1. Deakin University CRICOS Provider Code: 00113B ARC LINKAGE 2016 – SESSION 2 2016 RULE CHANGES, PARTNER CONTRIBUTIONS & GENERAL BUDGET INFORMATION DEAKIN RESEARCH – GRANTS Rose Firkin - Executive Officer – Grants Dr Tracey McInerney – Senior Grants Officer

2. Deakin University CRICOS Provider Code: 00113B OUTLINE 1. 2016 ARC LP changes 2. Partner Organisation Contributions 3. General Budget Information 4. Questions

3. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES Changes are relatively minor Funding rules combined for all of the LP schemes: Linkage Projects (LP), Industrial Transformation Research Programme x 2, Linkage Infrastructure, Equipment & Facilities (LIEF) You MUST read both sections (Parts A & D) to ensure you understand the entire rules

4. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– OBJECTIVES A key word addition in objective a: ‘Support the initiation and/or development of long- term strategic research alliances between higher education organisations and other organisations, including industry and other research end-users, in order to apply advanced knowledge to problems and/or to provide opportunities to obtain national economic, commercial, social or cultural benefits”

5. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– SELECTION CRITERIA Significance and Innovation (25%): updated to reflect the Government’s Boosting the Commercial returns from Research agenda –Will new methods or technologies be developed that address a specific market opportunity? –How will the anticipated outcomes advance the knowledge base and/or provide an industry advantage? –Does the project plan provide a business model for implementation? –Will the proposed research maximise economic, commercial, environmental and /or social benefit to Australia? –Does the project address the Science and Research Priorities? –Are the Project aims and concepts novel and innovative? –Does the research address an important problem for the partners? –How will the Project benefit the Partner Organisations and other relevant end-users? –Does the Project significantly enhance links with organisations outside the Australian publicly-funded research and higher education sectors?

6. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– DEFINITIONS Community Organisations are no longer included in the list of exempt partner organisations List of Exempt Organisations for 2016: Archive & Public Record Offices Charities Herbaria Museum & Collecting Organisations Non-Profits Start-Ups

7. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES – DEFINITIONS New definitions for - Bench fees, - Emeritus Appointment - ORCID identifier Scheme now refers to the new Science and Research Priorities New ARC Research Integrity and Research Misconduct Policy

8. Deakin University CRICOS Provider Code: 00113B WHAT IS ELIGIBLE UNDER THE MEDICAL RESEARCH POLICY ? Research in: Bioengineering where goal is to advance engineering knowledge by applying engineering principles to problems that may ultimately have medical applications Natural sciences where goal is the fundamental understanding of biological processes or development of knowledge &/or technology platforms that may ultimately have medical applications

9. Deakin University CRICOS Provider Code: 00113B WHAT IS ELIGIBLE? Research (including observational research) where goal is the understanding of normal human life stages (infancy, childhood, adolescence and ageing) &/or traits using human participants or populations, unless it involves a health intervention The use or development of equipment, facilities, tools, games, devices, smart phone applications or other items to support eligible research as listed above

10. Deakin University CRICOS Provider Code: 00113B WHAT IS INELIGIBLE? Research with human health &/or medical goals, including research on the understanding, aetiology, diagnosis, monitoring, management or treatment of physical or mental disease or other health conditions in humans

11. Deakin University CRICOS Provider Code: 00113B WHAT IS INELIGIBLE? Research involving the use or development of animal models of human health conditions, or the use of animals for the development or testing of therapeutic goods (including devices) or procedures, for the purpose of better understanding human health or developing treatments for human health conditions

12. Deakin University CRICOS Provider Code: 00113B WHAT IS INELIGIBLE? Interventional research in humans, particularly clinical or pre-clinical trials of therapeutic goods (including devices) or research aiming to modify the health of the human participants The use or development of equipment, facilities, tools, games, devices, smart phone applications or other items to understand, diagnose, monitor, manage or treat human health conditions

13. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP– PARTNER INVESTIGATORS The proposal may nominate a PI from each Partner Organisation DU advice is to include Partner Investigators where possible to indicate commitment and to ensure engagement

14. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– PARTNER ORGANISATIONS- further clarification of PO conditions For each partner organisation 3 conditions must be met: – evidence of new or ongoing collaboration between the Partner Organisation either directly with the Administering Organisation, and/or with an Other Eligible Organisation on the proposal –No duplication of commonwealth funding for the research and/or activities funded for the project –A contribution of cash and /or in-kind or other material resources for each partner organisation, having regard to the total cost of the project and specific scheme requirements

