ARC LINKAGE 2015 – SESSION 2 2015 RULE CHANGES, PARTNER CONTRIBUTIONS & GENERAL BUDGET INFORMATION DEAKIN RESEARCH – GRANTS

Rose Firkin - Executive Officer – Grants Dr Tracey McInerney – Senior Grants Officer

Deakin University CRICOS Provider Code: 00113B

OUTLINE

1. 2015 ARC LP changes 2. Partner Organisation Contributions 3. General Budget Information 4. Questions Deakin University CRICOS Provider Code: 00113B

2015 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 Deakin University CRICOS Provider Code: 00113B

2015 ARC LP CHANGES – DEFINITIONS

Organisations exempt from the cash contribution requirements defined & expanded (see p.41): • Archive & Public Record Offices • Charities • Community Organisations • Herbaria • Museum & Collecting Organisations • Non-Profits • Start-Ups Deakin University CRICOS Provider Code: 00113B

2015 ARC LP CHANGES – DEFINITIONS

Medical & dental definition & policy • It is important that you read this webpage and the associated policy http://www.arc.gov.au/applicants/md_researc h.htm

• Web provides summary of what is eligible for ARC support and what is not Deakin University CRICOS Provider Code: 00113B

WHAT IS ELIGIBLE?

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 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 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 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 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 Deakin University CRICOS Provider Code: 00113B

2015 ARC LP RULE CHANGES – FUNDING & DURATION

• Minimum = $50,000 p.a

• Maximum = $300,000 p.a

• BUT duration extended: NOW= 2 to 5 years Deakin University CRICOS Provider Code: 00113B

2015 ARC LP CHANGES – 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 Deakin University CRICOS Provider Code: 00113B

2015 ARC LP CHANGES – PARTNER ORGANISATIONS

• Additional requirements for the PO letter – details of how the project ‘aligns’ with the PO objectives forms part of the funding rules now • POs MUST participate for the duration of the project • Proposals cannot include cash or in-kind contributions in years beyond the duration of the project • Cash contributions must not be contributions to to CI or PI salaries 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 Deakin University CRICOS Provider Code: 00113B

2015 ARC LP CHANGES – PARTICIPANTS

• All named participants must take responsibility for the authorship and intellectual content of the proposal, appropriately citing sources and acknowledging significant contributions where relevant Deakin University CRICOS Provider Code: 00113B

2015 ARC LP CHANGES – CHIEF INVESTIGATORS

• CI eligibility amended to include their having to take significant intellectual responsibility for the “conception” and conduct of the Project • A CI must have the experience and capacity to provide effective supervision, support and mentoring of research personnel, including HDR candidates and postdoctoral fellows associated with the project Deakin University CRICOS Provider Code: 00113B

2015 ARC LP CHANGES – CHIEF INVESTIGATORS

• A CI must ‘normally’ reside predominantly in Australia for the full life of the project (normally is not defined) • CIs undertaking a HDR are not eligible unless their HDR is conferred by the date of the commencement date of the project • Undergraduate students may be CIs Deakin University CRICOS Provider Code: 00113B

2015 ARC LP CHANGES – MISCONDUCT, INCOMPLETE OR MISLEADING INFORMATION Examples of misleading information and misconduct include: • Providing a fictitious research opportunity and performance evidence • Plagiarism • Making false claims in relationship to the authorship of the proposal New!

• Failing to make acknowledgement of intellectual, design or other significant contributions to the proposal New!

Deakin University CRICOS Provider Code: 00113B

2015 ARC LP CHANGES – MISCONDUCT, INCOMPLETE OR MISLEADING INFORMATION • Making false claims in publications records (such as describing a paper as ‘accepted’ when it has only been submitted) • Making false claims in relation to qualifications and/or appointments • Making false certifications (online or hardcopy) • Failing to disclose to the Administering Organisation the existence, and nature, of actual or potential Conflicts of Interest of

any

of the parties involved in the proposal/project 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 50%) 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

Administering Organisation the • Are financial contributions paid to Deakin on invoice –Must come via Deakin’s financial system –Are subject to audit 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 Deakin University CRICOS Provider Code: 00113B

PARTNER CONTRIBUTIONS

What is meant by

“funds previously used to leverage government research

matched by the government

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 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.

