluntary work.
Preventive healthcare
New ethical, evidence-based strategies to promote health and prevent disease through the adoption of healthier lifestyles and diet, and the development of health-promoting products.
Preventive healthcare research will improve the prediction and prevention of disease and injury for all Australians through the adoption of healthier behaviours, lifestyles and environments. Research will generate an improvement in the design, delivery and uptake of programmes such as exercise-based rehabilitation. There are several major disease targets amenable to immediate study, such as cardiovascular health, neurodegenerative diseases, mental ill-health, obesity, diabetes, asthma and chronic inflammatory conditions. Research on prevention will emphasise interdisciplinary approaches, including research on ethics, drawing on contributions from the social sciences and humanities, as well as from the health and medical sciences. It will also focus on developing new health promoting foods and nutraceuticals.
Strengthening Australia's social and economic fabric
Understanding and strengthening key elements of Australia's social and economic fabric to help families and individuals live healthy, productive, and fulfilling lives.
Living in today's society involves a complex web of choices, yet many of the traditional support structures are weaker than they have been in the past. Enabling people to make choices that lead to positive pathways to self reliance and supportive family structures is more important than ever. The interactions between the social safety net, social and economic participation, financial incentives and community and private sources of support are critical in helping people maximise their potential and achieve good, healthy, lifetime outcomes. In the decade ahead, it will be vital to understand and support the drivers for workforce participation and the broader social and economic trends influencing Australian families and communities. Research in this area will emphasise interdisciplinary approaches, drawing on contributions from the economic, behavioural and social sciences.
Research Priority 3: Frontier Technologies for Building and Transforming Australian Industries
Stimulating the growth of world-class Australian industries using innovative technologies developed from cutting-edge research.
Progress and wealth often derive from the unforeseen application of new discoveries. Australia must be at the leading edge if it is to stay abreast of international developments and take advantage of opportunities.
Our national capabilities in emerging sciences and their underpinning disciplines determine our capacity to develop and implement new technologies. Australia has a strong base of expertise, skills and technological capacities in the fundamental sciences and key technologies.
Our strengths are in a wide range of areas such as biotechnology, material sciences, information and communications technology (ICT), photonics, nanotechnology and sensor technology.
ICT is currently the critical enabling technology and is a major contributor to national productivity and growth.
But breakthrough science underpins technological advancements in many areas and Australia needs to foster an environment that stimulates creativity and innovation.
Applications for frontier technologies are potentially very large. Australia has the capacity to exploit niche markets for new products and services.
Australia also has an enviable track record as an innovator and developer of advanced materials and must grasp the opportunity to stay ahead.
Smart information use involving improved data management, intelligent transport systems and digital media to develop creative applications for digital technologies provides huge opportunities to improve the performance of key Australian industries.
Australia needs to invest in this research area as it is fundamental to our future competitiveness and well being.
This priority will help to strengthen the capacity of Australian researchers to participate in new areas of research, enhance Australia’s international scientific reputation, stimulate local expertise, and help create vibrant new industries.
A better understanding of the conditions that are conducive to innovation will ensure that Australia’s investment in research will maximise the benefits for Australia.
Enhanced research effort will also be achieved through initiatives that develop a critical mass of researchers in key areas.
Priority goals for research fall in the five areas of breakthrough science, frontier technologies, advanced materials, smart information use, and promoting an innovation culture and economy.
Priority Goals
Breakthrough science
Better understanding of the fundamental processes that will advance knowledge and facilitate the development of technological innovations.
Breakthrough science underpins technological innovation across a range of industries critical to maintaining Australia’s position as a developed country. Some examples include bio-, cultural- and geo-informatics, nano-assembly and quantum computing. Technological advances are often unexpected and a strong foundation in mathematics and the fundamental sciences will provide an environment that fosters creativity and innovation. Early participation in leading edge areas of research will enable Australian researchers to benefit more fully from international developments.
Frontier technologies
Enhanced capacity in frontier technologies to power world-class industries of the future and build on Australia’s strengths in research and innovation.
The potential applications of frontier technologies across a range of industries in Australia are vast. Australia has significant capacity to exploit niche markets for new products and services emerging from frontier technologies. Australia has world-class research expertise in many such areas. Some examples include nanotechnology, biotechnology, ICT, photonics, genomics and phenomics. Also important are advanced frameworks such as complex systems in which these technologies are applied. Future directions in this priority area need to target the cutting-edge science critical for each emerging technology.
Advanced materials
Advanced materials for applications in construction, communications, transport, agriculture and medicine.
