1. Deakin University CRICOS Provider Code: 00113B ARC LINKAGE 2014 – SESSION 1 - OVERVIEW, TIPS AND HINTS Rose Firkin - Executive Officer Deakin Research - Grants Greg Pullen– Senior Commercial Manager Deakin Research - Commercial

2. Deakin University CRICOS Provider Code: 00113B OUTLINE 1. Revised NCG process 2. Main features of the Scheme 3. Major Changes for 2014 (Partner Organisations) 4. Things to watch for 5. Questions 6. Discussion

3. Deakin University CRICOS Provider Code: 00113B REVISED NATIONAL COMPETITIVE GRANT PROCESS FYI: 1.Previous ARC and NHMRC round process has been reviewed and revised 2.Lead times will be longer 3.Will affect Linkage to a degree but will have greater impact on next ARC DP and NHMRC project rounds 4.Arranging meetings with Faculties and Institutes now 5.Faculties and IFM retain an active role in assessing the calibre and quality of applications – Applicants will need to work within Faculty/IFM timelines

4. Deakin University CRICOS Provider Code: 00113B WHAT DOES IT MEAN FOR LINKAGE? 1.Earlier input from Deakin Research – Grants to Faculties/IFM 2.Greater input from Deakin Research – Commercial 3.Earlier communication with applicant teams to identify and address issues earlier in the process (this workshop) 4.Expectation that teams will prepare applications earlier and have partner engagement commitment earlier

5. Deakin University CRICOS Provider Code: 00113B DEAKIN RESEARCH COMMERCIAL - ROLE Able to help strengthen Partner Organisation relationship(s) Able to identify and address IP issues Able to negotiate specific contractual arrangements Valuable resource for industry-specific knowledge

6. Deakin University CRICOS Provider Code: 00113B MAIN FEATURES – OBJECTIVES 2014 RULES To promote: initiation and/or development of long-term strategic research alliances between higher education organisations and other organisations, including industry and end-users, in order to apply advanced knowledge to problems; the scale and focus of research in the Strategic Research Priorities; opportunities for researchers to pursue internationally competitive research; and growth of a national pool of world-class researchers

7. Deakin University CRICOS Provider Code: 00113B MAIN FEATURES – FUNDING & DURATION (2014 RULES) Minimum = $50,000 p.a Maximum = $300,000 p.a Duration = 2 to 3 years

8. Deakin University CRICOS Provider Code: 00113B MAIN FEATURES–SELECTION CRITERIA (2014 RULES) 20% - Investigators 50% - Project –Significance & Innovation (25%) –Approach & Training (15%) –Research Environment (10%) 30% - Commitment from Partner

9. Deakin University CRICOS Provider Code: 00113B MAJOR CHANGES – PARTNER ORGANISATIONS (2014 RULES) No longer need an Australian Partner Organisation Overseas higher education institutions may participate as eligible Partner Organisations in their own right without having to find another PO Any Conflict of Interest must be declared to Deakin Research prior to submission (usually applies to CI conflicts with Partner Organisations)

10. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION REQUIREMENTS POs cannot be an eligible organisation; a controlled entity of any eligible organisation or; an entity more than 50% owned by an eligible organisation Each PO must meet 3 conditions –Evidence of new or ongoing collaboration with Deakin –No duplication of Commonwealth funding for the research and/or activities funded for the project –Cash and/or in-kind contribution

11. Deakin University CRICOS Provider Code: 00113B PARTNER CONTRIBUTIONS Combined PO’s eligible contributions (cash & in-kind) must at least match the total ARC request Combined PO’s eligible cash contribution must be at least 25% of the total ARC request (recommend aiming for 50%) Further information in Session: Linkage Budgets

12. Deakin University CRICOS Provider Code: 00113B PO EXEMPTIONS FROM CASH CONTRIBUTION REQUIREMENT Defined in Funding Rules Definitions Includes: –Registered charities –Not-for-profit organisations/community organisations –Start-up companies those commercialising R&D with average annual revenue not exceeding $5M over past 2 years & majority of employees and assets in Australia –Museums or herbaria

