Funding Rules for schemes under the Linkage Program for the years
2014–2016—Industrial Transformation Research Hubs, Industrial Transformation Training Centres, Linkage Projects and Linkage Infrastructure, Equipment and Facilities
Australian Research Council Act 2001
I, Christopher Pyne , Minister for Education, having satisfied myself of the matters set out in section 59 of the Australian Research Council Act 2001, approve these Funding Rules under section 60 of that Act.
Dated
12 August 2014
Christopher Pyne
Minister for Education
Table of Contents
Key Dates. 6
Contacts. 6
Part A – General Rules for schemes under the Linkage Program... 7
A1... Name of Funding Rules. 7
A2... Commencement.. 7
A3... Definitions. 7
A4... Introduction.. 10
A4.1... Overview 10
A4.2... Research/Activities Supported 11
A5. . Research/Activities Not Supported.. 11
A6... Funding.. 12
A6.1 .. Level and Period of Funding 12
A7... Budget Items Supported.. 12
A8... Budget Items Not Supported.. 13
A9... Organisation General Eligibility Requirements. 14
A9.1... Eligible Organisations 14
A9.2... Partner Organisations 14
A9.3... Other Organisations 16
A10. Participant General Eligibility Requirements. 16
A10.1 Eligibility Criteria for Participants 16
A10.2. Eligibility Criteria for Chief Investigators (CIs) 16
A10.3. Eligibility Criteria for Partner Investigators (PIs) 17
A11. Eligibility process. 17
A12. Submission of Proposals. 17
A12.1. Proposals 17
A12.2. Submission of Proposals in RMS 18
A12.3. Closing Time for Proposals 18
A12.4. Certification in RMS 18
A12.5. Conflict of Interest 18
A13. Selection and Approval Process. 19
A13.1. Assessment and Selection Process 19
A13.2. Rejoinder 19
A13.3. Request Not to Assess 19
A13.4. Recommendations and Offer of Funding 20
A14. Appeals Process. 20
A15. Reporting Requirements. 21
A15.1. Progress Reports 21
A15.2. End of Year Reports 21
A15.3. Final Report 21
A16. Fundamental Principles of Conducting Research.. 21
A16.1. Ethics and Research Practices 21
A16.2. Applicable Law 22
A16.3. Confidentiality 22
A16.4. Intellectual Property 23
A16.5. Publication and Dissemination of Research Outputs 23
A16.6. Misconduct, Incomplete or Misleading Information 23
A17. Eligible Organisations. 24
A17.1. Higher Education Organisations 24
A17.2. Additional Eligible Organisations 25
Part B – Scheme-specific rules for Industrial Transformation Research Hubs for funding commencing in 2014. 26
B1.... Interpretation.. 26
B2.... Additional Definitions for Part B.. 26
B3.... Overview... 26
B4.... Objectives. 26
B5.... Selection Criteria.. 27
B6.... Funding.. 28
B6.1.... Level and Period of Funding 28
B7.... Budget Items Supported.. 28
B8.... Organisational Types, Roles and Eligibility.. 28
B8.1.... Partner Organisations General Requirements 28
B8.2.... Partner Organisation Contribution Requirements 29
B9.... Roles and Eligibility for Participants. 29
B9.1.... Participant Roles and General Eligibility 29
B9.2.... Eligibility Criteria for a Hub Director 29
B10.. Proposals. 30
B11.. Assessment and Selection Process. 30
B12.. Reporting Requirements. 30
Part C – Scheme-specific rules for Industrial Transformation Training Centres for funding commencing in 2015. 32
C1... Interpretation.. 32
C2... Additional Definitions for Part C.. 32
C3... Overview... 32
C4... Objectives. 32
C5... Selection Criteria.. 33
C6... Funding.. 34
C6.1.... Level and Period of Funding 34
C7... Budget Items Supported.. 34
C8... Organisational Types, Roles and Eligibility.. 35
C8.1.... Eligible Organisations Requirements 35
C8.2.... Partner Organisations General Requirements 35
C8.3.... Partner Organisation Contribution Requirements 35
C9... Roles and Eligibility for Participants. 35
C9.1.... Participant Roles and General Eligibility 35
C9.2.... Eligibility Criteria for a Training Centre Director 36
C10. Selection of Higher Degree by Research Candidates and Postdoctoral Fellows. 36
C10.1.. General 36
C10.2 . Roles and Eligibility for appointed Higher Degree by Research candidates and postdoctoral fellows 37
C10.3 . Extension of Higher Degree by Research candidates 37
C11. Proposals. 37
C12. Reporting Requirements. 38
Part D – Scheme-specific rules for Linkage Projects for funding commencing in 2015. 39
D1... Interpretation.. 39
D2... Additional Definitions for Part D.. 39
D3... Overview... 40
D4... Objectives. 40
D5... Selection Criteria.. 40
D6... Funding.. 41
D6.1... Level and Period of Funding 41
D7... Budget Items Supported.. 41
D8... Organisational Types, Roles, Eligibility and Contributions. 42
D8.1... Partner Organisations General Requirements 42
D8.2... Partner Organisation Contribution Requirements 42
D9... Roles and Eligibility for Participants. 43
D9.1... Participant Roles and General Eligibility 43
D10. Proposals. 43
D10.1. Number of Proposals and Cross-Scheme Eligibility 43
D11. ............................................................................. Reporting Requirements. 43
D11.1 Progress Reports 43
Part E – Scheme-specific rules for Linkage Infrastructure, Equipment and Facilities for funding commencing in 2016. 44
E1.... Interpretation.. 44
E2.... Additional Definitions for Part E.. 44
E3.... Overview... 44
E4.... Objectives. 44
E5.... Selection Criteria.. 44
E6.... Funding.. 46
E6.1.... Level and Period of Funding 46
E7.... Budget Items Supported.. 46
E8.... Budget Items Not Supported.. 47
E9. .. Organisational Roles and Eligibility.. 47
E9.1.... Eligible Organisations 47
E9.2.... Contributions 47
E9.3.... Collaboration 48
E10.. Roles and Eligibility for Participants. 48
E10.1.. Participant Roles and General Eligibility 48
E10.2.. Eligibility Criteria for Chief Investigators (CIs) 48
E10.3.. Eligibility Criteria for Partner Investigators (PIs) 49
E11.. Limits on Projects and Proposals. 49
E12. ............................................................................. Reporting Requirements. 49
E12.1 . Progress Reports 49
E12.2.. Final Reports 49
Key Dates
Please refer to the Important Dates page on the ARC website at www.arc.gov.au/media/important_dates.htm for key dates and updates relevant to these Funding Rules.
Contacts
Researchers should direct requests for information to the Research Office within their organisation.
ARC Contacts can be located on the ARC website at www.arc.gov.au.
Appeals must be addressed and sent:
by mail to:
or
by courier to:
The Appeals Officer
Australian Research Council
GPO Box 2702
CANBERRA ACT 2601
Or by email to: appeals@arc.gov.au
The Appeals Officer
Australian Research Council
Level 2, 11 Lancaster Place,
Canberra Airport
CANBERRA ACT 2609
Part A – General Rules for schemes under the Linkage Program A1. Name of Funding Rules
These Funding Rules are the Australian Research Council Funding Rules for schemes under the Linkage Program for the years
2014–2016—Industrial Transformation Research Hubs, Industrial Transformation Training Centres, Linkage Projects and Linkage Infrastructure, Equipment and Facilities.
These Funding Rules apply to: Industrial Transformation Research Hubs for funding commencing in 2014, Industrial Transformation Training Centres for funding commencing in 2015, Linkage Projects for funding commencing in 2015, and Linkage Infrastructure, Equipment and Facilities for funding commencing in 2016.
A2. Commencement
These Funding Rules shall take effect upon registration on the Federal Register of Legislative Instruments.
A3. Definitions
In these Funding Rules, unless the contrary intention appears:
Adjunct or Emeritus Appointment or equivalent means that an Eligible Organisation has a formal agreement with a researcher which establishes an ongoing association with the Eligible Organisation, of the nature of an emeritus or honorary academic or visiting fellow. The ARC may seek documentary evidence of such an association if it is considered necessary.
Administering Organisation means an Eligible Organisation which submits a Proposal for funding and which will be responsible for the administration of the funding if the Project is approved for funding.
Applicant means the Administering Organisation. Funding under the Linkage Program is provided to Administering Organisations, not to individual researchers.
ARC means the Australian Research Council, as established under the ARC Act.
ARC Act means the Australian Research Council Act 2001.
ARC Award means a named Award position within any ARC scheme where the salary is funded wholly or partly by the ARC.
ARC College of Experts means a body of experts of international standing appointed to assist the ARC to identify research excellence, moderate external assessments and recommend fundable Proposals.
ARC Fellowship means a named Fellowship position within any ARC scheme where the salary is funded wholly or partly by the ARC.
Cash Contribution means the cash from an organisation for the Project which is transferred to and managed by the Administering Organisation.
Chief Investigator (CI) means a researcher who satisfies the eligibility criteria for a CI under these Funding Rules.
Commencement Date means the scheme specific date on which funding commences as defined in Parts B, C, D and E of these Funding Rules.
Commonwealth means the Commonwealth of Australia.
Commonwealth Fellowship means a position held by a researcher where the salary is funded wholly or partly by the Commonwealth and where the researcher in that position was a named participant in a Proposal.
Conflict of Interest means any conflict of interest, any risk of a conflict of interest and any apparent conflict of interest arising through a party engaging in any activity, participating in any association, holding any membership or obtaining any interest that is likely to conflict with or restrict that party participating in the Project. The ARC Conflict of Interest and Confidentiality Policy is available on the ARC website at www.arc.gov.au.
Consultancy means the provision of specialist advice, analysis, assistance, services or products to another organisation(s), generally where the consultancy services are for the sole or preferred use of that other organisation(s).
Eligible Organisation means an organisation listed in A17.
Field Research means the collection of information integral to the Project outside a laboratory, library or workplace setting and often in a location external to the researcher’s normal place of employment.
Funding Agreement means the agreement entered into by the ARC and an Administering Organisation when a Proposal from that organisation is approved for funding.
GST has the meaning as given in section 195-1 of the A New Tax System (Goods and Services Tax) Act 1999.
In-Kind Contribution means a contribution of goods, services, materials or time to the Project from an individual, business or organisation. Values should be calculated based on the most likely actual cost, for example current market, preferred provider or internal provider rates/valuations/ rentals/charges (that is in the financial year of the date of the Proposal’s submission) of the costs of labour, work spaces, equipment and databases. The calculations covering time and costs should be documented by the Administering Organisation. The ARC may require these calculations to be audited.
Instructions to Applicants means a set of instructions prepared by the ARC to assist Applicants in completing the application form and associated documentation.
Linkage Program, for the purposes of eligibility, refers to the schemes funded under the Linkage Program of the NCGP which consist of: Linkage Projects, Linkage Infrastructure, Equipment and Facilities, Industrial Transformation Training Centres, Industrial Transformation Research Hubs, and other schemes as updated from time to time.
