national environmental science programme guidelines 2014 · 4 /national environmental science...

To be eligible for consideration, applications must be submitted by 5pm [EDST] on: Wednesday 5 November 2014

For further information on this programme contact: Science Partnerships Section Department of the Environment

Phone: 02 6274 1226 Email: [email protected]

National Environmental Science Programme

Guidelines 2014

NationalEnvironmentalScienceProgramme

2 / National Environmental Science Programme Guidelines 2014

© Commonwealth of Australia, 2014.

National Environmental Science Programme Guidelines 2014 is licensed by the Commonwealth of Australia for use under a Creative Commons By Attribution 3.0 Australia licence with the exception of the Coat of Arms of the Commonwealth of Australia, the logo of the agency responsible for publishing the report, content supplied by third parties, and any images depicting people. For licence conditions see: http://creativecommons.org/licenses/by/3.0/au/

This report should be attributed as ‘National Environmental Science Programme Guidelines 2014, Commonwealth of Australia 2014’.

The Commonwealth of Australia has made all reasonable efforts to identify content supplied by third parties using the following format ‘© Copyright, [name of third party] ’.

Image credits Front cover: western swamp tortoise being measured (Dragi Markovic), satellite earth image (Bureau of Meteorology and Japan Meteorological Agency), aerial of Great Barrier Reef (Paradise Ink), weedy sea dragon (Erik Schlogl), birds-nest ferns in the Wet Tropics (Mike Trenerry), O’Connor wetlands (Geoff Comfort).

Back cover: Magpie geese at Kakadu (Allan Fox).

3

About the National Environmental Science Programme 4

Purpose of the Guidelines 4Background 4Objectives and outcomes 5

Programme delivery 6

Hubs 6Emerging Priorities 6What is a hub? 6How will hubs operate? 7Hub governance 7Hub steering committee 7Knowledge brokering and communication 8Data requirements and accessibility 8Roles and responsibilities 9

Who and what will the NESP fund? 10

Who can apply? 10Multiple applications 10What types of activities are eligible for NESP funding? 10What activities are NOT eligible for NESP funding? 11What activities have NESP funding limitations? 11Funding availability 11Applicant/third party contributions 11What expenses are ineligible as applicant/third party contributions? 12What expenses have limited values as applicant/third party contributions? 12Risk assessment 12Conflict of interest 12

How to apply for funding 13

The NESP application form and supporting documents 13What to include 13

Assessing applications and selection of hubs for funding 14

Assessment process 14Eligibility of the application 14Merit of the proposed activities 15

Notification of assessment outcomes 17

Probity 17

Intellectual property 18

Incomplete or misleading information 18

Conditions of funding 19

The Funding Agreement 19Commencement date 19Payment of funding 19Monitoring, evaluation and reporting 20ABN 20Ethics and research practices 20Indigenous engagement 20Environment Protection and Biodiversity Conservation Act 1999 (EPBC Act) 21Other laws and approvals 21Insurance 21Promotion and publicity 21

Disclosure of information 22

Complaints and disputes 23

Table of Contents


The scope of the National Environmental Science Programme (NESP) is to deliver applied environmental science, particularly focused on biodiversity and climate systems research.

The NESP is an ongoing programme that funds environmental research to inform Australian decision makers.

Purpose of the GuidelinesThe Guidelines outline the principles and obligations for hubs, the Minister for the Environment, the Department and other stakeholders to assist the programme to achieve its objectives.

The Guidelines also provide a mechanism for research organisations to apply for NESP funding for research hubs and emerging priorities research projects.

To apply for funding under NESP, potential applicants should consult these Guidelines and all relevant documents and information sources identified within these Guidelines and provided at www.environment.gov.au/nesp. These include but are not limited to the NESP: Research Scope; Funding Agreement template; application form; and Probity Guidelines.

BackgroundThe Australian Government Department of the Environment manages the NESP. The NESP will be delivered through multi-disciplinary research hubs or consortia, hosted by Australian research institutions. We are seeking consortia that can demonstrate capacity to manage and lead a substantial research program including multiple large-scale research projects.

The NESP is an amalgamation of the National Environmental Research Program (NERP) and the Australian Climate Change Science Programme (ACCSP), and represents a significant, long-term commitment to environmental research in Australia. Existing research activity in the above programmes will continue until contracts end on 30 June 2015 (NERP) and 30 June 2016 (ACCSP).

The NESP is an ongoing programme with funding of $25.5 million per year. Initial investments will be for up to six years from January 2015.

