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Grant Guidelines for the Linkage Program (2018)

Authoritative Version
Guides & Guidelines as made
This instrument relates to schemes funded under the Linkage Program of the 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 for projects that generate new knowledge, technologies and innovations. These Grant Guidelines contain information on the Industrial Transformation Research Program (ITRP) which comprises two grant opportunities: Industrial Transformation Research Hubs (Research Hubs); and Industrial Transformation Training Centres (Training Centres).
Administered by: Education
Registered 02 Nov 2018
Tabling HistoryDate
Tabled Senate12-Nov-2018
Tabled HR26-Nov-2018
Table of contents.

Grant Guidelines for the Linkage Program (2018)

Industrial Transformation Research Program (ITRP)

Industrial Transformation Research Hubs

Industrial Transformation Training Centres

For funding commencing in 2019

Opening date:

Available on GrantConnect

Closing date and time:

Available on GrantConnect

Enquiries:

Researchers are required to direct requests for information to the Research Office within the Administering Organisation.

ARC Contacts are on the ARC website.

Type of grant opportunity:

Restricted competitive

 

Australian Research Council Act 2001

 

I, Dan Tehan, Minister for Education, having satisfied myself of the matters set out in section 59 of the Australian Research Council Act 2001, approve these grant guidelines under section 60 of that Act.

Dated                  16 September     2018

 

 

Dan Tehan

Minister for Education


Contents

1.             Linkage Program: Industrial Transformation Research Program processes. 5

2.             About the Linkage Program.. 7

3.             About the Industrial Transformation Research Program Grant Opportunities. 9

4.             Grant amounts and grant periods. 11

5.             Grant Eligibility Criteria. 12

What are the eligibility requirements for applications?. 12

Who is eligible to apply for a grant?. 12

Who is eligible to be a named participant?. 15

What are the limits on the number of projects and applications per named participant 16

6.             What the grant money can be used for. 18

Eligible grant activities. 18

Activities not supported. 18

Eligible expenditure. 18

What the grant money cannot be used for. 19

7.             The assessment criteria. 21

8.             How to apply. 22

Attachments to the application. 24

Timing of the grant opportunities. 24

Questions during the application period. 24

9.             The grant selection process. 25

Who will assess applications?. 25

What is the grant assessment process?. 25

Requests not to assess process. 26

Rejoinder Process. 27

Who will approve grants?. 27

10.           Notification of application outcomes. 28

Feedback on Your application. 28

11.           Successful grant applications. 29

The grant agreement 29

Specific research policies and practices. 29

How We pay the grant money. 31

Grant agreement variations. 31

Keeping Us informed. 32

12.           Announcement of grants. 33

13.           How We monitor Your grant activity. 34

Key Performance Indicators. 34

Annual Progress Report 34

End of Year Report 34

Progress Reporting by Exception. 34

Final Report 34

Performance Reviews. 35

Compliance visits and record keeping. 35

Evaluation. 35

Acknowledgement 35

14.           Probity. 36

Appeals process. 36

Conflict of interest 36

Privacy: confidentiality and protection of personal information. 37

Freedom of information. 38

15.           Consultation. 39

Part A     Industrial Transformation Research Hubs (Research Hubs) 40

A1.          About the grant opportunity. 40

A2.          Grant Amount 40

A3.          Grant eligibility criteria. 41

A4.          What the grant money can be used for. 42

Eligible expenditure. 42

A5.          The assessment criteria. 43

A6.          How to apply. 44

A7.          Successful grant applications. 44

Part B     Industrial Transformation Training Centres (Training Centres) 45

B1.          About the grant opportunity. 45

B2.          Grant Amount 45

B3.          Grant eligibility criteria. 46

Named participant’s eligibility requirements. 47

B4.          What the grant money can be used for. 48

Eligible Expenditure. 48

B5.          The assessment criteria. 48

B6.          Successful grant applications. 50

16.           Acronyms. 52

17.           Glossary. 53

 


 

1.   Linkage Program: Industrial Transformation Research Program processes

The Linkage Program is designed to achieve the Australian Government’s objectives for research and innovation.

This grant program contributes to the ARC’s Outcome 1, which is to grow knowledge and innovation through managing research grants, measuring research excellence and providing advice.