Medical and Dental Research as defined in the ARC Medical Research Policy available on the ARC website at www.arc.gov.au.
Minister means the Minister from time to time responsible for the administration of the ARC Act.
NCGP means the ARC’s National Competitive Grants Program.
NHMRC means the National Health and Medical Research Council.
Other Eligible Organisation means an Eligible Organisation listed on a Proposal which is not the Administering Organisation.
Other Organisation means an organisation which is listed on a Proposal and is not an Eligible Organisation or a Partner Organisation.
Partner Investigator (PI) means a researcher who satisfies the eligibility criteria for a PI under these Funding Rules.
Partner Organisation means an Australian or overseas organisation, other than an Eligible Organisation, which satisfies the eligibility requirements for a Partner Organisation and is to be a cash and/or in-kind contributor to the Project.
PhD is a qualification that meets the level 10 criteria of the Australian Qualifications Framework Second Edition January 2013.
Project means a Proposal approved by the Minister to receive funding from the ARC.
Proposal means a request to the ARC for the provision of funding which is submitted in accordance with the Funding Rules.
Research environment means the laboratory, department, school, centre or institute within the Administering Organisation or Partner Organisation where research will be undertaken, and which provides opportunities for knowledge growth, innovation, collaboration, mentoring and student training.
Research impact is the demonstrable contribution that research makes to the economy, society, culture, national security, public policy or services, health, the environment, or quality of life, beyond contributions to academia.
Research infrastructure means assets, facilities, services, and coordinated access to major national and/or international research facilities or consortia which directly support research in higher education organisations and more broadly and which maintain the capacity of researchers to undertake excellent research and deliver innovative outcomes.
Research Office means a business unit within an Eligible Organisation that is responsible for administrative contact with the ARC regarding Proposals and Projects.
RMS means the ARC’s online Research Management System.
Selection Advisory Committee (SAC) means a group of experts appointed to assist the ARC to evaluate Proposals and to provide a recommendation for funding to the ARC.
Special Condition means a special condition specified in a Funding Agreement which governs the use of the funding provided by the ARC.
Strategic Research Priorities means priority research areas identified by the Australian Government, and available via the ARC website at www.arc.gov.au.
Technical workshop services means specialised construction and maintenance activities carried out by a technician, often within a dedicated facility for working with materials such as wood, glass, metal, plastics or electronics.
UA means Universities Australia.
Additional scheme-specific definitions are detailed in Part B, Part C, Part D and Part E of these Funding Rules.
A4. Introduction
A4.1 Overview
A4.1.1 These Funding Rules are a legislative instrument current as at the date of signing by the Minister and have been prepared in accordance with the requirements of the ARC Act in force then.
A4.1.2 These Funding Rules relate to schemes funded under the Linkage Program of the ARC’s National Competitive Grants Program. The Linkage Program 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.
The objectives of the Linkage Program are to deliver outcomes of benefit to Australia and build Australia’s research and innovation capacity through support for:
a. collaborative research between university-based researchers and researchers in other sectors;
b. research training and career opportunities that enable Australian and international researchers and research students to work with industry and other end-users; and
c. research in priority areas.
A4.1.3 The Linkage Program schemes provide funding to Administering Organisations to support research Projects.
A4.1.4 Linkage Program funding will be awarded on the basis of excellence through a competitive peer review process for each scheme.
A4.1.5 The ARC undertakes periodic evaluations of the performance and administration of the schemes under the NCGP.
A4.1.6 The Key Performance Indicators (KPIs) for the Linkage Program are specified each year in the ARC Portfolio Budget Statements and the ARC Strategic Plan. The KPIs focus on long-term outcomes as well as medium-term outcomes relating to building Australia’s research capacity, for example, research careers and training, contributions in areas of national need and research collaboration. These are addressed each year in the ARC’s annual report.
A4.1.7 For details of scheme-specific overviews refer to Part B, Part C, Part D and Part E.
A4.2 Research/Activities Supported
A4.2.1 For the purposes of these Funding Rules, research is defined as the creation of new knowledge and/or the use of existing knowledge in a new and creative way so as to generate new concepts, methodologies, inventions and understandings. This could include synthesis and analysis of previous research to the extent that it is new and creative.
A4.2.2 This definition of research is consistent with a broad notion of research and experimental development comprising “creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man [humankind], culture and society, and the use of this stock of knowledge to devise new applications”[1] .
A5. Research/Activities Not Supported A5.1.1 Except where such activities meet the definition of research in subsection A4.2.1 the Industrial Transformation Training Centres, Industrial Transformation Research Hubs and Linkage Projects schemes do not support production of:
a. compilation of data, computer programs, research aids and tools;
b. descriptive data compilations, catalogues or bibliographies; or
c. teaching materials.
A5.1.2 Except where such activities meet the definition of research in subsection A4.2.1, the Linkage Infrastructure, Equipment and Facilities scheme does not support research infrastructure for production of teaching materials.
A5.1.3 The Linkage Program does not support Medical and Dental Research, as defined in section A3 of these Funding Rules.
A5.1.4 The Industrial Transformation Training Centres, Industrial Transformation Research Hubs and Linkage Projects schemes do not support:
a. Projects where one or more Partner Organisation(s) is seeking expert external assistance, not available within their own organisation, in order to develop specific applications or outputs which:
b. involve little innovation or are low risk; or
c. the ARC deems to be essentially contracted research or a Consultancy arrangement.
A6. Funding
A6.1 Level and Period of Funding
A6.1.1 All amounts referred to in these Funding Rules are to be read as exclusive of GST (if any), unless expressly stated otherwise.
A6.1.2 The level and period of funding as well as details on supported budget items for each of the schemes under the Linkage Program are outlined in each scheme-specific Part of these Funding Rules.
A6.1.3 The ARC reserves the right to recommend funding levels which may be less than those requested in the Proposal, and a duration of ARC funding which may differ from that requested in the Proposal.
A6.1.4 The ARC will not duplicate funding for research or research infrastructure funded by the Commonwealth.
A6.1.5 The Administering Organisation is responsible for any and all financial and taxation implications associated with receiving funds.
A7. Budget Items Supported
A7.1.1 Under the Industrial Transformation Training Centres, Industrial Transformation Research Hubs and Linkage Projects schemes, budget items that directly support a research project may be funded, including:
a. access to national and international research and infrastructure facilities including specialist archives, collections and databases;
b. access to Technical Workshop Services linked to and justified explicitly against the Project (for example, machine tools and qualified technicians);
c. expenditure on Field Research essential to the Project, including technical and logistical support, and travel and accommodation costs, for CIs, PIs, Higher Degree by Research candidates, postdoctoral fellows and research support personnel;
d. expert services of a third party if the services are deemed to be directly related to and necessary for the proposed Project. Such services include, but are not limited to:
i. language translation services, transcribing services;
ii. purchase of bibliographical or archival material (electronic or hard copy); and
iii. data collection and analysis services;
e. equipment (and its maintenance) and consumables required for the Project. Funding will not be provided for equipment or consumables that are deemed to be for broad general use;
f. specialised computer equipment and software essential to the Project;
g. travel costs essential to the Project, including economy travel costs for domestic and/or international travel and accommodation, not exceeding an average of $20,000 per year of the project. Funding is permitted for CIs, PIs, Higher Degree by Research candidates, postdoctoral fellows and research support personnel. Travel costs related to carrying out Field Research are supported separately under A7.1.1.c and are not counted towards the average of $20,000 per year limit detailed in this subsection A7.1.1.g; and
h. workshops, focus groups and conferences that are necessary for the conduct of the proposed research (including reasonable hospitality costs such as morning tea, lunch and afternoon tea).
A7.1.2 All budget items must be justified in the Proposal to the satisfaction of the ARC and the assessors involved in the peer review process.
A7.1.3 For all other scheme-specific budget items supported, refer to Part B, Part C, Part D and Part E of these Funding Rules.
A8. Budget Items Not Supported
A8.1.1 Budget items which will not be supported by ARC funding and should not be requested in the budget include:
a. bench fees or similar laboratory access fees;
b. capital works and general infrastructure costs (except for as permitted under the LIEF scheme in section E7);
c. costs not directly related to research or the Project, including but not limited to professional membership fees (except for as permitted under the LIEF scheme in section E7), professional development courses, fees for patent application and maintenance, equipment for live music or drama performances, visas, relocation costs, costs of dependents, entertainment costs, hospitality costs, insurance, and other indirect costs;
d. fees for international students or the Higher Education Contribution Scheme (HECS) and Higher Education Loan Program (HELP) liabilities for students; and
e. salaries and/or on costs, in whole or in part, for CIs or PIs.
A8.1.2 The following basic facilities must be provided and funded by the Administering Organisation, where relevant, and will not be funded by the ARC:
a. access to a basic library collection;
b. access to film or music editing facilities;
c. accommodation (for example, laboratory and office space, suitably equipped and furnished);
d. provision of basic computer facilities and standard software; and
e. standard reference materials or funds for abstracting services.
A8.1.3 For all other scheme-specific budget items not supported, refer to Part E of these Funding Rules.
A8.1.4 The Administering Organisation must ensure that any organisational In-kind Contributions in the budget section of the Proposal do not include basic salary for any Commonwealth Fellowships, unless it is salary over and above the Commonwealth component supported.
A9. Organisation General Eligibility Requirements
A9.1 Eligible Organisations
A9.1.1 A Proposal may only be submitted through the Research Office of an Eligible Organisation listed at Section A17.
A9.1.2 The Eligible Organisation that submits the Proposal will be the Administering Organisation and all other Eligible Organisations listed on the Proposal will be Other Eligible Organisations. A Proposal may only be submitted once in the same funding scheme round regardless of any variation in the proposed research, the listed researchers and/or Administering Organisation.
A9.1.3 The Administering Organisation and each Other Eligible Organisation on the Proposal must demonstrate a significant contribution of cash and/or in kind resources to the Project, having regard to the total cost of the Project and the relative contribution of any CI(s) at the organisation.
A9.1.4 For additional scheme-specific Eligible Organisation eligibility requirements refer to Parts C and E of these Funding Rules.
A9.2 Partner Organisations
A9.2.1 To be eligible as a Partner Organisation, an organisation cannot be:
a. an Eligible Organisation;
b. a controlled entity of any Eligible Organisation; or
c. an entity (for example a joint venture) where more than 50 per cent is owned by one or more Eligible Organisations.
A9.2.2 For each Partner Organisation, three (3) conditions must be met. There must be:
a. evidence of new or on-going collaboration between the Partner Organisation and the Administering Organisation;
b. no duplication of Commonwealth funding for the research and/or activities funded for the Project; and
c. a contribution of cash and/or in-kind or other material resources from each Partner Organisation, having regard to the total cost of the Project and the relative contribution of each PI.
A9.2.3 A Proposal should include details of the collaborative arrangements proposed, including how each Partner Organisation is involved in the Project, and a Proposal submitted under the Industrial Transformation Training Centres, Industrial Transformation Research Hubs and Linkage Projects schemes should also detail how the Project fits into each Partner Organisation’s overall strategic plan and how the Project is of value to each of the Partner Organisation(s) involved.