About the National Environmental Science Programme

5

Objectives and outcomesThe key objective of the NESP is to improve our understanding of Australia’s environment through collaborative research that delivers accessible results and informs decisions.

The NESP seeks to achieve its objective by supporting research that:

• has a strong public-good focus

• is end-user focused and addresses the needs of the Australian Government and other stakeholders in developing evidence-based policy and improving management of the Australian environment

• is innovative and internationally recognised

• enhances Australia’s environmental research capacity

• is collaborative and builds critical mass by drawing on multiple disciplines, research institutions and organisations to address challenging research questions

• produces meaningful results accessible to government, industry and the community

• includes synthesis and analysis of existing knowledge

• builds relationships between scientists and policy-makers to encourage collaborative problem solving on environmental issues.

NESP end-users will be a broad range of stakeholders whose decisions may impact on the environment, and include the Australian Government, state governments, industry, business and community groups.

The intended outcomes of the NESP are:

• enhanced understanding of, and capacity to manage and conserve Australia’s environment

• improved climate and weather information for Australia through a greater understanding of the drivers of Australia’s climate

• timely research that is used by policy and decision-makers to answer questions and provide solutions to problems

• research outcomes that are communicated clearly to end-users and the general public, and stored in a manner that is discoverable and accessible.

The NESP contributes to the Department’s activities to provide a variety of environmental and economic benefits to Australia across the Department’s outcomes identified in the Portfolio Budget Statements (www.environment.gov.au/about-us/accountability-reporting/budget-statements).

The NESP will generate research and scientific evidence that will support the Government in meeting its obligations under international conventions, such as the Convention on Biological Diversity, the United Nations Framework Convention on Climate Change and the Ramsar Convention on Wetlands.

http://www.environment.gov.au/about-us/accountability-reporting/budget-statements

http://www.environment.gov.au/about-us/accountability-reporting/budget-statements


HubsThe NESP is a competitive merit-based grants programme that will be delivered primarily through six thematic hubs:

• Clean Air and Urban Landscapes Hub

• Earth Systems Hub

• Marine Biodiversity Hub

• Northern Australia Environmental Resources Hub

• Threatened Species Recovery Hub

• Tropical Water Quality Hub.

Applicants must specify which hub they are applying to deliver.

Indicative funding details for hubs and emerging priorities and a description of the research scope of each hub are on the Department’s website at www.environment.gov.au/nesp.

Emerging PrioritiesIn addition to the six hubs, a small component of funding will be available each year to address emerging priorities.

The Department will accept small research proposals to be considered for emerging priorities funding on an annual basis, for research commencing in the 2015/16 financial year. Annual submission details will be available on the Department’s website at www.environment.gov.au/nesp.

The Minister will work with the Department to determine research projects (based on submitted proposals and other projects identified by the Minister or the Department) that will be addressed through emerging priorities funding.

NESP hubs, and other organisations (including community groups) are eligible for this funding either through grants or procurement. Successful funding recipients would be expected to contribute appropriate co-investment to the project.

What is a hub?The hub model encourages a collaborative approach to developing and delivering research objectives. Each hub should have capacity to draw upon the resources of researchers and environmental managers who are leaders in their field.

A NESP hub will be:

• a consortium of institutions/organisations

• administered by a host institution that is an Australian research institution

• led by a hub leader who is an outstanding researcher of international repute working for the host institution

• collaborative – within the hub, with the Department, with other NESP hubs and with the wider research community

• multi-disciplinary (environmental science, economics and social science), with researchers working in teams within and across hubs

• focused on developing solutions to clearly defined problems

• communicating research outcomes and solutions that are used by government, industry and the community in a timely manner

• flexible and adaptable to respond to the Department’s guidance on research priorities.

Programme delivery

http://www.environment.gov.au/nesp


7

How will hubs operate?Applicants will be selected for their science leadership capability and their capacity to deliver a high quality programme of research in the theme of the hub.

Hubs will be expected to deliver a programme of research incorporating short, medium and long-term projects, with the flexibility to reprioritise funding for new projects throughout the life of the hub to respond to the needs of the Minister, the Department and other end-users.

Funding will be available to hubs from January 2015. Initial funding will be for a three-month planning phase (to March 2015). This phase will include:

• working closely with the Department to develop a Research Plan that describes the programme of research that the hub will deliver

• negotiating sub-contracts with research partners

• implementing governance and communication protocols for the hub including:

– establishment of a Steering Committee

– development of strategies for hub communications and knowledge brokering, and Indigenous engagement.

– development of a monitoring and evaluation plan

• establishing cross-hub collaborations including developing joint projects and research partners.