The following process flowchart applies to the Industrial Transformation Research Hubs (Research Hubs) and Industrial Transformation Training Centres (Training Centres) grant opportunities.

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The grant opportunity opens.

We (the ARC) publish the grant guidelines and advertise on GrantConnect.

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You (the Administering Organisation) complete and submit an application.

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We manage the assessment of all applications.

We manage the assessment of applications against eligibility criteria and assessment criteria including an overall consideration of value for money.

Your application will be assigned to Detailed Assessors to undertake in-depth assessments. You will have an opportunity to respond to Detailed Assessors’ written comments through a rejoinder.

Selection Advisory Committee (SAC) members will then assess Your application, consider the Detailed Assessors’ ratings and comments and Your rejoinder and assign a final score.

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We make grant recommendations.

The SAC will collectively consider all applications and recommend to the Chief Executive Officer (CEO) the applications to be funded, and the level and duration of funding for each project.

The CEO will recommend to the Minister the applications to be funded, and the level and duration of funding for each grant.

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Grant decisions are made.

The Minister decides which applications are approved, and the level of funding and duration of funding for each approved project.

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We notify You of the outcome.
We advise You if Your application was successful or not through Our Research Management System (RMS).

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We enter into a grant agreement with You.

We will enter into a grant agreement with You through RMS.

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Delivery of the grant.

You undertake the grant activity and report to Us as set out in Your grant agreement.

We manage the grant by monitoring Your progress and making payments. 

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Evaluation of the grant opportunity.

We evaluate the specific grant activity and the grant opportunity as a whole. We will use information You provide to Us through Your reports to inform evaluations.

2.   About the Linkage Program

2.1.                  These grant guidelines establish the rules which govern the administration of the Linkage Program grant opportunities including the application, eligibility, and selection processes to be followed and the assessment criteria that will be used to recommend grant recipients.

2.2.                  The Linkage Program is one of two Programs under the ARC National Competitive Grants Program (NCGP).

Objectives

2.3.                  The Linkage Program supports the growth of research partnerships between university-based researchers and researchers in other sectors in Australia and overseas for projects that generate new knowledge, technologies and innovations.

2.4.                  The purpose of the Linkage Program is to promote national and international research partnerships between researchers and business, industry, community organisations and other publicly funded research agencies. By supporting the development of partnerships, the ARC encourages the transfer of skills, knowledge and ideas as a basis for securing commercial and other benefits of research.

2.5.                  The Linkage Program aims to encourage and extend cooperative approaches to research and improve the use of research outcomes by strengthening links within Australia’s innovation system and with innovation systems internationally.

2.6.                  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.

2.7.                  The Linkage Program includes the following:

a.         Industrial Transformation Research Program (ITRP) comprising:

-  Industrial Transformation Research Hubs (Research Hubs);

-  Industrial Transformation Training Centres (Training Centres);

b.        Linkage Projects;

c.         Linkage Infrastructure, Equipment and Facilities (LIEF);

d.        ARC Centres of Excellence;

e.        Special Research Initiatives;

f.          Learned Academies Special Projects; and

g.         Supporting Responses to Commonwealth Science Council Priorities.

Intended Outcome

2.8.                  The intended outcome of the Linkage Program is to increase Australia’s research and innovation capacity to generate new knowledge and result in the development of new technologies, products and ideas, the creation of jobs, economic growth and an enhanced quality of life in Australia. 

Scope and Timeframes

2.9.                  Linkage Program grants are awarded on the basis of excellence through a competitive peer review process for each grant opportunity.

2.10.              Depending on the grant opportunity, Linkage Program grant applications will be accepted once a year, on a continuous basis or as required.

Key performance indicators

2.11.              The Key Performance Indicators (KPIs) for the Linkage Program are identified each year in the ARC Portfolio Budget Statements and the ARC corporate plan. Reporting is provided every year in Our annual report.

2.12.              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.

Other relevant information

2.13.              The Linkage Program is undertaken according to the Australian Research Council Act 2001 (ARC Act) and the Commonwealth Grants Rules and Guidelines 2017 (CGRGs).

2.14.              These grant guidelines 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 at that date.


a.          