A9.2.4 A Proposal submitted in RMS under the Industrial Transformation Training Centres, Industrial Transformation Research Hubs and Linkage Projects schemes must include a letter of support from each Partner Organisation. Each Partner Organisation’s letter of support must:
a. include the official letterhead;
b. be no more than two A4 pages;
c. include a brief profile of the organisation;
d. provide details of the Cash and/or In-kind Contributions;
e. demonstrate the source of its Cash Contribution (if a Cash Contribution is being made);
f. certify that no part of its Cash Contribution is drawn from funds previously appropriated or awarded from Commonwealth or Australian State or Territory sources for the purposes of research;
g. state its expectations about industry outcomes/products and market value (this subsection A9.2.4.g is not a requirement for letters under the Linkage Projects scheme);
h. provide details regarding how the Project aligns with the Partner Organisation’s objectives;
i. certify that it will meet the requirements outlined in a standard Funding Agreement, including the requirement to enter into arrangements regarding intellectual property; and
j. be signed by the Chief Executive Officer, or delegate.
A9.2.5 Partner Organisations named on a Proposal must participate for the duration of the Project unless otherwise approved by the ARC.
A9.2.6 Cash and in-kind contributions from Partner Organisation(s), must be specific to the Project and must not be part of a broader contribution to an Administering Organisation.
A9.2.7 The Proposal cannot include cash or in-kind contributions in years beyond the duration of the Project.
A9.2.8 Under the Industrial Transformation Training Centres, Industrial Transformation Research Hubs and Linkage Projects schemes, Partner Organisation 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 or research infrastructure funding.
A9.2.9 Under the Linkage Infrastructure, Equipment and Facilities scheme, Partner Organisation Cash Contributions cannot be sourced from funds awarded or appropriated by the Commonwealth or an Australian State or Territory for the purposes of the same research infrastructure as the Proposal, nor from funds previously used to leverage government research or research infrastructure funding.
A9.2.10 The Partner Organisation Cash Contribution must not be a contribution to salaries for CIs and PIs on the Project.
A9.2.11 In-kind contributions must be essential and central to the Project. It is the responsibility of the Administering Organisation to establish the merit of the case for recognition of In-kind Contributions.
A9.2.12 The ARC reserves the right to determine the value of Partner Organisation contributions and may determine contributions to be at levels that may differ from those submitted in a Proposal.
A9.2.13 A Partner Organisation contribution must be specified in Australian dollars and, subject to these Funding Rules, contributed at the specified level regardless of currency fluctuations.
A9.2.14 For additional scheme-specific Partner Organisation requirements refer to Part B, Part C and Part D of these Funding Rules.
A9.3 Other Organisations
A9.3.1 Organisations that are not Eligible Organisations and not Partner Organisations but that are listed on a Proposal will be Other Organisations.
A10. Participant General Eligibility Requirements
A10.1 Eligibility Criteria for Participants
A10.1.1 All named participants nominated in a Proposal must satisfy the eligibility criteria for the role they are to perform as at the scheme-specific commencement date and for the duration of the Project.
A10.1.2 If the ARC considers that a participant nominated in a Proposal does not meet the eligibility criteria for the role that participant is to perform, the Proposal may be deemed ineligible.
A10.1.3 All named participants nominated in a Proposal must take responsibility for the authorship and intellectual content of the Proposal, appropriately citing sources and acknowledging significant contributions where relevant.
A10.1.4 At the time of the submission of a Proposal, all obligations regarding previously funded Projects involving the named participants nominated on the Proposal must have been fulfilled to the satisfaction of the ARC. Such obligations include the provision of satisfactory Progress and Final Reports.
A10.2 Eligibility Criteria for Chief Investigators (CIs) A10.2.1 A researcher nominated on a Proposal as a CI must meet at least one of the following criteria at the scheme-specific Commencement Date and for the duration of the Project:
a. be an employee for at least half-time (50 per cent of Full Time Equivalent) at one Eligible Organisation; or
b. be a holder of an Emeritus, Adjunct or equivalent appointment at an Eligible Organisation listed at section A17 and not have a substantive (50 per cent of Full Time Equivalent or more) paid position elsewhere.
A10.2.2 A CI must take significant intellectual responsibility for the conception and conduct of the Project and for any strategic decisions called for in its pursuit and the communication of results. A CI must 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.
A10.2.3 A CI must have the experience and capacity to provide effective supervision, support and mentoring of research personnel, including Higher Degree by Research candidates and postdoctoral fellows, associated with the Project.
A10.2.4 A CI must normally reside predominantly in Australia for the full life of the Project. Any significant absences including fieldwork or study leave directly related to the Project must have approval from the Administering Organisation and must not total more than half the Project funding period.
A10.2.5 Researchers undertaking a Higher Degree by Research are not eligible to be CIs. Researchers must have their Higher Degree by Research conferred by the Commencement Date of the Project in order to be eligible.
A10.2.6 If a Proposal has been approved for funding and a CI is, at any time, no longer able to work as proposed on the Project, the Project may be continued provided that any replacement CI meets the CI eligibility criteria and is approved by the ARC.
A10.3 Eligibility Criteria for Partner Investigators (PIs) A10.3.1 A participant nominated as a PI on a Proposal must not meet the eligibility criteria for a CI.
A10.3.2 A participant who is an employee of an Eligible Organisation listed at section A17 who does not reside predominantly in Australia may be a PI.
A10.3.3 A PI must 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.
A10.3.4 Under the Industrial Transformation Training Centres, Industrial Transformation Research Hubs and Linkage Projects schemes a PI must:
a. take significant intellectual responsibility for the planning and conduct of the Project and for any strategic decisions called for in its pursuit and the communication of results; and/or
b. have the experience and capacity to provide effective supervision, support and mentoring of research personnel associated with the Project in their areas of expertise; and/or
c. have the relevant skills and experience to effectively manage a similar scale research Project.
A10.3.5 Under the Linkage Infrastructure, Equipment and Facilities scheme a PI must take significant intellectual responsibility for the conception and conduct of the Project and for any strategic decisions called for in its pursuit and the communication of results.
A10.3.6 If a Proposal has been approved for funding and a PI is, at any time, no longer able to work as proposed on the Project, the Project may be continued provided any replacement PI is approved by the ARC and meets the PI eligibility criteria.
A11. Eligibility process
A11.1.1 The ARC will assess whether a Proposal meets the requirements in these Funding Rules and may recommend that a Proposal that does not meet the requirements be deemed ineligible.
A11.1.2 A decision under subsection A11.1.1 may be made by the ARC at any stage during assessment of the Proposal and may result in non-progression of the Proposal through the assessment process.
A12. Submission of Proposals
A12.1 Proposals
A12.1.1 The Proposal must be submitted as a mature research plan presenting the proposed Project ready for implementation and must contain all the information necessary for its assessment without the need for further written or oral explanation, or reference to additional documentation, unless requested by the ARC.
A12.1.2 All details in the Proposal must be current at the time of submission.
A12.1.3 A Proposal may only be submitted once in the same funding round regardless of any variation in the proposed research, the listed participants and/or Administering Organisation.
A12.1.4 Applicants should note the eligibility criteria for access to other funding schemes, as expressed in the Funding Rules for those schemes. The ARC reserves the right to change these criteria in future funding rounds. Funding Rules for all ARC schemes may be found on the ARC website at www.arc.gov.au.
A12.1.5 Under the Industrial Transformation Training Centres, Industrial Transformation Research Hubs and Linkage Projects schemes, the Proposal must list all current funding and requested funding for the named participants under any ARC scheme, including Projects, Awards and Fellowships, or any other Commonwealth funding scheme.
A12.1.6 For additional scheme-specific requirements, including Proposal limits, refer to Part B, Part C, Part D and Part E of these Funding Rules.
A12.2 Submission of Proposals in RMS
A12.2.1 Administering Organisations must submit Proposals through RMS unless otherwise advised by the ARC.
A12.2.2 All Proposals must meet the format and content requirements, including certification, as set out in the RMS online form and the relevant scheme Instructions to Applicants.
A12.3 Closing Time for Proposals
A12.3.1 The online form completed within RMS must be submitted by the relevant scheme closing date and time on the Important Dates page on the ARC website at www.arc.gov.au.
A12.3.2 Additions, deletions and modifications will not be accepted after submission, unless invited by the ARC.
A12.3.3 Upon receipt of a written request with justification from the Administering Organisation the ARC may approve the withdrawal of a Proposal. The ARC will only approve such a request in exceptional circumstances.
A12.4 Certification in RMS
A12.4.1 The Administering Organisation must certify a Proposal online in RMS. Research Offices should ensure that the Research Office delegate role is authorised in RMS to certify and submit Proposals.
A12.4.2 The ARC reserves the right at any point in the process to seek evidence from the Administering Organisation to support the certification of Proposals.
A12.5 Conflict of Interest
A12.5.1 Each participant or organisation named in a Proposal must declare to the Administering Organisation at the date of submission any Conflict of Interest that exists or is likely to arise in relation to any aspect of the Proposal.
A12.5.2 If a Conflict of Interest exists or arises, the Administering Organisation must have documented processes in place for managing the Conflict of Interest for the duration of the Project. Such processes must comply with the NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2007), the ARC Conflict of Interest and Confidentiality Policy and any relevant successor documents.
A12.5.3 As part of the certification at A12.4.1, the Administering Organisation must certify that all Conflicts of Interest have been disclosed in accordance with A12.5.1, and that any Conflict of Interest will be managed in accordance with A12.5.2.
A13. Selection and Approval Process
A13.1 Assessment and Selection Process
A13.1.1 Assessment of Proposals is undertaken by the ARC, which has the right to make recommendations for funding to the Minister, based on any number of assessments or solely on the basis of its expertise.
A13.1.2 All Proposals will be considered against the eligibility criteria for the relevant scheme and compliance with these Funding Rules.
A13.1.3 All Proposals may be:
a. assigned to independent assessors, from a range of organisations, who will assess and report, which may include written comments, on the Proposal against the selection criteria; and
b. ranked and recommended a budget, relative to other Proposals, by the ARC College of Experts or a SAC, on the basis of the Proposal, any assessors’ reports and any rejoinder.
A13.1.4 The ARC may cease the progression of Proposals at any time during the selection process. Grounds for cessation include, but are not limited to:
a. not meeting the eligibility requirements set out in these Funding Rules; or
b. providing incomplete, inaccurate or misleading information.
A13.1.5 Following the recommendations of the ARC College of Experts or a SAC, the CEO will make recommendations to the Minister in relation to which Proposals should be approved for funding, which Proposals should not be approved for funding, and the level of funding and duration of Projects.
A13.1.6 The ARC has procedures in place for managing organisational and personal Conflicts of Interest for assessors, members of the ARC College of Experts or SAC, members of other ARC Committees and ARC staff. Details of these procedures are available on the ARC website at www.arc.gov.au/about_arc/coe_guidelines.htm#conflict.
A13.1.7 For all other scheme-specific requirements relating to the assessment and selection process, refer to Part B of these Funding Rules.