Hubs will work closely with the Department in developing their Research Plans. Hubs should also seek input from other government departments, levels of government, environment non-government organisations, Indigenous groups and industry.

Hub governanceHubs should develop a governance structure that includes a good balance of skills, experience and independence, clear roles and terms of reference, ethical and responsible decision-making, and accountability.

The host institution and the hub leader will be responsible for the successful delivery of the hub. The host institution will enter into the Funding Agreement with the Department and will be responsible for relevant administration, including the receipt and expenditure of funds, performance and financial reporting. The host institution will subcontract the hub’s research partner institutions and organisations. Each hub will also nominate a hub leader who is a principal researcher employed by the host institution to provide science leadership for the hub.

Management costs should be kept to the minimum required to provide an effective and accountable governance model.

Hub steering committeeAll hubs will have a Steering Committee selected by the host institution and agreed by the Department. The Steering Committee must include an independent chair, lead researchers and key end-users within the Department or relevant portfolio agencies. Where relevant the Steering Committee may include other key stakeholders and end-users.

The Steering Committee’s responsibilities will include:

• providing strategic direction and oversight for the activities and research conducted by the hub

• review and endorsement of Research Plans, progress and financial reports, prior to approval by the Department

• ensuring alignment of the hub’s research with the policy needs and interests of the Department, portfolio agencies and other research users.

The Funding Agreement will outline standard Terms of Reference for each hub’s Steering Committee.


Knowledge brokering and communicationKnowledge brokering1 and communication activities are essential to the success of the NESP.

Each hub will be required to develop a knowledge brokering and communication strategy. The strategy should illustrate how the hub will contribute to building relationships and knowledge-sharing networks between researchers, government, industry and communities. The strategy should also detail how the hub will facilitate adoption of research outcomes by environmental decision makers across government, industry and communities.

The strategy must address:

• end-user engagement and understanding their needs

• synthesis and analysis products targeted at end-user needs

• facilitating co-learning across research hubs and key end users

• a plan to ensure the ongoing availability of research outputs beyond the life of the hub for end-users

• bringing researchers, policy makers and environmental managers together to facilitate evidence-based decision-making

• promoting the hub’s research outputs and the NESP to end-users and the community.

Hubs must set aside an appropriate portion of their budgets to support development and implementation of their knowledge brokering and communication strategy. Funding must be allocated to the following activities:

• the appointment of at least one specialist communication officer and at least one specialist knowledge broker

• the production of end-user friendly products that make research and data easily accessible and adoptable

• events that bring environmental end-users, particularly the Government, and researchers together on a regular basis (including annual research forums, seminars and research/policy workshops)

• cross-NESP meetings with hub leaders

• other activities agreed in the knowledge brokering and communication strategy.

Data requirements and accessibilityThe Department expects that all outputs from the NESP will be made publicly and freely accessible and available on the internet and that researchers deposit research outputs in an appropriate subject and/or institutional repository.

The Department expects all NESP research outputs to be made publicly available under a creative commons licence, specifically the latest version of the Creative Commons Attribution licence. A commitment to meet this expectation will be included in the Funding Agreement.

Guidance on the Department’s expectations about data accessibility will be made available on the NESP website at www.environment.gov.au/nesp.

1. Knowledge brokering focuses on connecting people interested in an issue. It helps build relationships and networks for sharing existing research and ideas and for stimulating new work. Knowledge brokers provide links between different entities or individuals that otherwise would not have any relationship. It is a dynamic activity and is not simply focused on moving information from a source to a recipient (Land & Water Australia, 2005. Knowledge and Adoption Strategy—Managing information and knowledge for adoption outcomes, Canberra, ACT).


9

Roles and responsibilitiesThe roles and responsibilities of each party involved in the NESP are as follows:

The Minister for the Environment

The Minister has the sole discretion to approve funding under the NESP. Following the assessment process, the Department will provide advice to the Minister on the ranking and merits of each application for the Minister’s final approval of funding.

The Minister will be responsible for approving the hub’s initial Research Plans. The Department will approve updates to the Research Plans in consultation with the Minister.

The Minister will be responsible for working with the Department to identify emerging issues and approving research to address these with emerging priorities funding.

The Department of the Environment

The Department will be responsible for assessing programme applications to ensure that applications represent efficient, effective, economical and ethical use of Commonwealth resources, as required by Commonwealth legislation, and whether any specific requirements will need to be imposed as a condition of funding. The Department will use a panel of Departmental officers to assess applications. The chair of the panel will be an officer of the Department at the Senior Executive Service level. The panel will have the potential to draw on external advice where necessary.