3.   About the Industrial Transformation Research Program grant opportunities

3.1.                  These grant guidelines contain information on the ITRP which comprises two grant opportunities: Industrial Transformation Research Hubs (Research Hubs); and Industrial Transformation Training Centres (Training Centres).

3.2.                  The ITRP encourages and supports university-based researchers and industry to work together to find solutions to a range of strategic priorities facing Australian industries. These priorities are identified by Us as the Industrial Transformation Priorities.

3.3.                  The current Industrial Transformation Priorities are:

a.         Advanced Manufacturing;

b.        Cyber Security;

c.         Food and Agribusiness;

d.        Medical Technologies and Pharmaceuticals;

e.        Mining Equipment, Technology and Services; and

f.          Oil, Gas and Energy Resources.

3.4.                  Research Hubs engage Australia's best researchers to develop collaborative solutions to the strategic priorities and to train the future research workforce. The focus is on the creation of industry and academic partnerships working together on research and development projects to create innovative and transformative solutions for industry.

3.5.                  Training Centres foster close partnerships between university-based researchers and industry, through creating and delivering innovative Higher Degree by Research (HDR) and postdoctoral training. Training Centres are to develop researchers with capability in end user research that is vital to Australia's future. In delivering this training, the Training Centre focuses its researchers on developing solutions relevant to the Industrial Transformation Priorities.

3.6.                  The research and training programs of the proposed Research Hub or Training Centre must address one or more of the Industrial Transformation Priorities. Prior to applying, potential applicants are strongly encouraged to engage with the relevant industry growth centre.

3.7.                  In this document:

a.         Sections 1 to 15 provide general information required for both ITRP grant opportunities;

b.        Part A provides specific information on the Research Hubs grant opportunity; and

c.         Part B provides specific information on the Training Centres grant opportunity.

3.8.                  This document sets out:

a.         a description, the purpose and objectives of the Research Hubs and Training Centres grant opportunities; 

b.        the general eligibility criteria applicable to all applications for ITRP, and the specific eligibility and assessment criteria applicable to Research Hubs and Training Centres grant opportunities;

c.         information on how applications are assessed and evaluated;

d.        how grantees will be monitored and evaluated; and

e.        responsibilities and expectations in relation to each opportunity.

3.9.                  In these grant guidelines:

a.         an application refers to the completed documentation submitted to Us requesting a grant for a specific grant opportunity. If an application is successful, the grant activity is then referred to as a project; and

b.        the glossary provides a list of defined terms and the definitions that apply to these terms throughout this document.

3.10.              You and the named participants must read this document before filling out an application for either a Research Hub or Training Centre grant opportunity.  


 

4.   Grant amounts and grant periods

4.1.                  For each ITRP grant opportunity, applications for the levels of funding listed in Table 1 will be considered. Further details are provided in the grant opportunity specific parts (Parts A and B) of these grant guidelines.

4.2.                  Table 1: Grant funding available for each ITRP grant opportunity.

Grant Opportunity

Funding for:

Industrial Transformation Research Hubs

(Part A)

For each grant, a minimum of $500,000 to a maximum of $1 million per annum.

Grant duration is three to five years.

Industrial Transformation Training Centres

(Part B)

For each grant:

·      The first three years: a minimum of $650,000 to a maximum of $1 million per annum.

·      Fourth year: a minimum of $150,000 to a maximum of $1 million.

·      Fifth year: no minimum, a maximum of $1 million.

Grant duration is four to five years.

4.3.                  A recommended budget is determined by the SAC after assessing and considering Your application.

4.4.                  We reserve the right to recommend funding levels which may be less than that requested in the application, and a project duration that may differ from that requested in the application.

4.5.                  All funding decisions regarding the Linkage Program will be made by the Minister in accordance with the ARC Act.

4.6.                  If successful, You can only spend grant funds on eligible grant activities as defined in Section 6 and relevant sections of Parts A or B of these grant guidelines and the grant details in Your grant agreement.


 

5.   Grant eligibility criteria

5.1.                  We cannot recommend Your application to the Minister for funding if it does not satisfy all grant eligibility criteria.

5.2.                  This section of the grant guidelines provides the general details of the eligibility requirements for:

a.       eligible applications; and

b.      eligible participants being:

-            Eligible Organisations, including Administering Organisations;

-            Partner Organisations;

-            Other Organisations; and

-            named participants.

