Australian Research Council Act 2001 - Discovery Projects - Funding Rules for funding commencing in 2007

EXPLANATORY STATEMENT

Funding Rules made under section 60 of the Australian Research Council Act 2001

Discovery Projects for funding commencing in 2007

Issued by the authority of the Minister for Education, Science and Training

Subject:  Australian Research Council Act 2001

   Discovery Projects Funding Rules for funding commencing in 2007

Authority

Section 60 of the Australian Research Council Act 2001 (the Act) provides that the Minister for Education, Science and Training must approve ARC funding rules. 

Purpose and effect

The Discovery Projects Funding Rules for funding commencing in 2007 sets out the eligibility and accountability requirements and other relevant matters for research programs which may be funded under the Discovery Projects schemes administered by the Australian Research Council (ARC), for projects in which funding is to commence in 2007. The Discovery Projects scheme is a scheme funded under the ARC’s National Competitive Grants Program.  The scheme recognises the importance of fundamental research to the national innovation system, and supports research undertaken by individual researchers or research teams through the provision of funding for research costs, including salaries and on-costs for approved Fellowships, for research projects which are approved by the Minister for Education, Science and Training.

In accordance with subsection 59(2) of the Act, the Discovery Projects Funding Rules for funding commencing in 2007 contain:

(a) the eligibility criteria to be met in order for a proposal to be approved for financial assistance (including criteria relating to the kinds of organisation that may receive assistance and the kinds of research program in respect of which assistance may be provided);

(b) how to apply for financial assistance;

(c) the assessment process for deciding which proposals will be recommended for approval;

(d) the ways in which, and circumstances in which, a funding approval may be varied; and

(e) any additional accountability requirements that the ARC Board thinks desirable.

In accordance with subsection 59(2) of the Act, the Discovery Projects Funding Rules for funding commencing in 2007 take account of and are consistent with:

(a)  the funding cap for the year, or each of the years, to which the rules apply; and

(b)  the funding split determination for the year, or each of the years, to which the rules apply.

The Discovery Projects Funding Rules for funding commencing in 2007 were approved by the Minister for Education, Science and Training, the Hon Dr Brendan Nelson MP, on 6 December 2005.  No amendments have been made.

Documents incorporated by reference

The following documents are incorporated into the Funding Rules by reference:

• The Joint NHMRC/AVCC Statement and Guidelines on Research Practice (1997), the NHMRC’s National Statement on Ethical Conduct in Research Involving Humans, and the NHMRC’s other codes on animal research (see subsection 1.4.1.1 of the Funding Rules), available at (http://www.nhmrc.gov.au);
• National Principles of Intellectual Property Management for Publicly Funded Research (see subsection 11.4.4 of the rules), available at (http://www.arc.gov.au);
• Discovery Projects Instructions to Applicants for Funding Commencing in 2007 (see subsection 7.4.3.2), available at (http://www.arc.gov.au); and
• The draft Funding Agreement (see subsection 11.6.1), available at (http://www.arc.gov.au).

Consultation

On 21 June 2005, the ARC invited comments and feedback from all organisations eligible for ARC funding on funding rules for ARC schemes.  The ARC also met with a number of key higher education institutions known as the ‘Group of Eight’ in the period 11-15 July 2005.  Submissions were received by the ARC from a number of institutions in June/July 2005.  The ARC considered these submissions and, where appropriate, the funding rules approved by the Minister reflect this feedback. 

Retrospectivity

This determination has effect from 6 December 2005, the date the Minister for Education, Science and Training, the Hon Dr Brendan Nelson MP approved funding rules for proposals.  The retrospective commencement of this determination is beneficial to, and does not disadvantage, eligible recipients.

Likely impact and effect

These Funding Rules provide the key criteria and requirements for proposals for, and the allocation and administration of, funding under the Discovery Projects scheme for research projects where funding will commence in 2007.

Explanation of provisions: provision by provision description

Section 1 outlines the objectives of the National Competitive Grants Program and the Discovery Projects scheme, and fundamental principles and requirements for research projects to be funded under these Funding Rules, including:

-  the requirement for projects to conform with specified statements, guidelines and codes regarding ethics and research practice;

-  the non-duplication of costs which have been, or are likely to be, funded from other Commonwealth sources (including other ARC funding);

-  the requirement for parties associated with proposals and ARC-funded projects to disclose any actual or potential conflicts of interest to the ARC;

- the requirement for recipients of ARC funding and researchers and other parties involved in research projects funded by the ARC to prominently and appropriately acknowledge the funding support provided by the ARC when they publish material relating to the project.