15. Deakin University CRICOS Provider Code: 00113B FUNDING FORMULAS No change to the general funding formula Have been some changes to what one can request as part of the budget but these will be covered later

16. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– CHIEF INVESTIGATORS ELIGIBILITY CRITERIA A CI must meet at least one of the following as at the 1 July 2016 –Be an employee for at least 0.2 FTE at an Eligible Organisation –Be a holder of an Emeritus* Appointment at an eligible organisation * Emeritus appointment is defined as: any Honorary position that gives full academic status, as certified by the DVC(R). These positions are typically held by former academic staff members that continue to have an ongoing relationship with the institution. For ARC purposes this relationship should include access to research support comparable to employees, and would also normally include participation in postgraduate supervision. A person will not be considered to hold an Emeritus Appointment if they are in paid employment elsewhere

17. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– ETHICS AND RESEARCH PRACTICES All proposals must now comply with the Australia Council for the Arts Indigenous Cultural Protocols for Producing Indigenous Music; Writing; Visual Arts; Media Arts; and Performing Arts (2007)

18. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– PUBLICATION AND DISSEMINATION OF RESEARCH OUTPUTS The ARC encourages all researchers applying for funding to have an ORCID identifier (available from ORCID website at www.orcid.org) www.orcid.org When depositing publications in an institutional repository the ARC Project ID should be included in the metadata

19. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– MISCONDUCT, INCOMPLETE OR MISLEADING INFORMATION All ARC funded research projects must comply with the new ARC Research Integrity and Research Misconduct Policy

20. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– CONFIDENTIALITY The 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 is: – Disclosed by the ARC to its advisors (including assessors), officers, employees or other third parties solely to comply with obligations or exercise rights under the ARC Research Integrity and Research Misconduct Policy

21. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– FURTHER CLARIFICATION RE: Request Not to Assess – If requesting more than 3 individual assessors to be excluded for a proposal the request must be supported in writing by the DVCR and include evidence justifying the exclusion request Appeals –Appeals will only be considered against administrative process issues and not against committee decisions, assessor ratings and comments or the assessment outcome. Appellants must identify the specific Funding Rule clause, policy or procedure which they believe has been incorrectly applied

22. Deakin University CRICOS Provider Code: 00113B 2016 ARC LP CHANGES– FURTHER CLARIFICATION RE: Intellectual Property – The Administering Organisation must adhere to an intellectual property policy, approved by the Administering Organisations governing body. Which has as one of its aims the maximisation of benefits to Australia arising from research. The Administering Organisation should ensure that applicants for ARC funding are familiar with the current intellectual property landscape for the proposal

23. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION 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 40%)

24. Deakin University CRICOS Provider Code: 00113B WHAT DO WE MEAN BY CASH? Cash contribution means the cash from an organisation for the Project which is transferred to and managed by the Administering Organisation Are financial contributions paid to Deakin on invoice –Must come via Deakin’s financial system –Are subject to audit

25. Deakin University CRICOS Provider Code: 00113B PARTNER CONTRIBUTIONS Cash contributions cannot be sourced from funds awarded or appropriated by the Commonwealth or an Australian State or Territory for the purposes of research nor from funds previously used to leverage government research funding i.e. cash would have to be gained from other sources – fund raising, patent licensing, provision of services or products

26. Deakin University CRICOS Provider Code: 00113B PARTNER CONTRIBUTIONS What is meant by “funds previously used to leverage government research funding”? Funds which an organisation has already used to leverage government research funding, such as (but not limited to) funds which have already been included by the organisation in a successful application to a Commonwealth or Australian State or Territory funding program or scheme in order to receive a grant or award Funds that are used to gain government funding for research eg industry levies matched by the government

27. Deakin University CRICOS Provider Code: 00113B PARTNER CONTRIBUTIONS Of the required Partner Organisation contribution to match the total ARC request, a maximum of 25% can be made up of cash and/or in-kind contributions from one or more POs whose funds are appropriated predominantly from Commonwealth or State or Territory funding sources for the purposes of research.