5.3.                  Specific grant opportunity eligibility criteria relating to Research Hubs or Training Centres are detailed in the relevant part of these grant guidelines.

What are the eligibility requirements for applications?

5.4.                  The research described in Your application must address one or more of the current Industrial Transformation Priorities.

5.5.                  You must include at least one Australian Partner Organisation in Your application for a grant. You may also include additional Partner Organisations, Other Eligible Organisations and Other Organisations.

5.6.                  You and every Other Eligible Organisation and Partner Organisation on an application must each commit a significant contribution of cash and/or in-kind and/or other material resources to the application having regard to the total cost of the proposed Research Hub or Training Centre and the relative contribution of any Chief Investigator(s) (CIs) or Partner Investigator(s) (PIs) at the organisation.

5.7.                  Cash and in-kind contributions must be essential to the research program of the proposed Research Hub or Training Centre. It is Your responsibility to establish the merit of the case for the in-kind contributions.

5.8.                  The minimum contribution required from each Eligible Organisation, Partner Organisation and/or Other Organisation is explained in the relevant Part of these grant guidelines.

Who is eligible to apply for a grant?

5.9.                  We will only accept applications from the Eligible Organisations in Section 5.11.

5.10.              The Eligible Organisation that submits the application will be the ‘Administering Organisation’ and is referred to as ‘You’. All Other Eligible Organisations listed on the application will be an ‘Other Eligible Organisation’.

5.11.              Eligible Organisations:

Australian Capital Territory

§  Australian Institute of Aboriginal and Torres Strait Islander Studies

§  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 Wollongong

§  Western Sydney University

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 Southern Queensland

§  University of the Sunshine Coast

South Australia

§  Flinders University

§  The University of Adelaide

§  Torrens University Australia

§  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

§  Edith Cowan University

§  Murdoch University

§  The University of Notre Dame Australia

§  The University of Western Australia.

Who is eligible to be a Partner Organisation?

5.12.              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.

5.13.              Each Partner Organisation is expected to participate in the project for the project activity period unless otherwise approved by Us.

5.14.              Each Partner Organisation must:

a.         provide evidence of new or on-going collaboration between the Partner Organisation either directly with You, and/or with an Other Eligible Organisation on the application; and

b.        make a contribution of cash and/or in-kind and/or other material resources that is specific to the project, and having regard to the total cost of the project and not be part of a broader contribution to Your organisation or an Other Eligible Organisation.

5.15.              Partner Organisation cash contributions cannot:

a.         be sourced from funds awarded or appropriated by the Commonwealth or an Australian State or Territory Governments for the purposes of research, nor from funds previously used to leverage government research or research infrastructure funding; or

b.        be a contribution to salaries for CIs and/or PIs on the application.

Who is eligible to be an Other Organisation?

5.16.              Organisations that are not Eligible Organisations and not Partner Organisations but that are named as organisational participants on an application will be Other Organisations.

5.17.              Other Organisations are not required to make a cash or in-kind contribution to the project, but must be relevant to and involved in the research and training programs of the Research Hub or Training Centre.

Who is eligible to be a named participant?

5.18.              Named participants are those individual researchers who are nominated for the particular roles identified for each grant opportunity.

5.19.              Roles that named participants may be nominated for under the ITRP are: 

a.       Research Hub Director (Part A);

b.      Training Centre Director (Part B); 

c.       Chief Investigators (CIs) (Parts A and B); and

d.      Partner Investigators (PIs) (Parts A and B).

5.20.              All Directors, CIs and PIs named in an application must satisfy the eligibility criteria for the role they are to perform. Details of these eligibility criteria are provided in Parts A and B of these grant guidelines.

5.21.              All Directors, CIs and PIs named in an application must take responsibility for the authorship and intellectual content of the application, appropriately citing sources and acknowledging all significant contributions, including from third parties.

Research Hub and Training Centre Directors

5.22.              Information on the requirements for Research Hub Directors and Training Centre Directors is in the relevant Parts of these grant guidelines.