Section 2 outlines the significant changes from the previous set of Funding Rules for the Discovery Projects scheme (for funding commencing in 2006).

Section 3 sets out the level and duration of funding which may be provided by the ARC for projects funded under these Funding Rules and the types of research supported, areas of investigation/work not supported, restrictions on budget items, and the number of proposals and funded projects allowed to be submitted and/or held by applicants.  

Section 4 outlines the organisations which may submit proposals for funding under these Funding Rules, as well as the host organisations where approved Fellows may undertake their research work.

Section 5 outlines the roles and eligibility requirements for researchers undertaking work on projects funded under these Funding Rules, including eligibility criteria for Chief Investigators, Partner Investigators and Fellowships, as well as tenure and salary support details for Fellowships and allows for preference to be given to certain categories of persons for particular Fellowship types.

The requirements for Chief Investigators include:

-  requirements regarding employment status and/or source of salary for Chief Investigators for the duration of their participation in the proposed project;

- a requirement for Chief Investigators to reside in Australia for the majority of the period of their participation in the proposed research project; and

- a requirement for Chief Investigators to have fulfilled to the satisfaction of the ARC all obligations associated with projects which have previously been funded by the ARC, including the provision of satisfactory progress and final reports.

The requirements for Partner Investigators include:

- they must not meet the eligibility criteria for a Chief Investigator;

-  they must demonstrate a significant contribution of cash, in-kind or other material resources from their organisation for the proposed project; and

-  they must take significant intellectual responsibility the proposed project, its conception, and any strategic decisions called for in its pursuit and the communication of results and have the capacity to make a serious commitment to the proposed project.

The requirements for Fellowship candidates include general requirements which apply to all types of Fellowship, as well as requirements specific to each particular Fellowship type. The general requirements for all Fellowship types include:

-  requirements for Fellows to reside in Australia for the majority of the period of their participation in the proposed research project;

- requirements for Fellows to have fulfilled to the satisfaction of the ARC all obligations associated with projects which have previously been funded by the ARC, including the provision of satisfactory progress and final reports;

- requirements for Fellows to have a PhD or equivalent research qualification or experience obtained within the time limits specified for the particular type of Fellowship, unless an exemption has been granted by the ARC.

If the requirements for a research qualification and/or timing of award of the qualification are not met, provision is made for the ARC to grant exemptions upon receipt of a request submitted in accordance with process described in Section 7.1.

If a Fellow will be undertaking research which forms a part of a Commonwealth-funded Research Centre’s funded research activities the financial assistance provided by the ARC is limited to support for salary plus on-costs in accordance with the rates specified in Appendix 3. Proposals requesting such Fellowships must contain a letter from the Centre Director confirming that the Fellow, if successful, will have her/his research costs funded for research on the proposed project.

The specific requirements for Australian Postdoctoral Fellowships (APDs) to commence in 2007 include:

-  a requirement for the Fellowship candidate to either have been awarded a PhD or equivalent on or after 1 March 2003 or expected to submit their PhD thesis before the end of 2006 (in which case the APD cannot be taken up until formal advice is received by the ARC that the PhD has been awarded by 30 June 2007); and

- the Fellowship candidate must not have not been previously awarded an ARC Fellowship.

The requirements for Australian Research Fellowships (ARFs) and Queen Elizabeth II Fellowships (QEIIs) to commence in 2007 include:

-  at the closing time for the submission of proposals, unless an eligibility exemption has been granted, an ARF/QEII candidate must:

a.  have not more than 8 years’ professional experience since the award of her/his PhD if he/she has not been previously awarded an ARF or QEII; and

b. have not more than 13 years’ professional experience since the award of her/his PhD if he/she has been previously awarded an ARF or QEII;

-  if the candidate is seeking a subsequent ARF/QEII, he/she must have completed the previous ARF/QEII or be in the fourth or fifth year of an existing ARF/QEII. In this case the Fellowship candidate and the relevant Administering Organisation must have agreed that if the proposal is successful the salary-related Fellowship funding (including on-costs) associated with the existing ARF/QEII on or after 1 January 2007 will be relinquished; and

- satisfaction of the requirements of subsection 3.6.1.2 of the Funding Rules in relation to limits regarding number of projects in which they may be involved, having taken into account any proposed relinquished Fellowships for those seeking a subsequent ARF/QEII.