28. Deakin University CRICOS Provider Code: 00113B PARTNER CONTRIBUTIONS If the PO is predominantly funded by Commonwealth or State or Territory funding sources for the purposes of research they can make contributions over and above 25% of the required contribution BUT these additional contributions are not eligible to make up part of the required PO contribution

29. Deakin University CRICOS Provider Code: 00113B PARTNER CONTRIBUTIONS Lead CI’s should ensure their Partner Organisation read and understand both the 2016 Linkage Projects Funding Rules AND all of the FAQs relating to Partner Organisations Your Partner Organisations should be able to assess whether they are subject to these restrictions but it’s important to find out NOW as it will affect your application

30. Deakin University CRICOS Provider Code: 00113B PO EXEMPTIONS FROM CASH CONTRIBUTION REQUIREMENT Proposals on which all Partner Organisations are exempt from the Cash Contribution requirements do not have to meet the overall Cash Contribution requirement we strongly recommend that such organisations do make some contribution as a way of demonstrating their commitment to the project

31. Deakin University CRICOS Provider Code: 00113B Total ARC requestTotal required PO Cash & in- kind contribution Total minimum required PO eligible Cash contribution (25%) Minimum required Annual PO eligible Cash contribution $50K x 2 yrs$100K$25K$12.5K p.a $50K x 5 yrs$250K$62.5K$12.5K p.a $100K x 2yrs$200K$50K$25K p.a $100K x 5 yrs$500K$125K$25K p.a $200K x 2 yrs$400K$100K$50K p.a $200K x 5 yrs$1M$250K$50K p.a $300K x 2 yrs$600K$150K$75K p.a $300K x 5 yrs$1.5M$375K$75K p.a TOTAL PO CONTRIBUTION EXAMPLES - DURATION OF PROJECT

32. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION CONTRIBUTION EXAMPLES (CASH & IN-KIND) Total ARC request (Min. cash 25%) Total Cash (in- kind) contribution PO #1 (Funded by Cth for research) Total Cash (in-kind) contribution PO #2 (Funded by State for research) Total Cash (in- kind) contribution PO #3 Total Eligible Cash contribution (cash and in- kind) $100K ($25K) $20K ($30K)$30K ($20K)n/a$12.5K (25K) INELIGIBLE $100K ($25K) $20K ($30K)$30K ($20K)$20K ($30K)$32.5K (75K) INELIGIBLE $100K ($25K) n/a$30K ($20K)$20K ($30K)$27.5K (75K) INELIGIBLE

33. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION CONTRIBUTION EXAMPLES (CASH & IN-KIND) Total ARC request (Req’d cash 25%) Total Cash (in- kind) contribution PO #1 (Funded by Cth for research) Total Cash (in-kind) contribution PO #2 (Funded by State for research) Total Cash (in- kind) contribution PO #3 Total Eligible Cash contribution (cash and in- kind) $100K ($25K) $20K ($30K)$30K ($20K)$20K ($55K)$32.5K (100K) ELIGIBLE $100K ($25K) $20K ($30K)$30K ($20K)$0K ($75K)$12.5K (100K) INELIGIBLE

34. Deakin University CRICOS Provider Code: 00113B CASH CONTRIBUTIONS Maintain as much of the ARC funds at Deakin as possible as these count towards the HERDC Identify and use PO funds to support other institutions and make this clear in the application (if participating on a not DU led application with the same organisation, negotiate reciprocal arrangements to counter ARC funds being used by other eligible organisations) And NO, you cannot take cash contributions from your Partner and then pay them back to your PO

35. Deakin University CRICOS Provider Code: 00113B NB FOR NOT DEAKIN LED APPLICATIONS Negotiate with the lead CI to have some $ directed to DU preferably ARC funds but at least some i.e. no participation without recompense Those with high level of commercialisation potential must be discussed with Deakin Research Commercial prior to the application being submitted to ensure that Deakin’s positions will be safeguarded

36. Deakin University CRICOS Provider Code: 00113B PO CASH CONTRIBUTIONS Structure to allow for ARC funding cuts:- –Allow for a 40% reduction in funding and identify components that can be cut if funding is reduced (the ARC routinely funds ~60% of the requested amount) but NB: Value for Money do NOT over estimate costs –Make sure all parties understand and agree in advance as to what actions will be taken if funding is cut –Determine if the PO will cut their contributions if funding is cut. If so, question their commitment to the project and its outcomes.

37. Deakin University CRICOS Provider Code: 00113B PO CASH CONTRIBUTIONS Deakin has a preferred payment schedule which should be discussed with potential partners 1st partner cash payment on execution of agreement and every 12 months thereafter ie annually in advance Start-up companies may negotiate quarterly payments in advance

38. Deakin University CRICOS Provider Code: 00113B PO IN-KIND CONTRIBUTIONS In-kind contribution definition: “..contribution of goods, services, materials or time to the Project …calculated based on the most likely actual cost, for example current market, preferred provider or internal provider rates/valuations/rentals/charges … of the costs of labour, work spaces, equipment and databases..” The Administering Organisation must establish the merit of the case for recognition of in-kind contributions The calculations covering time and costs should be documented by the Administering organisation. The ARC may require these calculations to be audited. Partners MUST be able to substantiate their in-kind contributions and should provide a schedule of their costs that we can file