A13.2 Rejoinder
A13.2.1 The Administering Organisation may be given the opportunity for a rejoinder to assessors’ written comments, and to provide any additional information requested by the ARC. Names of assessors will not be provided to the Administering Organisation or to Proposal participants.
A13.3 Request Not to Assess
A13.3.1 Administering Organisations may name any person or persons whom they do not wish to assess a Proposal by submitting a ‘Request Not to Assess’ form as detailed on the ARC website at www.arc.gov.au. This form must be received by the ARC by the relevant scheme closing date and time available on the Important Dates page on the ARC website at www.arc.gov.au.
While the ARC may accommodate such requests, only one request may be submitted per Proposal and any request containing more than three (3) individual assessors to be excluded for a Proposal must be directly supported in writing by the Deputy Vice-Chancellor (Research) or equivalent of the Administering Organisation.
A13.4 Recommendations and Offer of Funding
A13.4.1 In accordance with the ARC Act, the ARC CEO will submit funding recommendations to the Minister for consideration. The Minister will determine which Proposals will be approved and the amount and timing of funding to be paid to Administering Organisations for approved Proposals.
A13.4.2 Under the ARC Act, the Minister must not approve for funding any Proposal that fails to meet the eligibility criteria set out in these Funding Rules.
A13.4.3 All Administering Organisations will be notified of the outcomes of their Proposals (including Proposals not recommended for funding). Outcomes, funding allocations and other relevant information about the successful Proposals will be published on the ARC website.
A13.4.4 Administering Organisations whose Proposals are approved will be notified in a letter of offer that will indicate the funding to be offered and provided with a copy of a Funding Agreement for signing.
A13.4.5 The ARC may vary the funding approval if, in the opinion of the ARC, the particular circumstances of the Project warrant variation. Any variation or change will accord with the relevant Funding Rules and Funding Agreement.
A13.4.6 If the ARC funding approved for a Project varies from the amount requested, pro rata adjustments may be made to the Partner Organisation contributions.
A14. Appeals Process
A14.1.1 Applicants for funding under the schemes of the NCGP are able to submit an appeal against administrative process issues. The appeals process is designed to ensure that the Proposal has been treated fairly and consistently in the context of selection procedures.
A14.1.2 Appeals will be considered only against administrative process issues and not against committee decisions, assessor ratings and comments or the assessment outcome.
A14.1.3 Appeals must be submitted by the Administering Organisation on the ARC Appeals Form on the ARC website at www.arc.gov.au, authorised by a Deputy Vice-Chancellor (Research) or equivalent. Appeals must be received within 28 days of the date of the notification to the Administering Organisation of the outcome of Proposals. The ARC will not accept appeals later than 5.00 pm (AEDT/AEST) on the appeals submission due date.
A14.1.4 Appeals must be sent to the Appeals address advised at the beginning of these Funding Rules. The ARC will accept both electronic and hard copy Appeal submissions.
A14.1.5 Applicants for funding may at any time seek to appeal ARC decisions using available external appeal options. Regarding available options for external appeal, the Administrative Appeals Tribunal does not have general power to review ARC decisions.
A15. Reporting Requirements
Details of ARC reporting requirements can be found on the ARC website at www.arc.gov.au. For additional scheme-specific reporting requirements, refer to Part D and Part E of these Funding Rules.
A15.1 Progress Reports
A15.1.1 When required, Progress Reports must be submitted by 31 March in the year following each calendar year for which the funding was awarded as directed by the ARC.
A15.1.2 If the ARC is not satisfied with the progress of any Project, further payment of funds will not be made until satisfactory progress has been made on the Project. If satisfactory progress is still not achieved within a reasonable period of time, the funding may be terminated and all outstanding monies will be recovered by the ARC.
A15.1.3 For all other scheme-specific reporting requirements relating to Progress Reports, refer to Part B, Part C, Part D and Part E of these Funding Rules.
A15.2 End of Year Reports
A15.2.1 The Administering Organisation must submit an End of Year Report by 31 March in the year following each calendar year for which the funding was awarded, in accordance with the instructions to be provided by the ARC each year.
A15.3 Final Report
A15.3.1 A Final Report must be submitted for the Project within twelve (12) months of the final payment or within twelve (12) months of the final approved carryover of funds.
A15.3.2 The Final Report must address compliance with the ARC Open Access Policy as detailed at A16.5.
A15.3.3 If any reports are not submitted or are not satisfactory to the ARC this will be noted against future Proposals submitted by all participants on the Project.
A15.3.4 The ARC may also seek additional information about subsequent publications after submission of the Final Report.
A15.3.5 For all other scheme-specific reporting requirements relating to Final Reports, refer to Part E of these Funding Rules.
A16. Fundamental Principles of Conducting Research
A16.1 Ethics and Research Practices
A16.1.1 All Proposals and ARC-funded research projects must conform to the principles outlined in the following and their successor documents. Links to these documents are available on the ARC website at www.arc.gov.au:
a. NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2007);
b. as applicable, the NHMRC/ARC/UA National Statement on Ethical Conduct in Human Research (2007, updated 2014);
c. as applicable, NHMRC Values and Ethics: Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health Research (2003);
d. as applicable, Australian Institute of Aboriginal and Torres Strait Islander Studies Guidelines for Ethical Research in Australian Indigenous Studies (2012); and
e. as applicable, the Australian Code for the care and use of animals for scientific purposes (2013) endorsed by the NHMRC, the ARC, the Commonwealth Scientific and Industrial Research Organisation and UA.
A16.1.2 If there is any conflict between a successor document and its predecessor, then the successor document prevails to the extent of any inconsistency.
A16.2 Applicable Law
A16.2.1 The ARC is required to comply with the requirements of the Privacy Act 1988, Freedom of Information Act 1982 and the Criminal Code 1995.
A16.3 Confidentiality
A16.3.1 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:
a. disclosed by the ARC to its advisors (including assessors), officers, employees or other third parties in order to assess, evaluate or verify the quality, accuracy or completeness of a Proposal;
b. disclosed by ARC personnel to third parties to enable effective management or auditing of the Linkage Program schemes or any Funding Agreement;
c. disclosed by the ARC to the relevant Minister(s) and their staff;
d. shared by the ARC within the agency, or with another Commonwealth Department or agency, where this serves the Commonwealth’s legitimate interests;
e. authorised or required by law to be disclosed;
f. disclosed in accordance with any other provision of these Funding Rules or the Funding Agreement; or
g. in the public domain.
A16.3.2 Where information contained in a Proposal is made available to third parties for evaluation, assessment or audit purposes the ARC will require the third parties to maintain the confidentiality of the material, including any intellectual property contained in the Proposal.
A16.3.3 In addition to the exemptions listed at A16.3.1, the ARC may publicise and report offers or awards of funding, including the following information about the proposed Project: the name of the Administering Organisation and any other parties involved in or associated with the Project; named participants and their organisations; the proposed research program (the title and summary descriptions of the Project); infrastructure, equipment and/or facilities funded; classifications and international collaboration country names; and the level and nature of financial assistance from the ARC. Administering Organisations should ensure that information contained in the Proposal title and summary descriptions would not, if released, compromise their own requirements for confidentiality (such as protection of intellectual property).
A16.3.4 In making public information about a Proposal which has been approved for funding, the ARC may use a Project description, including title and summary, which may differ from that provided in the Proposal.
A16.4 Intellectual Property
A16.4.1 The ARC does not claim ownership of any intellectual property in a Proposal or in any research arising from a Project.
A16.4.2 The Administering Organisation must adhere to an intellectual property policy, approved by the Administering Organisation’s governing body, which has as one of its aims the maximisation of benefits to Australia arising from research. Unless otherwise approved by the Commonwealth, the Administering Organisation’s intellectual property policy must comply with the National Principles of Intellectual Property Management for Publicly Funded Research and/or any successor document/s. These document/s are available on the ARC website at www.arc.gov.au.
A16.5 Publication and Dissemination of Research Outputs
A16.5.1 All Proposals and ARC-funded research projects must comply with the ARC Open Access Policy on the dissemination of research findings, which is available at www.arc.gov.au. In accordance with this policy, any publications arising from a Project must be deposited into an open access institutional repository within a twelve (12) month period from the date of publication.
A16.5.2 Researchers and institutions have an obligation to care for and maintain research data in accordance with the Australian Code for the Responsible Conduct of Research (2007). The ARC considers data management planning an important part of the responsible conduct of research and strongly encourages the depositing of data arising from a Project in an appropriate publically accessible subject and/or institutional repository.
A16.6 Misconduct, Incomplete or Misleading Information
A16.6.1 If the ARC considers that a Proposal is incomplete, inaccurate or contains false or misleading information, or involves misconduct, the ARC may in its absolute discretion decide to recommend that the Proposal not be approved for funding.
A16.6.2 A decision under subsection A16.6.1 may be made by the ARC at any stage during the assessment of the Proposal and may result in non-progression of the Proposal through the assessment process.
A16.6.3 Examples of misleading information and misconduct include:
a. providing fictitious research opportunity and performance evidence;
b. plagiarism;
c. making false claims in relation to the authorship of the Proposal;
d. failing to make acknowledgement of intellectual, design or other significant contributions to the Proposal;
e. making false claims in publications records (such as describing a paper as accepted for publication when it has only been submitted);
f. making false claims in relation to qualifications and/or appointments;
g. making false certifications; or
h. 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 (such as any affiliations or financial interest in any organisation that has a direct interest in the matter or outputs of the Project).
A17. Eligible Organisations
A17.1 Higher Education Organisations
Australian Capital Territory
The Australian National University
University of Canberra
New South Wales
Australian Catholic University
Charles Sturt University
Macquarie University
Southern Cross University
The University of New England
The University of New South Wales
The University of Newcastle
The University of Sydney
University of Technology, Sydney
University of Western Sydney
University of Wollongong
Northern Territory
Batchelor Institute of Indigenous Tertiary Education
Charles Darwin University
Queensland
Bond University
Central Queensland University
Griffith University
James Cook University
Queensland University of Technology
The University of Queensland
University of the Sunshine Coast
University of Southern Queensland
South Australia
The Flinders University of South Australia
The University of Adelaide
University of South Australia
Tasmania
University of Tasmania
Victoria
Deakin University
Federation University Australia
La Trobe University
Monash University
Royal Melbourne Institute of Technology (RMIT University)
Swinburne University of Technology
The University of Melbourne
University of Divinity
Victoria University
Western Australia
Curtin University of Technology
Edith Cowan University
Murdoch University
The University of Notre Dame Australia
The University of Western Australia
A17.2 Additional Eligible Organisations
Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS)
Additional Eligible Organisations may be specified on a scheme by scheme basis.
Part B – Scheme-specific rules for Industrial Transformation Research Hubs for funding commencing in 2014 B1. Interpretation B1.1 Part B contains the scheme-specific rules for Industrial Transformation Research Hubs for funding commencing in 2014.
B1.2 Funding for approved Projects for Industrial Transformation Research Hubs for funding commencing in 2014 will commence with effect from 1 July 2014.