Chief Investigator

5.23.              CIs are expected to:

a.         take significant intellectual responsibility for the conception and conduct of the project and for any strategic decisions required in its pursuit and the communication of results;

b.        ensure effective supervision, support and mentoring at all times of research personnel, including HDR candidates and postdoctoral researchers for whom they are responsible; and

c.         make a commitment to carrying out the project and not assume the role of a supplier of resources for work that will largely be undertaken by others.

Eligibility to apply

5.24.              To be eligible as a CI, the individual nominated must, as at the grant commencement date, have met their obligations regarding previously funded projects, including submission to the ARC of satisfactory final reports.

5.25.              An individual is not eligible to be nominated as a CI if, as at the grant commencement date, or during the project activity period, the individual  is undertaking an HDR. Individuals are eligible to be a CI if they are undertaking a HDR during the application period and the HDR is conferred prior to the grant commencement date.

Eligibility to hold

5.26.              CIs must meet at least one of the following criteria as at the grant commencement date and throughout their involvement in the project:

a.         be an employee for at least 20 per cent of Full Time Equivalent (0.2 FTE) at an Eligible Organisation; or

b.        be a holder of an Honorary Academic Appointment (as defined in the Glossary) at an Eligible Organisation.

5.27.              CIs must reside predominantly in Australia for the project activity period. Any significant absences including fieldwork or study leave directly related to the project must have approval from You and must not total more than half the project activity period.  Where the individual will be absent for greater than half the project activity period, changes must be approved by Us in advance via a Variation of Grant Agreement.

Partner Investigators

5.28.              PIs are expected to:

a.         take significant intellectual responsibility for the planning and conduct of the project and for any strategic decisions required in its pursuit and the communication of results;

b.        have the relevant skills and experience to contribute to the project;

c.         make a commitment to carrying out the project and not assume the role of a supplier of resources for work that will largely be undertaken by others; and 

d.        provide effective supervision, support and mentoring of research personnel, as required.

5.29.              You may name a participant as a PI, who would otherwise be a CI but who does not reside predominantly in Australia as a PI.

Eligibility to apply

5.30.              A PI must not be eligible to be a CI at the grant commencement date.

5.31.              A PI may, or may not, be an employee of a Partner Organisation.

Eligibility to hold

5.32.              A PI must not meet the eligibility criteria for a CI during the project activity period.

5.33.              A PI may become a CI, but must not hold both roles concurrently.

What are the limits on the number of projects and applications per named participant?

5.34.              These limits do not apply to PIs or to unnamed participants on projects such as HDR students, postdoctoral researchers and research assistants.

5.35.              A named participant can be concurrently funded through the Linkage Program for a maximum of:

a.         four Linkage Program projects (not including LIEF) as a CI; and

b.        two Linkage Program LIEF projects as a CI.

5.36.              Named participants can be funded for a maximum of one Director role for a Linkage Program grant.

5.37.              We will calculate limits of projects and applications as at the closing time of submission of applications, and may re-calculate this limit as other grant opportunity announcements are made, by totalling:

a.         the number of Linkage Program CI and Director roles that the participant will hold as active projects as at the active project assessment date (1 July 2019); and

b.        the number of Linkage Program applications We are currently assessing which include that participant as a CI or Director.

5.38.              It is Your responsibility to determine if applying for, or holding, a project under these guidelines will affect an individual researcher’s eligibility for the other ARC grant opportunities as other ARC grant opportunities may have different project limits. We reserve the right to change project and application limits in future grant opportunities. All 2018 ARC grant guidelines are available on GrantConnect. For previous years, please visit the ARC website.

5.39.              We acknowledge that individuals nominated on a Research Hub or Training Centre application may be named on other ARC grant opportunity applications. All grant applications submitted through other ARC grant opportunities, subject to the separate limits on those opportunities, may be retained until the outcome of the relevant ITRP application is known.

5.40.              Named participants on a successful application for a Research Hub or a Training Centre must meet the project limit requirements. This may be achieved by relinquishing existing project(s), or relinquishing role(s) on existing projects, or withdrawing application(s), where allowed, that would exceed the project limits. You must nominate and adequately justify the proposed relinquishment(s). We will determine the outcome of Your nominated relinquishment(s).


 

6.   What the grant money can be used for

Eligible grant activities

6.1.                  Research activities that meet the definition of research as stated in the glossary in these grant guidelines are eligible to be supported under the Linkage Program.

