1. ARC Linkage 2013 – Tips, Hints and Pitfalls Rose Firkin Executive Officer - Grants Deakin Research – Grants

2. Outline 1. Tips and Hints 2. Common Mistakes & Issues 3. Grants Website & Resources 4. Questions

3. Selection Criteria - Tips Funding rules provide a list of what is measured under each selection criteria –Refer section 4.3 –Ensure your project covers these points The Instructions to Applicants often provide additional information also –Check these once they are released

4. Selection Criteria - Tips Keep the selection criteria in mind as you draft your application Do not provide information in one section alone eg. The relevance and strength of your research environment should be evident throughout your application not just in any specific section titled Research Environment

5. Partner Organisation requirements Proposals must include details of the proposed collaborative arrangements: –How is each PO involved in the project? –How does the project fit with the POs overall strategic plan? –How is the project of value to each PO? Each PO must provide a Partner Investigator for the project (new!)

6. Partner Investigator Requirements PIs must satisfy the relevant eligibility criteria: –Take significant intellectual responsibility &/or –Have the experience & capacity to provide supervision, support and mentoring of research personnel associated with the project &/or –Have the skills and experience to manage a similar scale research project

7. Partner Investigators – Selection Criteria 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 (new!) –Time and capacity to undertake and manage the proposed research in collaboration with the PO

8. Partner Organisation - Tips Make sure your PO is genuinely committed –The need to provide a PI may help ascertain this PO commitment should be evident throughout the proposal - letter of support should strongly indicate this Limit your POs - do not add them for the sake of numbers, the strength of the collaboration is the key

9. Partner Organisation - Tips Ensure the PO has read the funding rules and FAQs so they have a true understanding of the scheme objectives and how it works Discuss and document the expectations of each party regarding tasks and roles Discuss how the partnership (ie all parties) will handle any budget cuts if the application is later successful

10. Partner Organisation - Tips Send POs a copy of DUs standard agreement so that they can raise potential issues early Utilise the expertise of the Deakin Research – Commercial team –Business Development Managers can help with: relationship management commercialisation discussions agreement negotiations

11. Partner Investigator - Tips You may need to limit your Partner Organisations due to the requirement that each provide a Partner Investigator Keep in mind that the PIs must meet eligibility criteria and their track record will be assessed

12. Partner Investigator - Tips PI time commitment of 0.05 FTE – 0.1 FTE was common in previous rounds but NB: –The selection criteria specifically refers to both an investigators time and capacity to undertake and manage the proposed research –Eg. I would be wary of projects that suggest a PI will be spending a concentrated 1 month p.a. which equates to 0.05 over the life of the project

13. PO In-Kind Contributions - Requirements All in-kind contributions must be ESSENTIAL and CENTRAL to the project In-kind contributions MUST be specific to the project and cannot be part of a broader contribution to an Administering Organisation

14. PO In-Kind Contributions - Tips Ensure your PO can provide adequate documentation to substantiate their in-kind contributions Ensure your project description reflects the requirement for the stated in-kind contributions (ie not just the budget justification section)

15. Chief Investigator - Tips CIs must meet the relevant eligibility criteria at 1 July 2013 and for the duration of the project –0.5 EFT employee of an eligible organisation or –Holder of an Emeritus, Adjunct or equivalent position but not be substantively employed elsewhere If a CI resides outside Australia they may be a PI NB new Conflict of Interest clause 9.5.3

16. Chief Investigator - Tips In general, CI in-kind time commitment is anywhere from 0.1 FTE to 0.4 FTE Usually a Project Leader would be at least 0.2 FTE CIs must take significant intellectual responsibility for the conduct of the Project and any strategic decisions and the capacity to make a serious commitment Structure your team accordingly!

17. Common Mistakes & Issues Applicants have not read and/or understood the funding rules Application –does not meet scheme objectives –breaches either funding restrictions or duration requirements –lacks preparation and project description is poorly written and/or argued and lacks flow

18. Common Mistakes & Issues Application is based on –A previous Linkage application and contains outdated headings or references –an alternate application with different focus Selection Criteria not addressed adequately –Use the space and make sure CIs and PIs use the Personnel sections to demonstrate their credentials (without repetition or waffling)

19. Common Mistakes & Issues NRPs are selected but not mentioned in the proposal –Provide information in the Significance & Innovation Research Environment Section –Contains an old standard statement –Is not written specifically for the project (use our Guidance Sheet)

20. Common Mistakes & Issues Under developed partner relationship –POs lack a true understanding of the research proposal –POs and lead CI lack understanding of how the project will work in practice and their obligations –Evidence of collaboration and/or ability to manage the partner relationship lacking

21. Common Mistakes & Issues PO letter –gives an incorrect title or ARC reference number –does not substantiate the claims within the project description –Lists different anticipated outcomes to those provided in the proposal –provides different figures to those listed in the budget table

22. Common Mistakes & Issues Contributions do not meet required funding formula In-kind contributions appear over inflated In-kind contributions listed in the budget do not appear in the project description In-kind contributions inadequately justified

23. Other Common Mistakes & Issues Ineligible Chief or Partner Investigators –Designation & nomenclature is important Incorrectly designated organisations Number of proposals exceeded for one or more investigator/s

24. Common Mistakes & Issues In press publications without an acceptance date or DOI # Publications outside specified date range Publication lists refer to ERA rankings –Use impact factors and citations or other measures to indicate the prestige and impact of your work

25. Common Mistakes & Issues The application does not appear 1 st in the Research Support table Research Support table figures do not match final budget ARC projects not listed or incorrectly referenced Relevant ARC reports missing

26. Common Mistakes & Issues Failure to advise the Faculty / Institute / SRC –No approval, no submission Missing internal deadlines –Thorough compliance checks take time –1.5 hours to 5.5 hours

27. A MAJOR UNIVERSITY CONCERN - COI Deakin has had 2 recent cases which have called into question our staff members understanding of the schemes conflict of interest requirements These have jeopardised our relationship with the ARC Each related to non-disclosure of potential or perceived conflict of interest

28. A MAJOR UNIVERSITY CONCERN - COI Read Section 9.5 Each party involved in a Proposal must declare at the date of submission and describe in the application any Conflict of Interest that exists or is likely to arise in relation to any aspect of the proposal Non declaration may represent a breach of the Australian Code for the Responsible Conduct of Research (2007)

29. A MAJOR UNIVERSITY CONCERN - COI A researcher cannot participate as a CI if they hold a position as a Director, Board Member or have a financial interest (salary, contract or equity) in a proposed PO for a project. This exclusion does not confer PI eligibility.. –This has the potential to affect those with conjoint appointments –Liaise with your Case Manager

30. A MAJOR UNIVERSITY CONCERN - COI If a researcher has a COI with a PO exempt from the Cash Contribution requirements it does not prevent them from participating as a CI Answer the question regarding COI in the Personnel Section honestly

31. Tips & Hints - Budgets Come to the next information session on Linkage budgets

32. Tips & Hints 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 – keep in mind it provides evidence of any discussions

33. Final Tips Bookmark and use our dedicated Linkage page http://www.deakin.edu.au/research/grants/o pportunities/arc-linkage-projects.php http://www.deakin.edu.au/research/grants/o pportunities/arc-linkage-projects.php Get an RMS profile immediately –Get your co CIs and PIs to do the same Work directly with your Case Manager –Do not approach the ARC

34. Important Note Deakin Research – Grants works with Faculties / SRCs / Institutes and will refer applications back to them if Aims are unclear Application is poorly written or structured There are concerns re an applications readiness for submission

35. Questions? Information Session #3 will cover: –Linkage budgets