B2. Additional Definitions for Part B For the purposes of this Part:
B2.1 Hub Director means a researcher who satisfies the eligibility criteria for a Hub Director under these Funding Rules.
B2.3 Hub Manager means a person with relevant skills and experience who is able to manage and facilitate the day-to-day operation of the Hub.
B2.4 Industry Advisory Panel (IAP) means a group of experts drawn from both academia and industry and appointed to assist the ARC to identify and to evaluate excellence in industry-relevant research.
B2.5 Industrial Transformation Priorities means targeted research areas identified by the ARC and updated from time-to-time on the ARC website at www.arc.gov.au.
B2.6 ITRH means the Industrial Transformation Research Hubs scheme.
B2.7 ITTC means the Industrial Transformation Training Centres scheme.
B2.8 Key Performance Indicators means a set of quantifiable measures that an ARC Research Hub uses to monitor and report on progress of research outcomes.
B3. Overview B3.1. The Industrial Transformation Research Hubs scheme will provide funding to Eligible Organisations to engage in cutting edge research on new technologies and economic and social transformation and support the development of research in the Industrial Transformation Priorities. Research Hubs will engage Australia’s best researchers in issues facing the new industrial economies and training the future workforce. The scheme supports collaborative research activity between the Australian higher education sector and industry designed to focus on strategic outcomes not independently realisable.
B4. Objectives B4.1 The objectives of the Industrial Transformation Research Hubs scheme are to:
a. encourage collaborative R&D projects between universities and organisations outside the Australian higher education sector that will solve challenging industry issues through innovative research relevant to the Industrial Transformation Priorities;
b. attract investment from the local and international business community by supporting the internationally-recognised excellence of Australian universities and their industry partners; and
c. leverage national and international investment in targeted industry sectors.
B5. Selection Criteria B5.1 All Proposals that meet the eligibility criteria will be assessed and merit ranked using the following selection criteria:
a. Proposed Project (30%)
- Does the research clearly address one or more of the Industrial Transformation Priorities?
- Does the project involve high quality innovative national and international partnership(s)?
- Does the method and approach proposed address the objectives of the Industrial Transformation Research Hubs scheme?
- Is the conceptual/theoretical framework, genuinely integrated, broad, cross-disciplinary, innovative and original?
- Will the aims, concepts, methods and results advance knowledge and provide industry outcomes?
b. Feasibility and Benefit (30%)
- Is the design of the Project and the expertise of the participants sufficient to ensure the Project can be completed within the proposed budget and timeframe?
- Does the Project have a wide level of collaboration, including the development of national and international networks and linkages?
- Does the Research Environment provide high-quality intellectual support for the Project?
- Will the Project build research capacity in the Partner Organisation(s)?
- Are the necessary facilities to complete the Project available?
- Are there adequate strategies to encourage dissemination, promotion, and the commercialisation of research outcomes?
- Is there a clearly identified benefit to Australian industry?
- Does the Research Hub represent value for money?
c. Capacity and Commitment from Partner Organisation(s) (20%)
- Is there evidence that each of the Partner Organisation(s) is genuinely committed to, and prepared to collaborate in, the Project?
- Is there evidence that the Partner Organisation(s) have the capacity to support the Project?
- Is the budget justification of the Cash and In-kind Contributions adequate?
d. Investigator(s) (20%)
- Research opportunity and performance evidence (ROPE).
- Experience in management of collaborative industrial and end-user focussed research.
- Time and capacity to undertake and manage the proposed research in collaboration with the Partner Organisation(s).
B6. Funding B6.1 Level and Period of Funding B6.1.1 The minimum level of funding provided by the ARC under Industrial Transformation Research Hubs is $500,000 per year and the maximum is $1 million per year of funding per Project, for each year of the Project.
B6.1.2 A Project may be applied for and awarded funding for a minimum of three (3) years and a maximum of five (5) consecutive years, subject to sufficient funding being available for the Industrial Transformation Research Hubs scheme, the provisions of the ARC Act, and continued satisfactory progress of the Research Hub.
B6.1.3 Funding for approved Projects will commence effective as specified at B1.2. Funding for approved Projects will commence after Ministerial announcement or other arrangements that are approved by the Minister. Any funding awarded will be subject to sufficient funds being available for the Project, the provisions of the ARC Act, and continued satisfactory progress of the Project.
B7. Budget Items Supported B7.1 Budget items that directly support a research Project may be funded, including:
a. personnel:
i. salary support for a Hub Manager, research associates and assistants, technicians and laboratory attendants at an appropriate salary level, including 28 per cent on-costs, for the Administering Organisation; and
ii. stipends for Higher Degree by Research (HDR) students, in whole or in part, at an appropriate level for the Administering Organisation or the relevant industry.
b. teaching relief for CIs up to a total value of $50,000 per year where it is demonstrated that it will enhance engagement with the Partner Organisation(s).
c. website development and maintenance for the dissemination of Research Hub outputs.
B8. Organisational Types, Roles and Eligibility B8.1 Partner Organisations General Requirements B8.1.1 A Proposal must include at least one Australian Partner Organisation.
B8.2 Partner Organisation Contribution Requirements B8.2.1 The Proposal must demonstrate that the combined Partner Organisation(s) contributions (i.e. the total of the cash and in-kind contributions of the Partner Organisations) must at least match the total funding requested from the ARC.
B8.2.2 Pursuant to subsection B6.1.1, a Proposal may seek a minimum of $500,000 and up to $1 million per year from the ARC.
B8.2.3 The combined Partner Organisation(s) Cash Contribution where any Partner Organisation has more than 100 employees must be at least 75 per cent of the total funding requested from the ARC. Where the Partner Organisation or the largest Partner Organisation in a consortium in the proposal has 100 employees or less, there is no minimum combined Partner Organisation(s) Cash Contribution.
B8.2.4 There is no upper limit on the combined Partner Organisation(s) In-kind Contributions.
B9. Roles and Eligibility for Participants B9.1 Participant Roles and General Eligibility B9.1.1 Roles that may be nominated in a Proposal are:
a. Hub Director;
b. Chief Investigator (CI); or
c. Partner Investigator (PI).
B9.1.2 The following roles must be nominated in a Proposal:
a. at least two (2) CIs from the Administrating Organisation, where one (1) will be the Hub Director;
b. at least one (1) CI from each Eligible Organisation; and
c. at least one (1) PI from each Partner Organisation.
B9.2 Eligibility Criteria for a Hub Director B9.2.1 The Hub Director must meet all the eligibility criteria for a CI and must be employed by the Administering Organisation at the commencement of the Project and for the duration of the Project.
B9.2.2 The Hub Director will be responsible for developing and implementing the strategies and managing the research Project in cooperation with the Hub Manager (where a Manager is appointed on the Project). The Hub Director must coordinate the research effort and reporting structures across the Eligible Organisation(s) and Partner Organisation(s).
B9.2.3 The Hub Director is expected to demonstrate that they have the time and capacity to engage effectively in the activities of the Project. If a Hub Director is unable to meet this undertaking, the ARC may, in its absolute discretion, decide not to recommend the Proposal for funding.
B9.2.4 If a Proposal has been approved for funding and the Hub Director is at any time during the Project no longer able to undertake this role, the Project may be continued under a replacement Hub Director provided that:
a. prior approval is obtained from the ARC for the change in Hub Director;
b. a replacement Hub Director meets the eligibility criteria for a Hub Director and those for a CI at the time of her/his nomination and for the full term of her/his participation in the Project, and the reasons for replacement justified to the satisfaction of the ARC; and
c. the Administering Organisation has obtained approval from all participating organisations for the change in Hub Director.
B10. Proposals B10.1 Number of Proposals and Cross-Scheme Eligibility
B10.1.1 A CI may only submit and/or be funded concurrently for a maximum of two (2) Projects and/or Proposals from the Industrial Transformation Research Hubs and Industrial Transformation Training Centres schemes either separately or combined. A CI may only hold the role of Hub Director, Training Centre Director or Director of an ARC Centre for one (1) Project or Proposal at a time.
B10.1.2 A CI or Hub Director cannot be involved in more than the maximum number of Industrial Transformation Research Hubs/Industrial Transformation Training Centres Projects permitted. This number is calculated at the closing time of submission of Proposals by totalling the number of Projects receiving funding and the number of Proposals submitted for funding. A Project is considered to be funded for the years set out in the Funding Agreement.
B10.2 Proposal Eligibility and Duplication
B10.2.1 A Proposal may only be submitted where the research addresses one or more of the Industrial Transformation Priorities for the current round.
B11. Assessment and Selection Process B11.1.1 In addition to the assessment process at A13, Industrial Transformation Research Hubs Proposals may be subject to additional assessment, including:
a. short-listing within the group of Industrial Transformation Research Hubs Proposals; and
b. interviews with the proposed Hub Director and key participants in a format determined by the ARC. The ARC will not fund interviewee participation in interviews.
B12. Reporting Requirements B12.1 Key Performance Indicators
B12.1.1 The Administering Organisation will be required to submit Key Performance Indicators (KPIs) for each Research Hub approved by the ARC.
B12.1.2 The Key Performance Indicators for each Research Hub must include targets for each year of funding against standard Key Performance Indicators as well as project-specific Key Performance Indicators and targets for each year of funding. The ARC will provide the Administering Organisation with a form and instructions for this report.
B12.1.3 The Administering Organisation must report against the agreed Key Performance Indicators annually in Progress Reports.
B12.2 Progress Reports
B12.2.1 The Administering Organisation must submit an annual Progress Report to the ARC for each Research Hub in the format and by the due dates detailed in the Funding Agreement. Details of ARC reporting requirements can be found on the ARC website at www.arc.gov.au/applicants/reported_requirements.htm.
B12.3 Performance Reviews
B12.3.1 Ad hoc reviews of Research Hub may be held at any time. A review will be triggered in special circumstances including, but not limited to:
a. a change of Hub Director; or
b. proposed transfer of the Research Hub to a new Administering Organisation.
B12.3.2 Outcomes and feedback arising from the performance reviews as outlined above may inform future evaluations of the Industrial Transformation Research Hubs scheme.
Part C – Scheme-specific rules for Industrial Transformation Training Centres for funding commencing in 2015 C1. Interpretation C1.1 Part C contains the scheme-specific rules for Industrial Transformation Training Centres for funding commencing in 2015.
C1.2 Funding for approved Projects for Industrial Transformation Training Centres for funding commencing in 2015 will commence with effect from 1 January 2015.
C2. Additional Definitions for Part C For the purposes of this Part:
C2.1 Higher Degree by Research (HDR) candidate means a researcher that meets the HDR candidate eligibility criteria under these Funding Rules.
C2.2 Industry Advisory Panel (IAP) means a group of experts drawn from both academia and industry and appointed to assist the ARC to evaluate Proposals and to provide a recommendation for funding to the ARC.
C2.3 Industrial Transformation Priorities means targeted research areas identified by the ARC and updated from time-to-time on the ARC website at www.arc.gov.au.
C2.4 ITRH means the Industrial Transformation Research Hubs scheme.
C2.5 ITTC means the Industrial Transformation Training Centres scheme.