If a proposal for a subsequent ARF/QEII is successful, provision is made for the continuation after 31 December 2006 of any unused funding associated with the previous ARF/QEII to be the subject of negotiation with the ARC, with a requirement for a case to be made, to the satisfaction of the ARC, if funding is to continue for any research costs for pre-existing projects on which the Fellow is involved.

The section restricts researchers who are APD, APDI or APDC Fellows at the time of submission of the proposal from being nominated for an ARF or QEII unless they are in the final year of their existing Fellowship.

The level of appointment which may be recommended in the ARF/QEII category is to be at the ARC’s discretion.

The requirements for Australian Professorial Fellowships (APFS) to commence in 2007 include:

- from the closing time for the submission of Proposals, unless an eligibility exemption has been granted, an APF candidate must have a PhD or equivalent qualification or experience; and

- if the candidate is seeking a subsequent APF, they must have completed the previous APF or be in the fourth or fifth year of an existing APF. In this case the Fellowship candidate and the relevant Administering Organisation must have agreed that if the proposal is successful the salary-related Fellowship funding (including on-costs) associated with the existing APF on or after 1 January 2007 will be relinquished; and

- the candidate must not hold a continuing research-only position at a professorial level or equivalent at any of the organisations listed in Appendix 2, Item 1; and

- satisfaction of the requirements of subsection 3.6.1.2 of the Funding Rules in relation to limits regarding number of projects in which they may be involved, having taken into account any proposed relinquished Fellowships for those seeking a subsequent APF.

If a proposal for a subsequent APF is successful, provision is made for the continuation after 31 December 2006 of any unused funding associated with the previous APF to be the subject of negotiation with the ARC, with a requirement for a case to be made, to the satisfaction of the ARC, if funding is to continue for any research costs for pre-existing projects on which the Fellow is involved

The section restricts researchers who are APD, APDI, APDC, ARF or QEII Fellows at the time of submission of the proposal from being nominated for an APF unless they are in the final year of their existing Fellowship.

Section 5 also stipulates details regarding the tenure and salary support entitlements for each of the different Fellowship types as follows:

-  APDs are awarded on a full-time basis only, with salary support being either

a.  the provision of 100 per cent salary and on-costs from the ARC as specified in Appendix 3 for a standard tenure of 3 years; or

b. 75 per cent salary and pro rata on-costs from the ARC as specified in Appendix 3 and 25 per cent from the host organisation over 4 years. Under option a Fellow may spend up to 25 per cent of her/his time on activities other than the proposed project.

-  ARFs and QEIIs are awarded on a full-time basis only with the Fellows being expected to work full-time on the proposed research and research-related activities (which may include supervision of postgraduate students). The standard tenure for ARFs/QEIIs is 5 years with salary support for ARFs/QEIIs options being either

a.  the provision of 100 per cent salary and on-costs from the ARC as specified in Appendix 3, providing the Fellowship candidate has not previously held an ARF/QEII and the proposed Fellow must resign any existing continuing position before the Funding Agreement is executed; or

b. 50 per cent salary and pro rata on-costs from the ARC as specified in Appendix 3, with the Fellow’s host organisation at least matching these funds. The Fellow must work on their research on a full-time basis;

-  APFs are awarded on a full-time basis only with the Fellows being expected to work full-time on the proposed research and research-related activities (which may include supervision of postgraduate students). The standard tenure for APFs is 5 years with salary support being either:

a. the provision of 100 per cent salary and on-costs from the ARC as specified in Appendix 3, provided the Fellowship candidate has not previously held an APF or equivalent Fellowship under an earlier ARC scheme, and does not, from the closing time for proposals, hold a continuing position at a professorial or equivalent level at any of the organisations listed in Appendix 2, Item 1; or

b. 50 per cent salary plus pro rata on-costs from the ARC as specified in Appendix 3, with the Fellow’s host organisation at least matching these funds.

The section allows for preference to be given for the award of ARFs to Australian citizens and permanent residents, with non-resident or non-Australian citizen researchers needing to either demonstrate a higher level of performance than other ARF candidates or be able to offer special expertise, extensive skills or exceptionally high performance levels not available locally and of benefit to Australian research. For QEII candidates, citizenship is not a consideration in the assessment of the award of the Fellowship. Preference may also be given to the award of ARFs/QEIIs to candidates who have not previously been awarded an ARF/QEII. In the case of awarded of APFs preference is allowed for the award of APFs to Australian citizens and permanent residents, with non-resident or non-Australian citizen researchers needing to either demonstrate a higher level of performance than other APF candidates or be able to offer special expertise, extensive skills or exceptionally high performance levels not available locally and of benefit to Australian research. Preference may also be given to APF candidates who have not previously been awarded an APF.