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 Deakin University CRICOS Provider Code: 00113B

PARTNER CONTRIBUTIONS

• Lead CI’s should ensure their Partner Organisation read and understand both the 2015

Linkage Projects

Funding Rules

AND

all of the FAQs relating to Partner Organisations once these are available • 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 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 Deakin University CRICOS Provider Code: 00113B

TOTAL PO CONTRIBUTION EXAMPLES - DURATION OF PROJECT

Total ARC request

$50K x 2 yrs $50K x 5 yrs $100K x 2yrs $100K x 5 yrs $200K x 2 yrs $200K x 5 yrs $300K x 2 yrs $300K x 5 yrs

Required PO Cash & in-kind contribution

$100K $250K $200K $500K $400K $1M $600K $1.5M

Minimum required PO eligible Cash contribution (25%)

$25K $62.5K

$50K $125K $100K $250K $150K $375K

Minimum required Annual PO eligible Cash contribution

$12.5K p.a

$12.5K p.a

$25K p.a

$25K p.a

$50K p.a

$50K p.a

$75K p.a

$75K p.a

Deakin University CRICOS Provider Code: 00113B

PARTNER ORGANISATION CONTRIBUTION EXAMPLES (CASH

Total ARC request (Min. cash 25%) Total Cash (in kind) contribution PO #1 (Funded by Cth for research)

& IN-KIND)

Total Cash (in-kind) contribution PO #2 (Funded by State for research) Total Cash (in kind) contribution PO #3 Total Eligible Contribution (cash and in kind)

$100K ($25K) $100K ($25K) $100K ($25K) $20K ($30K) $20K ($30K) n/a $30K ($20K) $30K ($20K) $30K ($20K) n/a $20K ($30K) $20K ($30K) $25K – PROJECT INELIGIBLE $75K – PROJECT INELIGIBLE $75K – PROJECT INELIGIBLE 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 Contribution (cash and in kind)

$100K ($25K) $100K ($25K) $20K ($30K) $20K ($30K) $30K ($20K) $30K ($20K) $20K ($55K) $0K ($75K) $100K – PROJECT ELIGIBLE $100K – PROJECT INELIGIBLE Deakin University CRICOS Provider Code: 00113B

PO 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 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, ie 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 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.

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 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 current market 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 Deakin University CRICOS Provider Code: 00113B

PO IN-KIND CONTRIBUTIONS

• NB: The 2015 Funding Rules state

“..the calculations covering time and costs should be documented by the Administering Organisation . The ARC may require these calculations to be audited from time to time”

• Partners MUST be able to substantiate their in-kind contributions and should provide a schedule of their costs that we can file Deakin University CRICOS Provider Code: 00113B

WHAT CAN YOU REQUEST?

PERSONNEL: • Salary for research associates & assistants, technicians & lab attendants for the Administering Organisation • Stipends for HDR students at an appropriate level for the Administering Organisation or the relevant Industry sector Deakin University CRICOS Provider Code: 00113B

WHAT CAN YOU REQUEST?

TEACHING RELIEF: • For CIs up to a total value for the Project of $40K per annum Deakin University CRICOS Provider Code: 00113B

WHAT CAN YOU REQUEST?

EQUIPMENT • Equipment, its maintenance & consumables • Specialised computer equipment and software essential to the project • Equipment or consumables that are deemed to be for broad general use will not be funded Deakin University CRICOS Provider Code: 00113B

WHAT CAN YOU REQUEST?

MAINTENANCE • General consumables (not specified in the rules but traditionally allowed – will need to check the relevant “Instructions to Applicants” once these are released) Deakin University CRICOS Provider Code: 00113B

WHAT CAN YOU REQUEST?

TRAVEL • Travel amounts lifted – 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 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 EXPANDED!

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) NEW!

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) 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) 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 ( new!

), entertainment costs, hospitality costs, insurance or other indirect costs 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 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 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 • 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 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/op portunities/arc-linkage-projects.php

• Contains links to ARC documentation, timelines and specific resources (salary calculators, application templates, stipend rates) Deakin University CRICOS Provider Code: 00113B

FINAL TIP

• RMS has changed – log in an update your personal details sections to gain familiarity OR get an RMS profile immediately • Get your co CIs and PIs to do the same • Applications are not yet open in RMS Deakin University CRICOS Provider Code: 00113B

Deakin University CRICOS Provider Code: 00113B

Questions?