C2.6 Key Performance Indicators means a set of quantifiable measures that an ARC Training Centre uses to monitor and report on progress of research outputs and outcomes.
C2.7 Postdoctoral Fellow (PDF) means a researcher who satisfies the criteria for a PDF under these Funding Rules.
C2.8 Training Centre Director means a researcher who satisfies the eligibility criteria for a Training Centre Director under these Funding Rules.
C2.9 Training Centre Manager means a person with relevant skills and experience who is able to manage and facilitate the day-to-day operation of the Centre.
C3. Overview C3.1. The Industrial Transformation Training Centres is a scheme that fosters close partnerships between university-based researchers and other research end-users to provide innovative Higher Degree by Research (HDR) and postdoctoral training for the end-user focused research industries vital to Australia’s future.
C4. Objectives C4.1 The objectives of the Industrial Transformation Training Centres scheme are to:
a. foster opportunities for Higher Degree by Research candidates and postdoctoral fellows to pursue industrial training and to enhance competitive research in collaboration between universities and organisations outside the Australian higher education sector; and
b. strengthen Australia’s Industrial Transformation Priorities to supplement the capabilities of industries and other research end-users.
C5. Selection Criteria C5.1 Proposals will be assessed and ranked using the following selection criteria:
a. Proposed Project (30%)
- Does the method and approach proposed clearly address one or more of the nominated Industrial Transformation Priorities of the Industrial Transformation Training Centres scheme?
- Is the conceptual/theoretical framework genuinely integrated, cross-disciplinary, innovative and original?
- Will the Project build skills and capacity in end-user focussed research?
- Will the aims, concepts, methods and results significantly advance knowledge which will assist industry outcomes?
b. Feasibility and Benefit (30%)
- Does the research Project have a wide level of collaboration, including the development of national and international networks and linkages?
- Does the research address the needs of industries and communities as articulated in Australia’s Industrial Transformation Priorities for the current round?
- Is there a clearly identified benefit to Australian industry?
- Does the proposed Training Centre represent value for money?
c. Collaborative Research Environment (20%)
- Is there evidence that the Partner Organisation(s) have the facilities and personnel to provide effective supervision, support and mentoring for the Higher Degree by Research candidates and postdoctoral fellows over the life of the Project?
- Does the Research Environment provide high-quality intellectual support for the Project?
- Are the necessary facilities to support the proposed research (physical, technical, access to infrastructure, etc.) available?
- Are there adequate strategies to encourage dissemination, commercialisation, and the promotion of research outcomes?
- Is there evidence that each of the Partner Organisation(s) is genuinely committed to, and prepared to collaborate in, the research project?
- Is there evidence that each of the Partner Organisation(s) has the capacity to support the Project?
- Are there collaborative arrangements for the organisation(s) and team?
d. Training Centre Director and Supervisors (20%)
- Research opportunity and performance evidence (ROPE).
- Experience in engagement with industrial and/or end-user focussed research.
- Evidence that the Training Centre Director and supervisors have the time and capacity to provide effective supervision, support and mentoring for the Higher Degree by Research candidates and postdoctoral fellows over the life of the Project.
- Time and capacity to undertake and manage the proposed research in collaboration with the Partner Organisation(s).
C6. Funding C6.1 Level and Period of Funding C6.1.1 A Project may be applied for and awarded funding for four (4) or five (5) consecutive years, subject to sufficient funding being available for the Industrial Transformation Training Centres scheme, the provisions of the ARC Act, and continued satisfactory progress of the Project.
C6.1.2 Each Project should fund at least ten (10) Higher Degree by Research candidates and three (3) postdoctoral fellows at the rates as indicated in subsection C7.1.a.
C6.1.3 The minimum level of funding provided by the ARC under Industrial Transformation Training Centres is $650,000 per year for the first three (3) years and $150,000 in the fourth year. There is no minimum level of funding provided by the ARC in the fifth year. The maximum level of funding is $1 million per year per Project, for each year of the Project.
C6.1.4 HDR stipends must be requested in the Proposal budget for a duration of three years, beginning in the first year of the Project.
C6.1.5 It is anticipated that many or all of the HDR students may require a six (6) month extension of their funding in order to complete research and submit their thesis. The six (6) month HDR extension will be subject to ARC approval in the fourth year of the Project. Funding to support a HDR extension must be requested for each HDR candidate, and must be included in the fourth year of the Proposal budget.
C6.1.6 Funding for approved Projects will commence effective as specified at C1.2, unless other arrangements are approved by the Minister. Any funding awarded will be subject to sufficient funds being available for the Project, the provisions of the ARC Act and continued satisfactory progress of the Project.
C7. Budget Items Supported C7.1 Budget items that directly support a research Project may be funded, including:
a. personnel:
i. stipends for Higher Degree by Research (HDR) candidates enrolled at an Eligible Organisation, at $30,746 (2014$, 1.0 Full Time Equivalent) per year for a three (3) year period, beginning in the first year of the Project. All HDR candidate stipends requested from the ARC must include a request for a pro-rata six (6) month extension in the fourth year of the Proposal budget;
ii. postdoctoral fellows, at $108,810 (2014$, 1.0 Full Time Equivalent) per year for researchers appointed for at least half-time (50 per cent of Full Time Equivalent) at an Eligible Organisation for the duration of the Project; and
iii. salary support for a Training Centre Manager, research associates and assistants, technicians and laboratory attendants at an appropriate salary level, including 28 per cent on-costs, for the Administering Organisation.
b. Relocation costs for Higher Degree by Research candidates and postdoctoral fellows subject to the policies of the Administering Organisation; and
c. Website development and maintenance for the dissemination of Training Centre outputs.
C8. Organisational Types, Roles and Eligibility C8.1 Eligible Organisation s Requirements C8.1.1 The Administering Organisation will be responsible for ensuring that:
a. Higher Degree by Research candidates funded under the Industrial Transformation Training Centres scheme conduct research for a minimum total of one (1) year–full-time placement within a Partner Organisation (outside the higher education sector) over the life of the Project; and
b. Higher Degree by Research candidates and postdoctoral fellows funded under the Industrial Transformation Training Centres scheme meet all the conditions in these Funding Rules.
C8.2 Partner Organisation s General Requirements C8.2.1 A Proposal must include at least one Australian Partner Organisation.
C8.3 Partner Organisation Contribution Requirements C8.3.1 The Proposal must demonstrate that the combined Cash and In-kind Contributions to the Training Centre are sufficient to support the research projects of the Higher Degree by Research candidates and postdoctoral fellows in the Training Centre.
C9. Roles and Eligibility for Participants C9.1 Participant Roles and General Eligibility C9.1.1 Roles that may be nominated in a Proposal are:
a. Training Centre Director;
b. Chief Investigator (CI); or
c. Partner Investigator (PI).
C9.1.2 The following roles must be nominated in a Proposal:
a. at least two (2) CIs from the Administrating Organisation, where one (1) will be the Training Centre Director;
b. at least one (1) CI from each Eligible Organisation; and
c. at least one (1) PI from each Partner Organisation.
C9.2 Eligibility Criteria for a Training Centre Director C9.2.1 The Training Centre Director must meet all the eligibility criteria for a CI and must be employed by the Administering Organisation at the commencement of and for the duration of the Project.
C9.2.2 The Training Centre Director will be responsible for developing and implementing the strategies and managing the research Project in cooperation with the Training Centre Manager (where a Manager is appointed on the Project). The Training Centre Director must coordinate the research effort and reporting structures across Eligible Organisation(s) and Partner Organisation(s).
C9.2.3 The Training Centre Director is expected to be fully committed to the activities of the Project with a significant commitment of time. If a Training Centre Director is unable to meet this undertaking, the ARC may, in its absolute discretion, decide not to recommend the Proposal for funding.
C9.2.4 If a Proposal has been approved for funding and the Training Centre Director is at any time during the Project no longer able to undertake this role, the Project may be continued under a replacement Training Centre Director provided that:
a. prior approval is obtained from the ARC for the change in Training Centre Director;
b. a suitable replacement Training Centre Director meets the eligibility criteria for a Training Centre Director and those for a CI at the time of her/his nomination and for the full term of her/his participation in the Project, and the reasons for replacement are justified to the satisfaction of the ARC; and
c. the Administering Organisation has obtained approval from all participating organisations for the change in Training Centre Director.
C10. Selection of Higher Degree by Research Candidates and Postdoctoral Fellows C10.1 General C10.1.1 Once a successful Proposal for the Industrial Transformation Training Centres scheme has been approved and announced, the successful Administering Organisation must then undertake a process of competitive national and international recruitment for Higher Degree by Research candidates and postdoctoral fellows to be appointed under the scheme. The recruitment and selection processes must:
a. include competitive recruitment practices involving advertisement, selection and offers; and
b. demonstrate an effort to attract and recruit external and international candidates.
C10.1.2 Details of the selection and recruitment process must be made available on request to the ARC for audit purposes.
C10.1.3 The recruitment process described in the above subsection C10.1.1 must commence in the first year of the Project, and Higher Degree by Research candidates and Postdoctoral Fellows must be ready to commence following the final project commencement date in accordance with the Funding Agreement.
C10.2 Roles and Eligibility for appointed Higher Degree by Research candidates and postdoctoral fellows C10.2.1 For the duration of their candidature, Higher Degree by Research candidates recruited to and funded under the Industrial Transformation Training Centres scheme must be enrolled in a Higher Degree by Research at an Eligible Organisation.
C10.2.2 For the duration of the Project, postdoctoral fellows funded under the Industrial Transformation Training Centres scheme must hold a PhD qualification and be an employee for at least half-time (50 per cent of Full Time Equivalent) at an Eligible Organisation—this excludes honorary, adjunct or equivalent appointments.
C10.2.3 The Higher Degree by Research candidates and postdoctoral fellows funded under the Industrial Transformation Training Centres scheme cannot commence another Commonwealth Award or Fellowship while they are employed with funds from the Project.
C10.2.4 In accordance with subsection C8.1.1.a, Higher Degree by Research candidates funded under the Industrial Transformation Training Centres scheme must conduct a minimum total of one (1) year–full-time placement within a Partner Organisation (outside the higher education sector) over the life of the Project.
C10.3 Extension of Higher Degree by Research candidates C10.3.1 In accordance with subsections C6.1.4 and C6.1.5, the Proposal must include a request for an initial three (3) year stipend period beginning in the first year of the Proposal budget, and must also include a request in the fourth year of the Proposal budget for a six (6) month extension, for all HDR candidates.
C11. Proposals C11.1 Number of Proposals and Cross-Scheme Eligibility
C11.1.1 A CI may only submit and/or be funded concurrently for a maximum of two (2) Projects and/or Proposals from the Industrial Transformation Training Centres and Industrial Transformation Research Hubs schemes either separately or combined. A CI may only hold the role of Training Centre Director, Hub Director or Director of an ARC Centre for one (1) Project or Proposal at a time.