Activities not supported

6.2.                  Unless the following activities meet the definition of research as stated in the glossary in these grant guidelines, the Linkage Program does not support production of:

a.         computer programs, research aids and tools;

b.        data compilations, catalogues or bibliographies; or

c.         teaching materials.

6.3.                  The Linkage Program does not support applications that involve medical research as detailed in the ARC Medical Research Policy. Applications which address the ‘Medical Technologies and Pharmaceuticals’ industrial transformation priority, must take the ARC Medical Research Policy into consideration, as well as address the objectives of the grant opportunity. The main aim of the research program outlined in the application must not be to understand the causes, treatment and/or prevention of human diseases and/or the maintenance of human health.

6.4.                  We will not consider any application that utilises ARC funds for clinical trials.

6.5.                  We will not consider applications for a grant 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 that involve little innovation or are low risk. We deem such applications to be essentially contracted research or a consultancy arrangement and these are ineligible.

Eligible expenditure

6.6.                  Grant money may be requested and used for budget items that directly support the research project contained in an application, including the following items:

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.       expert services of a third party if the services are directly related to and essential for the 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;

d.      equipment (and its maintenance) and consumables essential for the project. Funding will not be provided for equipment or consumables that are considered to be for broad general use;

e.      publication and dissemination of project research outputs and outreach activity costs;

f.        specialised computer equipment and software essential to the project;

g.       expenditure on field research essential to the project, including technical and logistical support, travel expenses (including accommodation, meals and incidental costs);

h.      reasonable essential costs to allow a participant who is a carer, or who personally requires care or assistance, to undertake travel essential to the project;

i.         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 Directors, CIs, PIs, HDR candidates, postdoctoral researchers and research support personnel. Travel costs related to g. and h. above are not counted towards the average of $20,000 per year limit detailed here;

j.        web hosting and web development specific to the project; and

k.       workshops, focus groups and conferences that are essential for the conduct of the project (including reasonable hospitality costs such as morning tea, lunch and afternoon tea).

6.7.                  The Research Hubs and Training Centres grant opportunities include specific additional different budget items for salary support, stipends and/or teaching relief as stated in the relevant Part of these grant guidelines.

6.8.                  You must justify all items for which grant funds are sought in Your application to Our satisfaction.

6.9.                  You can only spend grant funds on eligible grant activities as defined in these grant guidelines and any additional expenditure conditions specified in the grant agreement.

What the grant money cannot be used for

6.10.              You cannot request or use grant money for the following activities:

a.       bench fees or similar laboratory access fees;

b.      capital works and general infrastructure costs;

c.       costs not directly related to the project, including but not limited to professional membership fees, professional development courses, fees for patent application and maintenance, equipment for live music or drama performances, equipment for gallery and museum exhibitions, visas, relocation costs, entertainment costs, insurance, mobile phones (purchase or call charges) 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;

e.      salaries and/or on-costs, in whole or in part, for Directors, CIs or PIs; and

f.        top ups for personnel above any given stipend or salary levels specified in these grant guidelines.

6.11.              The following basic facilities must be provided (where relevant) and funded by You, or the Other Eligible Organisations or Partner Organisations and are not funded by the ARC:

a.       access to a basic library collection;

b.      access to film or music editing facilities;

c.       work accommodation (for example, laboratory and office space, suitably equipped and furnished);

d.      basic computer facilities and standard software; and

e.      standard reference materials or funds for abstracting services.


 

7.   The assessment criteria

7.1.                  Information on assessment criteria for the Research Hub and Training Centre grant opportunities are in the relevant Part of these grant guidelines.

7.2.                  You must address all of the relevant assessment criteria in Your application. Different weightings are assigned to individual criterion.

7.3.                  The application form asks questions that relate to the assessment criteria. The amount of detail and supporting evidence You provide in Your application should be relative to the project size, complexity and grant amount requested. The application form includes character, word and page limits.


 

8.   How to apply

8.1.                  Before You submit an application, You and the named participants must read these grant guidelines, the relevant part of this document for the appropriate grant opportunity, the sample application form, the ‘Instructions to Applicants’, and the draft grant agreement. These documents may be found at GrantConnect. Any additional documents will be published on GrantConnect and by registering on this website You will be automatically notified of any changes.