Section 6 stipulates that the ARC will not provide funding for research which is already funded by the Commonwealth and provides the ARC with the right to determine if a Proposal duplicates or is likely to duplicate research already being funded by the Commonwealth in order to decide whether or not to recommend the proposal for approval. It also outlines requirements for applicants to provide details and cross-reference any funding requests, including any Fellowship requests, which have been or are being submitted to another ARC scheme or Commonwealth funding body. Provision is made for the ARC to liaise with other funding agencies to discuss any overlaps between proposed or existing projects in order to avoid duplication of Commonwealth funding of research. The section restricts Fellowship candidates from accepting more than one Fellowship if more than one Fellowship request for them is approved for funding.

Specific reference is made in this section to non-duplication of funding for Commonwealth-funded research Centres and a requirement is imposed for the submission of a letter from the Centre Director if a proposal nominates a CI or Fellowship candidate who is substantially associated with the Commonwealth-funded Research Centre. The letter must describe the relationship between the proposed research and the work of the Centre and include a particular statement as specified in Section 6. The section indicates some of the types of information the ARC may take into account when assessing overlap where Commonwealth-funded research Centres are concerned.

The section precludes the ARC from funding clinical medical and dental research and training and makes provision for potential applicants to obtain an eligibility ruling from the ARC about whether or not a proposal would be likely to breach this prohibition.

Section 7 outlines the application process, including the process for requesting eligibility rulings and details the sort of information which must be provided in proposals. This includes format requirements for proposals and signature and certification requirements, as well as other submission requirements such as the method of submission and number of copies and closing time for receipt of proposals by the ARC.

The section also ensures that parties involved in proposals consent to the proposal being assessed under the ARC’s peer assessment process and have agreed to the release of the proposal to third parties for assessment purposes.

Section 8 sets out  the selection and approval process, including specification of the selection criteria, the assessment and selection procedure, the exclusion of proposals which either fail to satisfy the eligibility criteria and/or other accountability requirements  and the means by which any offer of funding will be made.

It also permits the ARC to identify funds within Discovery Projects scheme specifically to fund Early Career Researcher-only proposals which are of a sufficiently high quality. Provision is made for the assessment of proposals by the ARC’s College of Experts and external assessors, though the ARC may make recommendations based on any number of assessments or solely on its own assessment.

Applicants are allowed to name any person(s) they do not wish to assess a proposal providing they provide detailed written justification, but the ARC is not required to give effect to such requests. Provision is also made for a rejoinder process to operate whereby assessor’s written comment, if obtained, may be provided to enable the applicant and researchers involved in the proposals to reply to comments or issues raised by assessors.

The ARC is required to submit recommendations to the Minister for Education, Science and training in accordance with the Act for consideration. , The Minister determines which proposals, if any, are approved for funding and the amount and timing of financial assistance to be paid to successful applicants for approved proposals.

Section 9 deals with the appeals process and provides for appeals against administrative process issues only.

Section 10 deals with the administration of funding, including the requirements for successful applicants to enter into of a Funding Agreement with the ARC and the process and means by which the Funding Agreement or Funding Approval may be varied and requirements for reporting on funded projects.

Section 11 refers to other relevant matters, including other applicable law, confidentiality obligations relating to the handling and treatment of proposals and information contained in proposals, as well as the ARC’s ability to release and publicise certain information regarding proposals. It also sets out details regarding arrangements for dealing with intellectual property related to proposals and ARC-funded projects and requirements for Administering Organisations to ensure they have in place all necessary consents to allow the ARC to deal with any information in a proposal which belongs to a third party.

Section 11 also highlights that it is a serious offence for a person to provide false or misleading information to the Commonwealth and enables the ARC to decide to not recommend a proposal for approval if the ARC considers the proposal is incomplete, inaccurate or contains false or misleading information. In serious cases the ARC may refer the matter for investigation with a view to prosecution under Commonwealth criminal law.

The section also requires Administering Organisations to be subject to the insurance, indemnity and liability provisions specified in the Funding Agreement.

Appendix 1 details the Commonwealth Government’s National Research Priorities and associated priority goals.

Appendix 2 lists the organisations which are eligible to submit proposals for funding under these Funding Rules.

Appendix 3 details notional Fellowship salary rates, limits applying to relocation allowances and notional teaching relief contributions where approved.