1. Deakin University CRICOS Provider Code: 00113B ARC LINKAGE 2016 – SESSION 1 - OVERVIEW, TIPS AND HINTS Rose Firkin - Executive Officer Deakin Research - Grants

2. Deakin University CRICOS Provider Code: 00113B OUTLINE 1. Main features of the Scheme 2. Major Changes to the 2016 Funding rules 3. Things to watch for 4. Process & relevant dates 5. Questions & Discussion

3. Deakin University CRICOS Provider Code: 00113B I’M JUST SAYING... 2016 rules released 10 September 2015 Critical that all CI’s and PI’s read: –the funding rules –the Instructions to Applicants and –the Frequently Asked Questions

4. Deakin University CRICOS Provider Code: 00113B MAIN FEATURES – LINKAGE PROGRAMME The Linkage Programme: supports the growth of research partnerships between university-based researchers and researchers in other sectors in Australia and overseas that generate new knowledge, technologies and innovations Refer to Section A of the combined rules

5. Deakin University CRICOS Provider Code: 00113B MAIN FEATURES – LINKAGE PROGRAMME The Linkage Programme objectives are: to deliver outcomes of benefit to Australia and build Australia’s research and innovation capacity through support for: –collaborative research between university-based researchers and researchers in other sectors; –research training and career opportunities that enable Australian and international researchers and research students to work with industry and other end-users; and –research in priority areas.

6. Deakin University CRICOS Provider Code: 00113B MAIN FEATURES – LINKAGE PROJECTS The objectives of the Linkage Projects scheme (Section D) are to: a. Support the 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 and/or –to provide opportunities to obtain national economic, commercial, social or cultural benefits;

7. Deakin University CRICOS Provider Code: 00113B MAIN FEATURES – LINKAGE PROJECTS b. Provide opportunities for internationally competitive research projects to be conducted in collaboration with organisations outside the higher education sector, targeting those who have demonstrated a clear commitment to high-quality research c. Encourage growth of a national pool of world-class researchers to meet the needs of the broader Australian innovation system d. Build the scale and focus of research in the national Science and Research Priorities (May 2015)

8. Deakin University CRICOS Provider Code: 00113B NATIONAL SCIENCE & RESEARCH PRIORITIES? From: http://science.gov.au/scienceGov/ScienceAndResearchP riorities/Pages/default.aspx http://science.gov.au/scienceGov/ScienceAndResearchP riorities/Pages/default.aspx Our Industry Innovation and Competitiveness Agenda states that we will align Australia’s research priorities with our comparative advantages and our Boosting the commercial returns from research paper calls for national science and research priorities and corresponding practical challenges The Science & Research Priorities and associated Practical Challenges will ensure that appropriate levels of public funding are allocated to research that addresses the most immediate problems facing the nation. They are neither exclusive; nor are they exhaustive.

9. Deakin University CRICOS Provider Code: 00113B NATIONAL SCIENCE & RESEARCH PRIORITIES Applicants should familiarise themselves with the Science & Research Priorities Fact Sheet and draft their application with the relevant Priority and Practical Challenge in mind

10. Deakin University CRICOS Provider Code: 00113B MAIN FEATURES – FUNDING & DURATION Minimum = $50,000 p.a Maximum = $300,000 p.a Duration = 2 to 5 years

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

12. Deakin University CRICOS Provider Code: 00113B MAIN FEATURES–SELECTION CRITERIA It is important that you read the selection criteria carefully The section on Significance & Innovation has been expanded substantially The section on Partner Organisation Commitment has been changed a little The research environment section has changed to focus on the “Project” research environment

13. Deakin University CRICOS Provider Code: 00113B MAJOR CHANGES TO LP PROGRAMME Clarification of Partner Organisation conditions –3 conditions must be met Simplification of CI eligibility criteria –Must be at least 0.2 FTE at an eligible organisation; OR holder of an Emeritus Appointment Clarification of several sections including IP Reference to the new ARC Research Integrity and Research Misconduct Policy

14. Deakin University CRICOS Provider Code: 00113B MAJOR CHANGES TO LP PROJECTS Objectives updated Selection criteria updated to reflect the Government’s Boosting the Commercial Returns from Research Agenda On costs raised from 28% to 30% if requesting from the ARC Teaching relief for CI’s raised to a total value for the project of $50,000 per annum

15. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATIONS Can be Australian or overseas Partner Organisation (PO) You do not need a PI from each PO but we STRONGLY recommend that you do Any Conflict of Interest must be declared to Deakin Research prior to submission (usually applies to CI conflicts with Partner Organisations)

16. 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

17. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION REQUIREMENTS 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

18. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION CASH CONTRIBUTIONS Partner Organisation Cash Contributions cannot be sourced from funds appropriated by the Commonwealth or an Australian State or Territory for the purposes of research nor from funds previously used to leverage government research or research infrastructure funding PO’s whose funds are appropriated predominantly from Commonwealth or Australian State or Territory funding sources for the purposes of research are restricted in their capacity to contribute

19. Deakin University CRICOS Provider Code: 00113B PARTNER ORGANISATION CASH CONTRIBUTIONS Cash and/or in-kind contributions from these Partner Organisations are only eligible to make up a maximum of 25% of the required PO contribution This maximum 25% is the combined eligible contribution from PO’s of this type and is not the maximum per individual PO of this type

20. Deakin University CRICOS Provider Code: 00113B PARTNER CONTRIBUTIONS PO’s combined eligible contributions (cash & in-kind) must at least match the total ARC request PO’s combined eligible cash contribution must be at least 25% of the total ARC request but we recommend aiming for 40 - 50% depending on the industry sector of the PO

21. Deakin University CRICOS Provider Code: 00113B PO EXEMPTIONS FROM CASH CONTRIBUTION REQUIREMENT Defined at section D2 Archive and Public Record Offices Charities Herbaria, museums or collecting organisations Not-for-profit organisations Start-up companies - commercialising R&D with average annual revenue not exceeding $5M over past 2 years & majority of employees and assets in Australia

22. Deakin University CRICOS Provider Code: 00113B PO EXEMPTIONS FROM CASH CONTRIBUTION REQUIREMENT If ALL your Partner Organisations are exempt, the proposal does not have to meet the overall Cash Contribution requirement however we strongly encourage a substantial contribution in cash despite this

23. 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? 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

24. 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

25. 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 strategic plan? –How is the project of value to each PO? Make sure your PO is genuinely committed –Commitment should be evident throughout –Think about including PIs as co-authors

26. 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 We strongly advise that each PO 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

27. 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

28. 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: –Have the capacity to make a serious commitment to carrying out the project and cannot assume the role of a supplier of resources for work that will largely be placed in the hands of others

29. 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

30. 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

31. Deakin University CRICOS Provider Code: 00113B CHIEF INVESTIGATORS (CI’S) TIPS When formulating teams - d o 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

32. Deakin University CRICOS Provider Code: 00113B CHIEF INVESTIGATORS (CI’S) TIPS CIs from other Universities – the proposal should provide a clear understanding of their role and what is likely to happen if the ARC funding is reduced As a minimum, have detailed email correspondence regarding how each party will reduce their roles and plan, in advance, for funding cuts

33. Deakin University CRICOS Provider Code: 00113B A REMINDER As per the University’s NCG process - applicants should have been working with their Faculty/Institute & Deakin Research – Commercial to systematically develop their LP application since at least July 2015 Proposals should be well advanced - applicants should just need to tweak in light of the new funding rules

34. Deakin University CRICOS Provider Code: 00113B UNIVERSITY REVIEW The DVCR has advised that all Linkage applications will undergo a University wide grantsmanship review All applicants will need to read and review 2 other applications –It is imperative that proposals be finalised by 14 October 2015 to enable the distribution of proposals

35. Deakin University CRICOS Provider Code: 00113B WHERE TO FROM HERE? The DVC(R) has stated that, if no firm commitment has been received in relation to PO contributions by 1 October 2015, the application should be withdrawn

36. 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-2016http://www.deakin.edu.au/research/researcher- support/grants-and-contracts/find-funding/arc- linkage-projects-2016 Includes: – timelines, specific resources (salary calculators, application templates, stipend rates) and links to ARC documentation

37. 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

38. Deakin University CRICOS Provider Code: 00113B QUESTIONS?