8.2.                  To apply, You must:

a.         complete the application form in the format We require;

b.        address all of the eligibility and assessment criteria to be considered for a grant;

c.         ensure the application contains all the information necessary for assessment, including eligibility assessment, without the need for further written or oral explanation, or reference to additional documentation. We may request additional information;

d.        for each named participants list (i) all current grants and requested funding under any ARC grant program, and (ii) all current grants under any other Commonwealth grant program. Full details of any financial assistance received for, or in connection with, the research activities or project must be disclosed in the application and on an ongoing basis;

e.        only submit one application for the same project in any grant opportunity. This includes applications which fundamentally have the same research intent, approach and outcomes, regardless of any variations in the research, the named participants and/or Administering Organisations;

f.          make sure that Your application is submitted in accordance with these grant guidelines, grant agreement, Instructions to Applicants and application form. You must only submit an application, if it and the named participants, will be eligible for the grant opportunity as per these grant guidelines; and

g.         certify that the application is compliant with these grant guidelines and all relevant laws and regulations.

8.3.                  Your application must include a letter of support from each Partner Organisation which must:

a.         include the official letterhead;

b.        be no more than two A4 pages;

c.         include a brief profile of the organisation, including the number of employees within the organisation;

d.        provide details of the cash and/or in-kind contributions;

e.        explain 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 Government sources for the purposes of research (if a cash contribution is being made);

g.       state its expectations about industry outcomes/products and market value;

h.      provide details regarding how the application aligns with the Partner Organisation’s strategic objectives;

i.         certify that it will meet the requirements outlined in a standard ARC grant agreement, including the requirement to enter into arrangements regarding Intellectual Property which do not unreasonably prevent or delay academic outputs; and

j.        be signed by the Chief Executive Officer, or delegate.

8.4.                  You must submit Your application through Your Research Office.

8.5.                  You must:

a.         submit Your application on the relevant application form available in the Research Management System (RMS) unless We advise You otherwise; and

b.        certify Your application online in RMS. Research Offices must ensure that the person assigned the Research Office Delegate role in RMS is authorised to certify and submit applications.

8.6.                  Your application should include details of the proposed collaborative arrangements and governance processes to be implemented, including how:

a.         each Partner Organisation will be involved in the project;

b.        the project fits into each Partner Organisation’s overall strategic plan; and

c.         the project is of value to each of the Partner Organisation(s) involved.

8.7.                  Your Partner Organisations’ cash contributions must not be a contribution to salaries for CIs and/or PIs on the project.

8.8.                  In-kind contributions must be essential and central to the Research Hub or Training Centre. It is Your responsibility to establish the merit of the case for recognition of in-kind contributions.

8.9.                  In-kind contributions in the budget section of the application should not include basic salary for any Commonwealth Fellowships, unless it is salary over and above the Commonwealth component supported.

8.10.              Your application cannot include cash or in-kind contributions in years beyond the project activity period.

8.11.              We reserve the right to determine the value of Partner Organisation contributions and may, for the purposes of assessment, determine contributions to be at levels that may differ from those in Your application.

8.12.              Partner Organisation contributions must be specified in Australian dollars and, subject to these grant guidelines, contributed at the specified level regardless of currency fluctuations.

8.13.              You should only include in the application budget items of eligible expenditure as specified in the eligible expenditure section of these grant guideines.

8.14.              You are responsible for ensuring that Your application is complete and all details in the application are accurate and current at the time of submission. Giving incomplete, false or misleading information will exclude Your application from further consideration.

8.15.              You cannot change Your application (additions, deletions or modifications) after the grant opportunity closing date and time.

8.16.              We reserve the right at any point in the process to seek evidence from You to support the certification of applications. We are not obliged to accept any additional information, nor requests from You to correct or amend applications after the closing time.

8.17.              We may approve the withdrawal of an application upon receipt of a written request with justification from You. We will only approve such a request in exceptional circumstances.

8.18.              We cannot fund the same research activities, infrastructure or project previously funded or currently being funded through any other Commonwealth grant.

8.19.              The application form includes help information and further information is in the ‘Instructions to Applicants’ document on GrantConnect. If You have any technical difficulties, please contact arc-systems@arc.gov.au.