The Department will be responsible for working with the Minister in determining Government research priorities for NESP hubs and negotiating Research Plans with successful hubs. The Department will ensure that the research described in the hub’s Research Plans meets the Department’s needs and represents good value for the Government’s investment. This will occur initially during the early stages of the programme and will continue with research prioritisation, negotiation and approval of the hub’s annual updates of the Research Plans.

The Department’s responsibilities also include:

• administering the NESP

• providing secretariat support to the assessment panel

• providing comment to the panel on applications with regard to the Government’s policy needs

• advising the Minister on the ranking and merits of proposed grants, based on the advice of the assessment panel

• having a representative on the Steering Committee of each hub

• ensuring a fair selection process, in line with these Guidelines, the APS code of conduct and the Public Governance, Performance and Accountability Act 2013

• notifying the Chair of the assessment panel of any actual or perceived conflicts of interest

• working with the Minister to identify emerging issues and develop projects to be funded from emerging priorities funding

• reporting progress of the programme to the Minister.

Applicants

It is the applicant’s responsibility to:

• be fully and properly informed of the requirements of the NESP, these Guidelines, and the application process

• ensure that your application documents are complete and accurate

• identify any information contained within your application which should be treated as confidential and provide justification

• inform the Department of any changes to your circumstances that may affect your application or eligibility under the NESP.


Who can apply?Applications are being sought from collaborative, multi-disciplinary (covering where relevant environmental, social and economic research disciplines) and multi-institution/organisation consortiums or groups.

• The consortium must nominate a host institution (who will submit the application on behalf of the consortium) and a principal researcher employed by the host institution to act as the hub leader.

• The host institution must be an Australian research institution. This can be any existing public or private research institution, including Cooperative Research Centres.

• The host institution must:

– be capable of administering research funds

– have a clearly established track record of managing research

– be accountable for the performance and quality of the research.

• All partner organisations must have consent of an authorised officer or board.

To be eligible for grant funding you must be a legal entity, such as:

9 legally incorporated organisations

9 companies

9 trusts

9 local or state government authorities or

9 corporate Commonwealth entities and Commonwealth companies.

You may not be eligible to apply if you have breached the terms of a previous Australian Government programme or grant, for example an overdue final report and/or acquittal.

Multiple applicationsApplicants can submit more than one application. Applicants, institutions and organisations may also be consortium members on more than one application. The capacity of the applicant, institution or organisation to deliver or participate in each hub they have applied for will be taken into consideration during the assessment process.

What types of activities are eligible for NESP funding?The NESP is intended to fund public-good, robust, peer-reviewed, collaborative and end-user driven research.

Each application must address only one of the six thematic hubs, listed in the section ‘Hubs’.

NESP funding is to be directed primarily to the conduct, collaboration and communication of research. NESP funds are intended to be primarily spent in Australia. Funding may be used for:

• salaries for researchers and support staff, fellowships and student stipends, and direct salary on-costs

• direct support costs of research

• indirect support costs of research

• capital items, such as equipment necessary for conducting research.

Programme funds must only be spent for the purposes of undertaking the Activities of the hub as specified in the Funding Agreement.

Who and what will the NESP fund?

11

What activities are NOT eligible for NESP funding?Funding will not be approved for:

8 individual researchers for small scale, individual projects (except where these are approved out of the emerging priorities funding)

8 work that duplicates other research activities

8 any activities that have already incurred expenditure (retrospective funding)

8 on-ground research conducted outside Australia

8 purchasing, or paying for the construction or renovation of facilities such as buildings, laboratories etc.

8 transfer or buying of property

8 purchase of vehicles.

What activities have NESP funding limitations?Programme funds must not be used to pay for staff or other resources committed as in-kind contributions under the Funding Agreement.

NESP funds are not intended to be used for international travel unless the purpose of the travel will deliver high levels of benefit for the programme and the hub’s research. The international travel must provide research outcomes that are of direct benefit to the research projects conducted by the hub.

Funding availability NESP funding is approximately $25.5 million per calendar year. The initial funding period for NESP hubs will be up to six years, commencing January 2015. The amount of funding varies during the first two years. Programme funding will be distributed across six hubs, as well as emerging priorities funding. Funding levels for the programme and indicative funding levels for each hub are available at www.environment.gov.au/nesp.

NESP hubs and emerging priorities may be extended for an additional two years if the Government considers it to be in the programme’s interests at the time. Eligibility for, and approval of extension funding is at the Minister’s discretion.

Applicant/third party contributionsAll hubs are expected to commit and deliver to the programme a level of co-investment (cash and in-kind contributions) equivalent to or greater than the amount of NESP funding they receive. All partner organisations in a hub are expected to contribute resources to the hub.