C11.1.2 A CI or Training Centre Director cannot be involved in more than the maximum number of Industrial Transformation Training Centres/ Industrial Transformation Research Hubs Projects permitted in 2015. This number is calculated at the closing time of submission of Proposals by totalling the number of Projects receiving funding at 1 January 2015 and the number of Proposals submitted for funding commencing 1 January 2015. A Project is considered to be funded for the years set out in the Funding Agreement.
C11.2 Proposal Eligibility and Duplication
C11.2.1 A Proposal may only be submitted where the research addresses one or more of the Industrial Transformation Priorities for the current round.
C12. Reporting Requirements C12.1 Key Performance Indicators
C12.1.1 The Administering Organisation will be required to submit Key Performance Indicators (KPIs) for each Training Centre approved by the ARC.
C12.1.2 The Key Performance Indicators for each Training Centre must include targets for each year of funding against standard Key Performance Indicators as well as project specific Key Performance Indicators and targets for each year of funding. The ARC will provide the Administering Organisation with a form and instructions for this report.
C12.1.3 The Administering Organisation must report against the agreed Key Performance Indicators annually in Progress Reports.
C12.2 Progress Reports
C12.2.1 The Administering Organisation must submit an annual Progress Report to the ARC for each Training Centre in the format and by the due dates detailed in the Funding Agreement. Details of ARC reporting requirements can be found on the ARC website at www.arc.gov.au/applicants/reported_requirements.htm.
C12.3 Performance Reviews
C12.3.1 Ad hoc reviews of Training Centres may be held at any time. A review will be triggered in special circumstances including, but not limited to:
a. a change of Training Centre Director; or
b. proposed transfer of the Training Centre to a new Administering Organisation.
C12.3.2 Outcomes and feedback arising from the performance reviews as outlined above may inform future evaluations of the Industrial Transformation Training Centres scheme.
Part D – Scheme-specific rules for Linkage Projects for funding commencing in 2015 D1. Interpretation D1.1 Part D contains the scheme-specific rules for Linkage Projects for funding commencing in 2015.
D1.2 The Commencement Date for Linkage Projects for funding commencing in 2015 is 1 July 2015.
D2. Additional Definitions for Part D D2.1 Exempt Archive and Public Record Office means a non-profit organisation which holds a significant national or state collection of data or documents, for the purposes of public information, record-keeping and study.
D2.2 Exempt Charity means an organisation which meets the definition of a charity under the Charities Act 2013.
D2.3 Exempt Community Organisation means a non-profit organisation whose main purpose, as identified in its official documents, is to help the community.
D2.4 Exempt Herbarium[2] means a non-profit, established institution in the service of society, which acquires, conserves, and researches preserved and labelled plant specimens, arranged to allow easy access and archival storage with a mission to preserve and document the diversity of plants.
D2.5 Exempt Museum and Collecting Organisation[3] means a non-profit, established institution in the service of society and its development, open to the public, which acquires, conserves, researches, communicates and exhibits the tangible and intangible heritage of humanity and its environment for the purposes of education, study and enjoyment.
D2.6 Exempt Non-Profit Organisation means an organisation which meets the Australian Taxation Office (ATO) definition of a non-profit organisation – an organisation that does not operate for the profit or gain of its individual members, either directly or indirectly. This applies both while the organisation is operating and when it winds up. This definition is available at www.ato.gov.au .
D2.7 Exempt Start-up means a company that is commercialising research and development (R&D) activities and has an average annual revenue over the previous two years of income that does not exceed $5 million per year. The start-up must have a majority of its employees (by number) and assets (by value) inside Australia.
D2.8 LP means the Linkage Projects scheme.
D2.9 Project Leader means the first-named CI on a Proposal.
D3. Overview D3.1 The Linkage Projects scheme provides funding to Eligible Organisations to support research and development (R&D) projects which are collaborative between higher education researchers and other parts of the national innovation system, which are undertaken to acquire new knowledge, and which involve risk or innovation.
D4. Objectives D4.1 The objectives of the Linkage Projects scheme 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, social or cultural benefits;
b. build the scale and focus of research in the Strategic Research Priorities;
c. provide opportunities for researchers to pursue internationally competitive research in collaboration with organisations outside the higher education sector, targeting those who have demonstrated a clear commitment to high-quality research; and
d. encourage growth of a national pool of world-class researchers to meet the needs of the broader Australian innovation system.
D5. Selection Criteria D5.1 Proposals will be assessed and merit ranked using the following selection criteria:
a. Investigator(s) (20%)
- research opportunity and performance evidence (ROPE);
- potential to engage in collaborative research with end-users; and
- time and capacity to undertake and manage the proposed research in collaboration with the Partner Organisation(s).
b. Proposed Project (50%) comprising
i. Significance and Innovation (25%)
- Does the research address an important problem?
- How will the anticipated outcomes advance the knowledge base?
- Are the Project aims and concepts novel and innovative?
- Will new methods or technologies be developed?
- Will the proposed research maximise economic, environmental and/or social benefit to Australia?
- Does the Project address the Strategic Research Priorities?
- Will the Project benefit Partner Organisation(s) and other relevant end-users?
- Does the Project significantly enhance links with organisations outside the Australian publicly-funded research and higher education sectors?
ii. Approach and Training (15%)
- Are the conceptual framework, design, methods and analyses adequately developed, well integrated and appropriate to the aims of the Project?
- Where relevant, is the intellectual content and scale of the work proposed appropriate to a higher degree by research?
- How appropriate is the proposed budget?
- Does the Project represent value for money?
iii. Research Environment (10%)
- Is there an existing, or developing, supportive and high-quality Research Environment for this Project, both within the Administering Organisation and in the Partner Organisation(s)?
- Are the necessary facilities available to conduct the proposed research?
- Are there adequate strategies to encourage dissemination, commercialisation, if appropriate; and promotion of research outcomes?
c. Commitment from Partner Organisation(s) (30%)
- Is there evidence that each of the Partner Organisation(s) is genuinely committed to, and prepared to collaborate in, the research Project?
- Will the proposed research encourage and develop strategic research alliances between the higher education organisation(s) and other organisation(s)?
- Is the budget justification for Cash and In-kind Contributions adequate?
D6. Funding
D6.1 Level and Period of Funding D6.1.1 The minimum level of funding provided by the ARC under Linkage Projects is $50,000 per year of funding and the maximum is $300,000 per year of funding per Project, for each year of the Project.
D6.1.2 A Project may be applied for and awarded funding for a minimum of two (2) to a maximum of five (5) consecutive years.
D6.1.3 Funding for approved Projects will commence with effect at the Commencement Date specified at D1.2, unless other arrangements are approved by the Minister. Any funding awarded will be subject to sufficient funds being available for the Project, the provisions of the ARC Act, and continued satisfactory progress of the Project.
D7. Budget Items Supported
D7.1 Budget items that directly support a research project may be funded, including:
a. personnel:
i. salary support for research associates and assistants, technicians and laboratory attendants at an appropriate salary level, including 28 per cent on-costs, for the Administering Organisation; and
ii. stipends for Higher Degree by Research (HDR) students, in whole or in part, at an appropriate level for the Administering Organisation or the relevant industry sector;
b. publication and dissemination of Project outputs and outreach activity costs;
c. teaching relief for CIs up to a total value for the Project of $40,000 per year; and
d. web hosting and web development specific to the project.
D8. Organisational Types, Roles, Eligibility and Contributions D8.1 Partner Organisations General Requirements D8.1.1 A Proposal must include at least one (1) Partner Organisation.
D8.2 Partner Organisation Contribution Requirements D8.2.1 The Proposal must demonstrate that the combined Partner Organisation(s) eligible contributions for a Proposal (i.e. the total of the cash and/or in-kind eligible contributions of the Partner Organisations) must at least match the total funding requested from the ARC.
D8.2.2 Pursuant to subsection D6.1.1, a Proposal must seek a minimum $50,000 and up to $300,000 a year from the ARC, for each year of the Proposal.
D8.2.3 The combined Partner Organisation(s) eligible Cash Contribution must be at least 25 per cent of the total funding requested from the ARC.
D8.2.4 Partner Organisation(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 to the required Partner Organisation contribution. Cash and/or in-kind contributions from Partner Organisation(s) of this type are only eligible to make up a maximum of 25 per cent of the required Partner Organisation contribution. This maximum of 25 per cent is the combined eligible contribution from Partner Organisations of this type, and is not the maximum per individual Partner Organisation of this type.
D8.2.5 Partner Organisation(s) whose funds are appropriated predominantly from Commonwealth or Australian State or Territory funding sources for the purposes of research can make combined contributions to the Project over and above 25 per cent of the required Partner Organisation contribution, however these additional contributions are not eligible to make up part of the required Partner Organisation contribution.
D8.2.6 The following types of Partner Organisation(s), as defined at D2 of the Funding Rules, are exempt from the Cash Contribution requirements:
a. Exempt Archive and Public Record Office;
b. Exempt Charity;
c. Exempt Community Organisation;
d. Exempt Herbarium;
e. Exempt Museum and Collecting Organisation;
f. Exempt Non-Profit Organisation; and
g. Exempt Start-up.
D8.2.7 Proposals in which all Partner Organisations are exempt from the Cash Contribution requirements do not have to meet the overall Cash Contribution requirement specified at D8.2.3.
D9. Roles and Eligibility for Participants
D9.1 Participant Roles and General Eligibility D9.1.1 Roles that may be nominated in a Proposal are:
a. Chief Investigator (CI); or
b. Partner Investigator (PI).
D9.1.2 The Proposal must nominate at least one (1) CI from an Eligible Organisation. The first named CI must be from the Administrating Organisation and will be the Project Leader.
D9.1.3 The Proposal may nominate a PI from each Partner Organisation. A PI who is representing a Partner Organisation on the Proposal is required to have a role within that Partner Organisation.
D10. Proposals
D10.1 Number of Proposals and Cross-Scheme Eligibility D10.1.1 A CI may submit and/or be funded concurrently for a maximum of four (4) Linkage Projects as a CI.
D10.1.2 A CI cannot be involved in more than the maximum number of Projects (including Awards and Fellowships) permitted in 2015. This number is calculated at the closing time of submission of Proposals by totalling the number of Projects receiving funding at 1 July 2015 and the number of Proposals submitted for funding commencing 1 July 2015. A Project is considered to be funded for the years set out in the Funding Agreement.
D10.1.3 Researchers will not be permitted to relinquish a CI role, or existing Linkage Project held on 1 July 2014, to circumvent the limits in this section.
D11. Reporting Requirements D11.1 Progress Reports D11.1.1 Report by Exception. A report must only be submitted if significant issues are affecting the progress of the Project. The report must specify the actions being taken to address the issues.
D11.1.2 In addition to the requirements at A15.1 and D11.1.1, a Progress Report must be submitted for year three of a four- or five-year Project.
Part E – Scheme-specific rules for Linkage Infrastructure, Equipment and Facilities for funding commencing in 2016 E1 . Interpretation E1.1 Part E contains the scheme-specific rules for Linkage Infrastructure, Equipment and Facilities for funding commencing in 2016.
E1.2 The Commencement Date for Linkage Infrastructure, Equipment and Facilities for funding commencing in 2016 is 1 January 2016.