The development of advanced materials will underpin growth in many areas of industrial and economic activity in Australia. Australia has substantial infrastructure in this area and an enviable track record as an innovator and developer of advanced materials. The era of advanced materials is just beginning, in spite of the tremendous progress in recent years. Substantial scientific and technological challenges remain ahead, including the development of more sophisticated and specialised materials. Some examples include ceramics, organics, biomaterials, smart materials and fabrics, composites, polymers, and light metals.
Smart information use
Improved data management for existing and new business applications and creative applications for digital technologies.
ICT applications are providing huge opportunities to deliver new systems, products, business solutions, and to make more efficient use of infrastructure. Examples include e-finance, multi-media, content generation and imaging. Improved data management is central to the future competitiveness of key industries such as agriculture, biotechnology, finance, banking, education, transport, government, and health and ‘info-tainment’. The ability of organisations to operate virtually and collaborate across huge distances in Australia and internationally hinges on our capabilities in this area. The media and creative industries are among the fastest growing sectors of the new economy. Research is needed to exploit the huge potential in the digital media industry.
Promoting an innovation culture and economy
Maximising Australia’s creative and technological capability by understanding the factors conducive to innovation and its acceptance.
Understanding the factors that lead to highly creative and innovative ideas and concepts, and the conditions that lead to their introduction, transfer and uptake is critical for any nation that aspires to lead the world in breakthrough science, frontier technologies, and in other forms of innovation. Promoting an innovation culture and economy requires research with a focus on developing and fostering human talent, societal and cultural values favourable to creativity and innovation, and structures and processes for encouraging and managing innovation.
Research Priority 4: Safeguarding Australia
Safeguarding Australia from terrorism, crime, invasive diseases and pests, strengthening our understanding of Australia’s place in the region and the world, and securing our infrastructure, particularly with respect to our digital systems.
Australia has to be capable of anticipating and tackling critical threats to society, strategic areas of the national economy and the environment.
The threats can potentially come from within and outside Australia.
The world is now characterised by the widespread and rapid movements of people, digitally coded data, goods and services, and exotic biological agents.
Critical infrastructure in Australia is increasingly dependent on digital technology for its management and integration.
Information protection and the integrity of security systems are now more important than ever before.
It is also necessary to protect the status of Australia as a nation free of many of the diseases affecting primary production around the world.
Terrorism has emerged as a very real global threat and crime is taking a significant toll on Australian society and economy.
Maintaining the operational advantage of Australia’s defence forces through superior capabilities is also fundamental to our national security.
Enhancing our nation’s understanding of social, political and cultural issues will help Australia to engage with our neighbours and the wider global community and to respond to emerging issues.
Leading edge research in Australia is already yielding high dividends and as a national research priority will improve the effectiveness of that contribution.
Stronger research capabilities will ensure that solutions are tailored to Australia’s unique circumstances, reflecting its geographic features and small population.
Greater collaboration within the research community and with other stakeholders will allow us to better understand and manage potential threats to Australia.
Harnessing the knowledge and capabilities across Australia offers us the best chance of developing innovative and rapid solutions to serious threats.
Australia’s international relations and its regional influence will be strengthened through new collaborative approaches and new science and technologies that enhance security and safety.
The heightened interest in personal and electronic security across the world also provides opportunities for Australian solutions.
Priority goals for research fall in the five areas of critical infrastructure, understanding our region and the world, protecting Australia from invasive diseases and pests, protecting Australia from terrorism and crime, and transformational defence technologies.
Priority goals
Critical infrastructure
Protecting Australia’s critical infrastructure including our financial, energy, communications, and transport systems.
Protecting our critical infrastructure is important to national security and to the social and economic well being of Australia. An important aspect of this priority goal is e-security which is an enabler of e-commerce. Maintaining a critical mass of research in e-security will be essential in providing Australia with the tools to protect our way of life.
Understanding our region and the world
Enhancing Australia’s capacity to interpret and engage with its regional and global environment through a greater understanding of languages, societies, politics and cultures.
Social, cultural and religious issues are of growing significance due to the insecurities of globalisation and the increasing role of non-state players in the security environment. Australia’s capacity to interpret and engage with its regional and global environment will be substantially improved by enhancing its research base in apposite languages, societies and cultures. An approach that enhances Australia’s capacity to interpret itself to the rest of the world is also needed.
Protecting Australia from invasive diseases and pests
Counteract the impact of invasive species through the application of new technologies and by integrating approaches across agencies and jurisdictions.