Access to large capital items provided as non-staff in-kind contributions must be valued proportionally to the usage by the NESP and based on the running costs and depreciation of the capital item. Cash and in-kind resources from participants are treated equally for determining the ‘matching’ contributions against the NESP grant.

The Minister may reduce or terminate NESP funding for a hub where the participants do not deliver or seek to reduce their contributions.



What expenses are ineligible as applicant/third party contributions?Expenses for work you have already undertaken or plan to undertake after the timeframe of the Funding Agreement are not eligible to be counted as applicant/third party contributions to the programme.

What expenses have limited values as applicant/third party contributions?When assessing the relative merit of applications the following applicant/third party contributions to the programme will be considered as having a lower value than contributions which are directly attributable to or relate directly to the activities of the hub:

? salary expenses where these expenses are not clearly attributable to the activities of the hub and are related to the normal ongoing operations of an organisation

? administrative support and overheads where these expenses are not clearly demonstrated to be additional to the normal day to day running costs of the organisation and are not shown to relate directly to the activities of the hub, i.e. offsetting normal administrative overheads is not eligible

? purchase and/or hire of plant and equipment and/or building of infrastructure where it is not proven that it is considered essential to the achievement of specific hub outcomes.

Risk assessment Applicants are required to conduct a self assessment of the potential risks in conducting the activities in their hubs. Please provide this in the Governance and Budget Section of the application form.

Conflict of interestApplicants are required to declare as part of their application, existing or perceived conflicts of interest that would, or may impact on, or prevent the applicant proceeding with the programme in accordance with the Funding Agreement it may enter into with the Government.

Where an applicant subsequently identifies that an actual, apparent, or potential conflict of interest exists or might arise in relation to their application for funding, the applicant must inform the Department in writing immediately.

A conflict of interest may exist, for example, if the applicant or any of its personnel:

• has a relationship (whether professional, commercial or personal) with a party who is able to influence the application assessment process, such as a Departmental staff member

• has a relationship with, or interest in, an organisation, which is likely to interfere with or restrict the applicant in carrying out the proposed activities fairly and independently

• has a relationship with, or interest in, an organisation from which they will receive personal gain as a result of the granting of funding under the programme.

13

The NESP application form and supporting documentsAll requests for funding must be received on the NESP application form.

The Department has developed an on-line application system for the NESP. To access this system go to: www.environment.gov.au/nesp and follow the instructions.

If you cannot apply using the on-line system, please contact the Science Partnerships Section at [email protected] or by phoning (02) 6274 1226 to discuss potential alternative arrangements for applying.

To be eligible for consideration, applications must be submitted by 5pm [EDST] on Wednesday 5 November 2014. Late applications will be considered ineligible and will not be assessed.

For further information, please contact the Science Partnerships Section by phone on (02) 6274 1226 or by email at [email protected].

What to includeAs there are limited funds available through the programme, all applications will be assessed and ranked based on information provided in the application form. Please read these Guidelines carefully and contact us if you have any questions.

The NESP application form allows an applicant sufficient opportunity to describe how the hub will form and operate. The applicant is expected to provide all the necessary information for assessment without the need for further written or oral explanation, or reference to additional documentation.

In completing the application, applicants should address the merit criteria outlined in these Guidelines and specify which of the six thematic hubs they are applying to deliver. All details in the application must be current at the time of submission.

The hub leader and an authorised representative of the host institution must certify the application before submitting it. In submitting a signed final application, the host institution and all partners nominated are consenting to the application being assessed under the NESP’s assessment process.

Applicants must indicate in the application form that they have obtained letters of support from all the partner organisations named in the application. The Department may request copies of these letters. The letters of support should outline the organisation’s proposed input to the hub, and specify their cash and in-kind contribution percentage relative to the NESP funding they will receive. The letters must be signed by a person authorised to make such commitments on behalf of the organisation.

To assist with the assessment of an application, further information may be requested by the Department. Applicants will be notified by email, post or phone call where this is required. Applicants should be available during the selection phase for an interview if requested.

How to apply for funding


mailto:[email protected]



Assessment processThe Government is committed to ensuring that the process for funding hubs under the programme is fair and in accordance with the current Commonwealth Grants Rules and Guidelines.

Applications will be assessed by the Department against eligibility criteria that must be met in order for an application to be considered further. Each eligible application will then be assessed on its merits and suitability for the programme, as well as being compared to other applications submitted.