39. Deakin University CRICOS Provider Code: 00113B WHAT CAN YOU REQUEST? PERSONNEL: Salary for research associates & assistants, technicians & lab attendants for the Administering Organisation –On-costs for ARC funded salary requests are now 30%, use the salary calculator available from the Deakin LP16 webpage Stipends for HDR students at an appropriate level for the Administering Organisation or the relevant Industry sector – ARC requested stipends should be $25,849 pa (2015 rate)

40. Deakin University CRICOS Provider Code: 00113B WHAT CAN YOU REQUEST? TEACHING RELIEF: For CIs up to a total value for the Project of $50K per annum – NEW limit for 2016

41. Deakin University CRICOS Provider Code: 00113B WHAT CAN YOU REQUEST? EQUIPMENT Equipment required for the project (ex-GST) – can include installation but must use prices gained at time of submission Specialised computer equipment and software essential to the project Equipment deemed to be for broad general use will not be funded eg. standard computers

42. Deakin University CRICOS Provider Code: 00113B WHAT CAN YOU REQUEST? MAINTENANCE Maintenance for infrastructure, equipment and consumables required for the project

43. Deakin University CRICOS Provider Code: 00113B WHAT CAN YOU REQUEST? TRAVEL Cannot exceed an average of $20K per annum (limit excludes fieldwork expenses) For CIs, PIs, HDR candidates, postdoctoral fellows and research support personnel Sorry, economy travel ONLY

44. Deakin University CRICOS Provider Code: 00113B WHAT CAN YOU REQUEST? FIELDWORK Must be essential to the project includes technical and logistical support, travel and accommodation costs for CIs, PIs, HDR candidates, postdoctoral fellows and research support personnel

45. Deakin University CRICOS Provider Code: 00113B WHAT CAN YOU REQUEST? OTHER: Expert services of a 3 rd party (translation, transcribing, purchase of bibliographical or archival material, data collection & analysis) Workshops, focus groups & conference costs that are necessary for the conduct of the proposed research may be requested (includes ‘reasonable’ hospitality costs)

46. Deakin University CRICOS Provider Code: 00113B WHAT CAN YOU REQUEST? OTHER: Publication and dissemination of Project outputs and outreach activity costs Web hosting and web development specific to the project Access to national and international research and infrastructure facilities (specialist archives, collections & databases)

47. Deakin University CRICOS Provider Code: 00113B WHAT CAN YOU REQUEST? OTHER: Access to Technical workshop services linked to and justified explicitly against the project (machine tools and qualified technicians)

48. Deakin University CRICOS Provider Code: 00113B WHAT CAN’T YOU REQUEST? Bench fees or similar lab access fees Capital works and general infrastructure Costs not directly related to the project (professional memberships, professional development courses, fees for patent applications & maintenance, equipment for live music or drama performances, visas, relocation costs, costs of dependents entertainment costs, hospitality costs, insurance or other indirect costs

49. Deakin University CRICOS Provider Code: 00113B WHAT CAN’T YOU REQUEST? Fees for international students on the Higher Education Contribution Scheme (HECS) and Higher Education Loan Program (HELP) liabilities for students Salaries and/or on-costs for CIs or PIs

50. Deakin University CRICOS Provider Code: 00113B WHAT CAN’T YOU REQUEST? Basic facilities must be provided and funded by the Administering Organisation Access to basic library collections Access to film or music editing facilities Accommodation (lab and office space) Basic computer facilities and standard software Standard reference materials or funds for abstracting services

51. Deakin University CRICOS Provider Code: 00113B A NOTE ON STRUCTURING YOUR BUDGET Create your budget in an excel spreadsheet Use the same headings that the ARC uses Keep the table SIMPLE When you enter it into RMS, cut and paste the information in, in the most logical way you can Cost as accurately as possible – aim for the subliminal message that it is so well thought out that it does not require or warrant trimming ALL costs must be directly related to and necessary for the project & strongly justified

52. 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/researcher- support/grants-and-contracts/find-funding/arc- linkage-projects-2016 http://www.deakin.edu.au/research/researcher- support/grants-and-contracts/find-funding/arc- linkage-projects-2016 Contains links to ARC documentation, timelines and specific resources (salary calculators, application templates, stipend rates)

53. Deakin University CRICOS Provider Code: 00113B FINAL TIP Applications should be on RMS now and most sections fully complete Get your co CIs and PIs to update their profiles Applications open in RMS 16 September 2015

54. Deakin University CRICOS Provider Code: 00113B Questions?