13. Deakin University CRICOS Provider Code: 00113B THINGS TO WATCH FOR - BACKGROUND If successful, it can take up to 12 months to negotiate a Linkage agreement. Why? Several Key Reasons: Partner Organisations were not fully aware of the scheme Partner Organisations unable to agree on IP provisions Partner Organisations not fully committed to the project Large number of collaborators Some collaborators not willing to cut their income despite project receiving fewer ARC funds

14. Deakin University CRICOS Provider Code: 00113B THINGS TO WATCH FOR - BACKGROUND Most of the issues can be avoided by: Diligent planning & realistic preparation time Careful documentation (in the application) Open and adequate discussion True involvement of parties Utilising partner organisations with which you have a solid relationship

15. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION - TIPS Proposals must include details of the proposed collaborative arrangements: –How is each PO involved in the project? –How does the project fit with the PO’s overall strategic plan? –How is the project of value to each PO? Make sure your PO is genuinely committed –Commitment should be evident throughout the proposal

16. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION - TIPS Limit POs (suggest 1 – 3) - do not add for the sake of numbers, the strength of the collaboration is key Watch the mix of POs – they may have different strategic directions and priorities Each PO must provide a Partner Investigator for the project –Make sure it’s someone with whom you can work –Make sure it’s someone who has the PO’s backing

17. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION - TIPS Treat your application as a Memorandum of Understanding (MoU) –Biggest issue we have during contract negotiation is sorting out misunderstandings regarding how the project will work in practice In these instances we refer back to the original application – it provides evidence of any discussions –Do not add partners after award – original partners have “right of way” to negotiate agreement

18. Deakin University CRICOS Provider Code: 00113B PARTNER INVESTIGATORS (PIS) PI must have a role within the Partner Organisation –Are they likely to stay with the same PO for the next 3-4 years? PIs must satisfy the eligibility criteria: –Take significant intellectual responsibility; and/or –Have the experience and capacity to provide supervision, support and mentoring of research personnel associated with the project; and/or –Have the skills and experience to manage a similar scale research project

19. Deakin University CRICOS Provider Code: 00113B PARTNER INVESTIGATORS (PIS) All investigators (including PIs) are assessed and merit ranked on the following basis (20%): –Research opportunity and performance evidence (ROPE) –Potential to engage in collaborative research with end-users –Time and capacity to undertake and manage the proposed research in collaboration with the PO

20. Deakin University CRICOS Provider Code: 00113B OTHER ORGANISATIONS - TIPS These are NOT Eligible Organisations or Partner Organisations: Can have PIs on the project for specific expertise Can be included without a PI but: –We highly recommend that they provide one Communication can be very difficult if there is no one with a direct interest in or link to the project Contractual arrangements can be more complex There are fewer rules regarding their engagement with Linkage projects

21. Deakin University CRICOS Provider Code: 00113B CHIEF INVESTIGATORS (CI’S) TIPS When formulating teams: Do not build in CIs just to boost track records –Each CI must commit substantially and significantly to the project and have a particular role for the full term –Each CI should consider their forward availability including other major project initiatives, study leave, inter-institutional transfers etc CIs from other Universities – need clear understanding of their role and what is likely to happen if the ARC funding is reduced – plan for this in advance

22. Deakin University CRICOS Provider Code: 00113B GRANTS WEBSITE & RESOURCES We provide a dedicated page for each major round and scheme http://www.deakin.edu.au/research/grants/oppo rtunities/arc-linkage-projects.phphttp://www.deakin.edu.au/research/grants/oppo rtunities/arc-linkage-projects.php Includes: – timelines, specific resources (salary calculators, application templates, stipend rates) and links to ARC documentation (2014 at present)

23. Deakin University CRICOS Provider Code: 00113B FINAL TIP Applications are not yet open on RMS Get an RMS profile immediately Get your co CIs and PIs to do the same

24. Deakin University CRICOS Provider Code: 00113B QUESTIONS? Further Information Sessions will be provided: Ideas for Potential Topics?

25. Deakin University CRICOS Provider Code: 00113B DISCUSSION