Australia is free of many of the pests and diseases affecting primary production around the world. This status needs to be protected as the introduction of exotic species has the potential to adversely affect our exports and the environment. Australia already has strong skills and expertise in this area of research and further work will offer immediate benefits to the community. A greater level of coordination of our research effort will mean that Australia can more effectively develop innovative and rapid solutions to serious threats.
Protecting Australia from terrorism and crime
By promoting a healthy and diverse research and development system that anticipates threats and supports core competencies in modern and rapid identification techniques.
This threat requires a more sophisticated response which should harness Australia’s research capabilities, and which will focus on all phases of counter-terrorism; prevention, preparedness, detection, response and recovery. Crime takes a significant toll on Australian society and economy. Personal identification, information protection and the integrity of security systems are fundamental towards ensuring the national security of Australia. An effective solution will include building on Australia’s existing strengths in rapid detection using new analytical technologies and managing significant data collections.
Transformational defence technologies
Transform military operations for the defence of Australia by providing superior technologies, better information and improved ways of operation.
Australia has a small defence force to protect a large continent and a substantial maritime region of responsibility. Its operational advantage has been maintained through a superior capability which is dependent on leveraging innovative technologies. Although some benefits can be gained from overseas research, Australia has to conduct its own research to address uniquely Australian demands. A systems approach which harnesses the research capabilities of all stakeholders is essential to the successful development and introduction of innovative technologies.
Appendix 2: Eligible Organisations
Item 1. Organisations eligible to submit Proposals for Linkage International ARCIFs.
New South Wales
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
Melbourne College 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
Flinders University
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
Multi-State
Australian Catholic University
Item 2. Organisations eligible to submit Proposals for Linkage International ICIs.
Those Organisations listed in Appendix 4, Column 3 for the relevant initiative.
Appendix 3: Notional Fellowship salaries and relocation allowances
Item 1. ARC Notional* Fellowship Salaries for funding commencing in 2009
*The figures in the table below are based on the 2008 levels of funding and will be subject to variation (for example due to annual indexation). Updated levels will be available on the ARC’s Web Site at cellpadding="0" cellspacing="0">
(per annum)
$61,399
$77,008
$98,570
$117,219
Australian Professorial Fellowship – Step 1
$106,146
$29,721
$135,867
Australian Professorial Fellowship – Step 2
$122,797
$34,383
$157,180
Item 2. Maximum ARC Fellows and ARCIF Relocation Allowances
North America $17,000
Europe/Asia (Northern Hemisphere)/Africa/South America $14,000
Asia (Southern Hemisphere)/Oceania $11,000
Unless otherwise specified in these Funding Rules, travel associated with relocations will be funded only up to a maximum of one return economy class airfare for each person approved for relocation.
Appendix 4: Particular Linkage International Internationally Coordinated Initiatives (ICIs) undertaken under these Funding Rules
| Initiative being funded (Column1) | Closing Time for Proposals (Column 2) | Eligible Organisations (Column 3) | Applicable Investigator roles[1] and requirements (Column 4) | Specific objectives (Column 5) | Indicative duration and funding thresholds (Column 6) | Other Items specific to the initiative (Column 7) |
| Title: Social Sciences Collaboration (SSC) Joint initiative between the ARC and the Economic and Social Research Council of the United Kingdom of Great Britain and Northern Ireland (ESRC) in the field of Social Sciences: Cooperative Activity in Social Sciences Research between Australian and British Investigators. | 5:00pm (AEST) 4 June 2008 | Those organisations listed in Appendix 2, Item 1 and Museums and herbaria which are Australian publicly funded organisations not directly funded to carry out research but with research-related purposes and objectives. | · Chief Investigator · Overseas Investigator · Partner Investigator · Each Proposal must have at least one CI and OI. · The first-named CI will be considered the ‘Project Leader’ and must be an employee, or holder of an adjunct appointment or equivalent, at the proponent Eligible Organisation. | · To fund collaborative Australian/British Proposals in the fields of economics, economic and social history, political science, socio-legal studies, education, psychology, cognitive studies, linguistics, management and business studies, human geography, environmental planning, international studies, area and development studies, social statistics, demography, social science computing, sociology, social anthropology, social policy and social work. · To stimulate enhanced collaborations among social science researchers and create networks linking individuals and centres in Australia and the UK. | · Funds may be awarded for 1 to 5 years, subject to sufficient funding being available for Linkage International, and the provisions of the ARC Act. · The duration of the proposed ICI project should match the duration of the counterpart project proposed to the UK ESRC. · The maximum level of funding which will be provided per project is $250,000. | · A person may not be nominated as a CI on more than one SSC ICI Proposal submitted in 2008. |
[1] Refer Section 8 for a description of investigator types and their associated eligibility criteria.
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