E2. Additional Definitions for Part E E2.1 CI Manager means a participant with a responsibility to coordinate access to the research infrastructure and manage the communication between the organisations on the Proposal.
E2.2 LIEF means the Linkage Infrastructure, Equipment and Facilities scheme.
E2.3 Project Leader means the first-named CI on a Proposal.
E2.4 Single Eligible Organisation Proposal means a Proposal which includes only one Eligible Organisation (the Administering Organisation). A Single Eligible Organisation Proposal may or may not include Partner Organisations.
E3. Overview E3.1 The Linkage Infrastructure, Equipment and Facilities (LIEF) scheme provides funding for research infrastructure, equipment and facilities to eligible organisations. The scheme enables higher education researchers to participate in cooperative initiatives so that expensive infrastructure, equipment and facilities can be shared between higher education organisations and also with industry. The scheme also fosters collaboration through its support of the cooperative use of international or national research facilities.
E4. Objectives E4.1 The objectives of the LIEF scheme are to:
a. encourage Eligible Organisations to develop collaborative arrangements with other Eligible Organisations, higher education institutions and/or their Partner Organisations to develop and support research infrastructure;
b. support large-scale national or international cooperative initiatives thereby allowing expensive research infrastructure to be shared and/or accessed;
c. support areas of existing and/or emerging research strength; and
d. support and develop research infrastructure for the broader research community.
E5. Selection Criteria E5.1 Proposals will be assessed and ranked using the following selection criteria:
a. Significance of research to be supported with the proposed research infrastructure: 20%
i. nature of the research, including aims and significance;
ii. relevance of the proposed research infrastructure to the needs of ARC and other competitively funded research projects/programs;
iii. enhancement of support for areas of existing and/or emerging research strength; and
iv. demonstrated national or international focus for large scale cooperative initiatives.
b. Need and use of the proposed research infrastructure: 30%
i. demonstrated need for the features specific to the requested research infrastructure;
ii. availability of and access to similar research infrastructure at organisational, regional, national and/or international level;
iii. demonstrated needs from the researchers and/or research projects that will utilise the proposed research infrastructure, including level of demand and likely measurable impact on the research program, including beyond the duration of the project;
iv. value for money and budget justification for cash and in-kind contributions, and the expected rate of use of the proposed research infrastructure;
v. planned use of the proposed research infrastructure, including proposed arrangements for broader access to individuals not named on the Proposal and the alignment of this planned use with other similar existing infrastructure within Australia and/or internationally;
vi. special needs for regional or otherwise isolated institutions; and
vii. national benefit of the proposed research infrastructure to the broader research community.
c. Nature of the alliance and commitment between the organisations named on the Proposal: 30%
i. relevance of the research to the strategic priorities of the organisations;
ii. evidence that each of the organisations is genuinely committed to, and prepared to collaborate in, the Project;
iii. existing or planned strategic research alliances between the higher education organisation(s) and other organisation(s); and
iv. effectiveness of cooperative arrangements for the management and sharing of the proposed research infrastructure, including arrangements for ongoing operational expenditure where applicable.
d. Investigator(s): 20%
i. track record of investigators relevant to the use of the proposed research infrastructure, with consideration given to Research Opportunity and Performance Evidence (ROPE);
ii. for CIs and PIs who will manage the purchase, design, manufacture, installation, maintenance and coordination of access to the proposed research infrastructure, a demonstrated record in these activities; and
iii. relevance of the research infrastructure to the research capacity and planned activities of each CI and PI on the Proposal and, where relevant, to the research groups represented on the Proposal.
E6. Funding E6.1 Level and Period of Funding E6.1.1 The minimum level of funding provided by the ARC under LIEF is $150,000 per year.
E6.1.2 The maximum level of funding provided by the ARC for a Project under LIEF is up to 75 per cent of the total direct cost of the research infrastructure.
E6.1.3 A Project may be applied for and awarded funding for one (1) year, or, in the case of coordinated access to major national and/or international research facilities or consortia, up to five (5) years as described at E7.1.c. A Proposal must request ARC funding in all years of the Project.
E6.1.4 Funding for a Project may only be carried forward for a maximum of two (2) years from the date funding commences, unless there are exceptional circumstances and with the prior approval of the ARC.
E6.1.5 Funding for approved projects will commence effective from the Commencement Date specified at E1.2, unless other arrangements are approved by the Minister. Any funding awarded will be subject to sufficient funds being available for the Project, the provisions of the ARC Act and continued satisfactory progress of the Project.
E7. Budget Items Supported E7.1 Budget items which directly support provision of research infrastructure for use in research projects may be funded, including:
a. purchase, upgrade, construction, transportation of, installation of, maintenance of and/or management of access to the research infrastructure (including animal houses, herbaria, experimental farms), and salaries, including 28 per cent on-costs, directly associated with these activities;
b. integrated research facilities consisting of multiple components which can be used either simultaneously or serially for research projects (where each of these research projects is integrated by having a single research aim or theme). However multiple components that are not genuinely integrated, cannot be requested solely to reach the minimum level of funding specified at E6.1.1;
c. coordinated access to international facilities (enabled under a written agreement between the Administering Organisation and the relevant international facility) and major national facilities, for up to five (5) years;
d. library and research information infrastructure (non-capital aspects only) to support specific research projects/programs which may also include salaries and minor pieces of equipment to build an integrated facility; and
e. compilations, catalogues, clearing houses or bibliographies that build on and develop other current or recent competitively funded projects/programs.
E7.2 All budget items must be justified in the Proposal to the satisfaction of the ARC and the assessors involved in the peer review process, including confirmation that competitive quotes were negotiated for the research infrastructure.
E7.3 With regard to a written agreement as at E7.1.c, the agreement should be for the specific international facility under discussion and the negotiations about the agreement need to have commenced by the time of submission of the Proposal.
E8. Budget Items Not Supported E8.1 In addition to the budget items not supported under section A8, budget items which will not be supported by ARC funding and should not be requested in the budget include:
a. basic facilities that should normally be funded by an Administering Organisation, Eligible Organisation and/or Partner Organisation (including standard refurbishment costs of a laboratory);
b. costs of accommodation associated with the use of the proposed research infrastructure;
c. salaries and/or on costs, in whole or in part, for research using the facility (for example, for research support personnel);
d. teaching and/or teaching relief;
e. travel costs associated with use of the proposed research infrastructure; and
f. fee-for-service costs where the Proposal does not lead to capability building or development of the research infrastructure.
E9. Organisational Roles and Eligibility E9.1 Eligible Organisations E9.1.1 A Proposal must involve two or more Eligible Organisations unless it is a Single Eligible Organisation Proposal and can demonstrate that collaborative use of the proposed research infrastructure by another Eligible Organisation is not practicable.
E9.2 Contributions E9.2.1 All Eligible Organisations on a Proposal must make a cash contribution.
E9.2.2 Organisational cash contributions for direct costs must make up a minimum of 25 per cent of the total direct cost of the research infrastructure. Cash contributions from the Administering Organisation, Other Eligible Organisation(s), Partner Organisation(s) and Other Organisation(s) are all eligible to make up this minimum of 25 per cent.
E9.2.3 Organisational cash contributions for indirect costs are not eligible to make up part of the minimum of 25 per cent of the total direct cost of the research infrastructure.
E9.3 Collaboration E9.3.1 The research infrastructure, where appropriate, will be located at the Administering Organisation and be listed in its assets register, unless otherwise approved by the ARC.
E9.3.2 The Proposal must set out, as agreed by each organisation named on the Proposal:
a. the terms and conditions of access for participants on the Proposal;
b. the terms and conditions of access for researchers not associated with the Proposal; and
c. details of the arrangements and costs of managing the research infrastructure (including any recurrent expenditure) and how any costs will be distributed.
E9.3.3 Where the research infrastructure requested is proposed to be located in more than one organisation, the Proposal must demonstrate clearly that:
a. the facilities are genuinely integrated and collaborative;
b. the items of research infrastructure are complementary; and
c. the overall research outcomes will be enhanced by this arrangement.
E10. Roles and Eligibility for Participants E10.1 Participant Roles and General Eligibility E10.1.1 Roles that may be undertaken by researchers are:
a. Chief Investigator (CI); or
b. Partner Investigator (PI).
E10.1.2 A Proposal must nominate at least one CI; the first-named CI must be from the Administering Organisation, will be the Project Leader and must have a demonstrated high capacity to manage the project.
E10.1.3 A Proposal may nominate no more than a total of fifteen (15) CIs and PIs. No more than five (5) CIs from each Eligible Organisation or five (5) PIs from each Partner Organisation may be nominated on a Proposal. Other users may be listed in the project description section of the Proposal.
E10.1.4 Every CI and PI (and/or their research group) must be a significant and regular user of the research infrastructure, on average, for a minimum of 10% of the available time of the research infrastructure. Where there are more than ten (10) named participants on a Proposal, the minimum usage may be pro rated. Where the research infrastructure comprises a database or a data acquisition facility, a case should be made for significant usage by each CI or PI.
E10.2 Eligibility Criteria for Chief Investigators (CIs) E10.2.1 Each Eligible Organisation must identify one CI who has a demonstrated record relative to opportunity in managing the proposed research infrastructure to be CI Manager for the Eligible Organisation.
E10.3 Eligibility Criteria for Partner Investigators (PIs) E10.3.1 A researcher nominated on a Proposal as a PI must secure a significant cash or in-kind contribution or other resources from their own organisation for the Project (having regard to the total cost of the Project and the relative contribution of other investigators).
E10.3.2 Each Partner Organisation may identify one PI who has a demonstrated record relative to opportunity in managing the proposed research infrastructure.
E11. Limits on Projects and Proposals E11.1 A researcher must not be nominated as a CI or as a PI on more than two LIEF Proposals in the same funding round.
E11.2 A CI or PI receiving funding under the LIEF scheme may only be named on a maximum of two concurrent Projects under this scheme.
E11.3 A researcher may only submit a Proposal which they would be eligible to hold as at the Commencement Date as specified at E1.2. The ARC will calculate this rule at the closing time of submission of Proposals, by totalling the number of LIEF Proposals submitted by the researcher, plus the number of their currently held LIEF Projects which are funded in 2016.
E11.4 For eligibility purposes a Project is considered to be funded for the years set out in the original Funding Agreement.
E12. Reporting Requirements E12.1 Progress Reports E12.1.1 Report by Exception. A report must only be submitted if significant issues are affecting the progress of the Project. The report must specify the actions being taken to address the issues.
E12.1.2 In addition to the requirements at A15.1 and E12.1.1, a Progress Report must be submitted for year three of a four- or five-year Project.
E12.2 Final Reports E12.2.1 In addition to the requirements at A15.3, the Final Report must contain information which the ARC may publicise regarding the details of the research infrastructure.
[1] OECD (2002), Frascati Manual: Proposed Standard Practice for Surveys on Research and Experimental Development, Paris (Page 30).
[2] Adapted from: http://herbarium.msu.edu/definition.html
[3] Adapted from: http://icom.museum/the-vision/museum-definition/