An assessment panel from the Department will assess applications. Advice from the panel will inform Departmental recommendations made to the Minister, for final decision. The Department may engage independent scientific experts to assist the panel with the assessment of applications if required.

The Minister will make the final decision on the selection of successful applicants. Applications may be approved either in full or in part, and approvals may include specific conditions.

In selecting applications for funding, the Minister may select strategic or exceptional projects from outside the competitive hub funding round, provided such projects meet the objectives of the programme. Any such decisions will be at the sole discretion of the Minister.

Eligibility of the applicationApplications will initially be assessed against a set of eligibility criteria drawn from the considerations outlined in the section ‘Who and what will the NESP Fund?’ All eligibility criteria must be met in order for the application to be eligible and progress to the merit assessment phase.

Eligibility criteria:

9 the application must be received by the Department or postmarked by 5pm [EDST] Wednesday 5 November 2014 as outlined in the section ‘How to Apply for Funding’

9 the application must be submitted on the NESP application form unless otherwise agreed with the Department

9 the applicant must be an eligible legal entity as outlined in the ‘Who and What will the NESP fund?’ section

9 the applicant must be representing a multi-institutional consortium

9 the applicant must be an Australian research institution – i.e. any existing public or private research institution, including Cooperative Research Centres

9 the applicant must have identified a principal researcher employed by the host institution to act as the hub leader

9 all partner organisations must have consent of an authorised officer or board

9 the applicant must specify which of the six thematic hubs they are applying to deliver

9 the applicant must be seeking funding only for eligible activities.

Assessing applications and selection of hubs for funding

15

Merit of the proposed activitiesOnce an application is assessed as eligible, it is progressed to the merit assessment phase. In this competitive assessment phase, the assessment panel ranks applications against each other, producing a list running from high priority to low priority or not recommended for funding.

Merit assessment/ranking criteria:

Applications will be competitively ranked and will need to score highly on each of the following merit criteria:

Merit Criteria 1: (35%)

National scientific and research leadership capability in the hub theme

This will be assessed for the consortium as a whole, rather than for a single researcher or institution. Factors that will be considered include:

• Key researchers’ demonstrated scientific expertise and history of scientific leadership in the research area of the nominated hub

– breadth of expertise across the range of disciplines required to address the targeted research priorities of the hub, including social and economic research capacity where appropriate.

– individual researchers’ depth of scientific experience, as well as number of researchers with adequate depth of experience to be able to provide scientific leadership in the hub theme.

• Demonstrated history of delivering effective and high-impact research, including practical research applications. Evidence could include demonstrating the impact of research outputs such as publications and presentations, reports and decision-support tools developed for government, industry or community end-users. Particular value will be placed on products that are tailored to end-users and directly inform decision-making and/or on-ground management.

• Links to existing research projects, groups, organisations and fora relevant to the research area.

• Degree to which the proposed hub structure will build Australia’s research capacity through development of PhD and post-doctoral researchers.


Capacity to plan and lead a substantial cross-disciplinary research programme

Factors that will be considered include:

• Demonstrated ability to plan or develop a substantial programme of research, addressing a research theme with multiple individual and interacting projects.

• Demonstrated flexibility in delivering a research programme including responding to new priorities as they emerge.

• Demonstrated capacity to collaborate with other researchers, including across institutions and across disciplines, to achieve the best possible research outcomes. This may include adding new research partners through the life of the programme as necessary.

• Proposed governance structure that provides a clear mechanism to reach agreement across the consortium regarding research projects and funding distribution, and to work with the Department in the development of research plans.

• Demonstrated capacity to provide the scientific support, guidance and leadership required to deliver high-quality research across a large multi-disciplinary research programme.

• Demonstrated ability to provide timely answers to questions and solutions to problems.

• Demonstrated Indigenous consultation and engagement, and consideration of Indigenous engagement within the activities of the hub including ethics, employment, consultation and engagement, knowledge sharing and cultural awareness.



Risk management, managerial and financial competency


• Demonstrated capacity of the applicant to administer a large multi-institutional research programme, including contract and project management.

• Demonstrated experience and defined processes for delivering quality outcomes on time and within budget.

• Details of the financial management systems and policies that are in place to financially acquit expenditure of grant monies and deliver required project reporting.

• Identification of key risks (i.e. what could delay or prevent the hub from delivering outcomes in the agreed timeframe) and adequacy of proposed treatments to minimise or manage key risks. Applicants should address the key risks in the application form under the Capacity and Governance risk assessment.


Communication, knowledge brokering, synthesis and analysis


• Demonstrated ability to coordinate communication and reporting of research outcomes to government, decision-makers and other end-users.

• Demonstrated ability to analyse and synthesise research to produce outputs that are useful to and are adopted by end-users.

• Effective knowledge brokering in the hub’s research area, such as:

– demonstrated history of building knowledge-sharing networks between researchers, government, industry and/or communities

– proposed activities to facilitate adoption of research outcomes by environmental decision-makers across multiple levels of government as well as industry and communities.

17

Notification of assessment outcomes

We will acknowledge receipt of your application in writing (via email or mail) as soon as possible after the closing date.

After the Minister has approved applications for funding, all applicants will be informed in writing (via email or mail) whether or not their application has been successful.

Unsuccessful applicants will be provided with constructive feedback in writing that identifies:

• at what stage the application for funding did not progress further (for example, if the application was assessed as ineligible such that it did not proceed to the merit assessment stage)

• if the application progressed to the merit assessment stage, which criteria the application did well against and which criteria it did poorly against

• any suggestions in relation to applying for future funding opportunities.

A list of successful applicants will be published on the Department’s website once a formal announcement is made.

Probity

The Government is committed to ensuring the process for providing funding under programmes is fair and in accordance with published guidelines.

Full probity guidelines for the NESP are on the Department’s website at www.environment.gov.au/nesp.

Fairness and impartiality: applicants will be treated equally and have the same opportunity to access information and advice.

Consistency and transparency of process: applications will be evaluated in a systematic manner against explicit predetermined assessment criteria.

Security and confidentiality: the processes adopted for receiving and managing applicant information will ensure the security and confidentiality of intellectual property and proprietary information.

Identification and resolution of potential conflicts of interest: staff involved in the application and assessment process are required to declare and address any actual or perceived conflict of interest prior to providing any advice or assessment.



Intellectual property

The NESP does not claim ownership of any intellectual property in an application.

The host institution must adhere to an intellectual property policy, approved by the host institution’s governing body, which has as one of its aims the maximisation of benefits to Australia arising

from research. Unless otherwise approved by the Department, the host institution’s intellectual property policy must comply with the National Principles of Intellectual Property Management for Publicly Funded Research (www.arc.gov.au) as amended from time to time.

Incomplete or misleading information

It is a serious offence to provide false or misleading information to the Commonwealth.

If the Department considers that an application is incomplete, inaccurate or contains false or misleading information, the Department may in its absolute discretion decide to recommend that the application not be shortlisted or approved for funding.

Examples of misleading information and misconduct include:

a. providing fictitious research opportunity and performance evidence

b. plagiarism

c. making false claims in publications records (such as describing a paper as accepted for publication when it has only been submitted)

d. making false claims in relation to qualifications and/or appointments

e. failing to disclose to the Government the existence, and nature, of actual or potential Conflicts of Interest of any of the parties involved in the application/programme.

http://www.arc.gov.au

19

The Funding AgreementSuccessful applicants must enter into a legally binding Funding Agreement with the Government. Successful applicants must be in a position to execute the Funding Agreement by 12 December 2014.

The Funding Agreement sets out the general reporting, promotional and auditing terms under which funding is provided and will apply uniformly to all successful applications.

Special conditions may vary between hubs and will be outlined in the schedule to the Funding Agreement.

A sample Funding Agreement is available on the Department’s website at www.environment.gov.au/nesp.

Commencement date The hub commencement date is the date that the signed (by the official contact) Funding Agreement is countersigned by the Government delegate (the Funding Agreement is ‘executed’). The Department will work with successful applicants with the aim of having Funding Agreements in place within 4 weeks of the approval of hub applications.

Payment of fundingFunds will be paid following the execution of the Funding Agreement in accordance with the agreed milestones and payment schedules, provided that you have met any conditions required before the commencement of your hub, as set out in the Funding Agreement.

Indicative standard milestones which hubs will be expected to deliver are:

• Execution of contracts

• Research Plan approved by the Department

• Annual update of Research Plan, incorporating project work for the next calendar year, approved by the Department

• Annual Progress Report and audited financial statement approved by the Department

• Final Report and audited financial statement approved by the Department

Conditions of funding



Monitoring, evaluation and reportingIn line with standard Australian Government audit and evaluation requirements, all successful applicants will be subject to financial and performance monitoring and evaluation to ensure that they are meeting specified milestones and performance indicators as detailed in the Funding Agreement.

In addition, each hub will be expected to develop a monitoring and evaluation plan to demonstrate its ongoing performance against NESP outcomes. This will be done in consultation with the Department.

The outcomes of activities funded by the NESP will be measured by reporting against performance indicators determined by the Department and relevant portfolio agencies and may be subject to change during the life of the programme.

Periodic qualitative assessments of the programme will be undertaken to measure use of NESP research outputs in decision-making.

Programme evaluations at the middle and end of the NESP will examine the efficiency and effectiveness of programme delivery.

ABNYou must provide an Australian Business Number (ABN) in your application. This must be for the applicant entity that would receive the funding and enter into the Funding Agreement.

Ethics and research practicesAll applications and NESP-funded research should conform to the principles outlined in the following or their successor documents:

a. NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2007)

b. as applicable, NHMRC/ARC/UA National Statement on Ethical Conduct in Human Research (2007)

c. as applicable, AIATSIS Guidelines for Ethical Research in Australian Indigenous Studies (2011)

d. as applicable, codes on animal research produced by the NHMRC.

If there is any conflict between a successor document and its predecessor, then the successor document prevails to the extent of any inconsistency.

Indigenous engagementThe Department recognises and values the experiences, perspectives and cultures of Indigenous Australians and supports Indigenous aspirations to maintain, protect and manage their culture, language, land and sea country and heritage. Indigenous considerations are an important aspect of the Department’s natural resource management and heritage protection responsibilities. Aboriginal and Torres Strait Islander peoples play a key role in protecting and managing their heritage and in this regard are important partners in the Department’s business.

Successful hubs will be expected to engage and consult appropriately with Aboriginal and Torres Strait Islander peoples who have an active interest in the areas where research projects occur, and develop an Indigenous Engagement Strategy to outline opportunities for Indigenous employment, skills transfer, knowledge sharing, and increase cultural awareness among all parties.

21

Environment Protection and Biodiversity Conservation Act 1999 (EPBC Act)Under the EPBC Act, the applicant is responsible for referring any projects to the Minister that are likely to have a significant impact on a matter of National Environment Significance, which includes heritage matters. Further information on the EPBC Act can be found at www.environment.gov.au/epbc/index.html.

Other laws and approvalsAll hubs must, in carrying out activities under this programme, comply with the provisions of all relevant statutes, regulations, by-laws and requirements of any Commonwealth, State, Territory or local authority including, but not limited to, the Work Health and Safety Act 2011 (Cth), the Privacy Act 1998 (Cth) and Workplace Gender Equality Act 2012 (Cth).

The NESP will generate research and scientific evidence which will support the Government in meeting its obligations under international conventions, such as the Convention on Biological Diversity (CBD), and the Ramsar Convention on Wetlands.

This requirement is specified in the Funding Agreement, and action may be taken to terminate the agreement or retrieve programme funds where such laws have not been complied with.

InsuranceSuccessful hubs will be required to have appropriate insurance for the activities of the hub at the commencement date of the Funding Agreement. This includes but is not limited to workers’ compensation and public liability insurances in respect of the activities of the programme. Insurance obligations will be confirmed in the Funding Agreement, prior to the payment of any funding.

Promotion and publicitySuccessful applicants must agree to acknowledge Government support. Any signage or publications related to the hub must carry an appropriate Australian Government logo (logo and guidelines for their use will be supplied to successful hubs). The Government reserves the right to publicly disclose information about the hub in any promotional material in a manner agreed and specified in the Funding Agreement.

http://www.environment.gov.au/epbc/index.html


The Department is collecting information on the NESP application form to assess your application for funding. The Department may give some or all of this information:

• to its employees and advisers in order to evaluate or assess an application

• to the Minister

• to other agencies where this serves a legitimate interest of the Government

• in response to a request by a House or Committee of the Parliament of the Commonwealth of Australia

• to other parties where the information is already in the public domain.

Principal researchers and host institutions should identify any specific information which is to be treated as confidential and provide legally justifiable reasons as to why it needs to remain confidential. The Department may still be required to disclose confidential information as permitted and required by law.

The name of the successful applicants, and the funding awarded may be disclosed in documentation such as media releases and be made publicly available on the Department’s website and in its annual report.

The Australian National Audit Office may also request access to all relevant activity files.

All information submitted to the Government is subject to the requirements of the Freedom of Information Act 1982 and the Privacy Act 1988.

Disclosure of information

23

The Department is committed to best practice in relation to resolving disputes and/or complaints. Should a problem or complaint be identified, please contact the Science Partnerships Section on (02) 6274 1226 or by email at [email protected]. All unsuccessful applicants will be offered feedback on their application at the end of the assessment and approvals process.

Complaints and disputes


environment.gov.au

MIS

097.

0914

national environmental science programme guidelines 2014 · 4 /national environmental science...

Documents