Attachments to the application

8.20.              You must attach supporting documentation to the application form in line with the instructions provided in these grant guidelines, within the form or in the Instructions to Applicants. You should only attach requested documents. We will not consider information in attachments that We do not request.

Timing of the grant opportunities

8.21.              We publish information on GrantConnect for all Linkage Program grant opportunities and this includes the relevant timing for the submission of applications.

8.22.              You must submit Your application to Us between the grant opportunity opening and closing date and time specified on GrantConnect. We will not accept late applications, other than in exceptional circumstances (such as due to natural disasters) in which case We will discuss this with You, and if We agree, invite You to make a late application.

8.23.              Subject to the grant guidelines, a grant will commence on or after the grant commencement date for the grant opportunity.

Questions during the application period

8.24.              Questions during the application period should be directed to Your Research Office. Answers to frequently asked questions may also be posted on GrantConnect.

9.   The grant selection process

9.1.                  All applications will be considered through a competitive grant process.

Who will assess applications?

9.2.                  Applications submitted for ITRP grants will be assessed by Detailed Assessors and a SAC comprising General Assessors.

9.3.                  Detailed Assessors are discipline-specific, interdisciplinary and/or industry experts in their knowledge fields drawn from the ARC assessor community. Detailed Assessors are assigned applications to review based on their specific expertise in one or more fields of research.

9.4.                  We appoint one or more SACs for the ITRP. The SAC may consist of both eminent academic experts and/or ARC College of Expert members and will also include industry or other end-user representatives.

9.5.                  Any Detailed Assessors or General Assessors who are not Australian Public Servants must adhere to and uphold the Australian Code for the Responsible Conduct of Research (2018).

9.6.                  Any College of Experts or SAC members who are not an Australian Public Servant must uphold the Australian Public Service Values and Code of Conduct in accordance with Part 1, section 2.9 of the CGRGs.

9.7.                  We have procedures in place for managing organisational and personal Conflicts of Interest for Detailed Assessors, SAC members and ARC staff. Details of these procedures are in the relevant section of these grant guidelines and in the ARC’s Conflict of Interest and Confidentiality Policy.

What is the grant assessment process?

Eligibility process

9.8.                  We will review Your application against all the eligibility criteria contained in these grant guidelines.

9.9.                  We may determine whether an application meets the eligibility requirements in these grant guidelines at any stage during assessment of the application.

9.10.              If We consider that an application is ineligible, the application may not be progressed through the assessment process.

9.11.              If an application is ineligible, We must not recommend the application for funding.

The assessment process

9.12.              All applications which meet the eligibility criteria will be assessed and merit ranked using all the assessment criteria.

9.13.              We manage the assessment of applications. Your application will be considered on its merits, based on:

a.       how well it meets the criteria;

b.      how it is ranked against other applications; and

c.       whether it provides value for money.[1]

9.14.              The process that we will undertake includes the following steps:

a.       We assign applications to General Assessors.

b.      Applications are assigned to Detailed Assessors. In assigning assessors, We may take requests not to assess into account (see below for further information).

c.       Detailed Assessors provide assessment with scores and written comments against assessment criteria for each application.

d.      Applicants are provided with Detailed Assessors’ comments and are invited to submit a rejoinder to the assessment text (see below for further information on this process).

e.      Applications, scores and comments provided in the detailed assessments and the applicant’s rejoinder are provided to the General Assessors for consideration. General Assessors assign their own scores against the relevant assessment criteria.

f.        Applications may be provided to the relevant Industry Growth Centre, subject to any Conflicts of Interest. Applications will not be provided to the relevant Industry Growth Centre when that Growth Centre is listed as a Partner Organisation in an application. If asked, the Growth Centre provides comments to Us on the applications for the SAC’s consideration.

g.       The SAC meets to discuss the ranking of each application relative to other applications and determines funding recommendations.

h.      We may undertake interviews as part of the assessment process. If interviews are to be undertaken, You will be notified if Your application has, or has not, been shortlisted for interview. The format of interviews will be determined by Us, and would be expected to include the proposed Research Hub Director/Training Centre Director and key participants to be in attendance. We will not fund any costs for attendance at interviews.

i.         The SAC makes recommendations to the CEO on which applications should be approved for funding, which applications should not be approved for funding, and the level of funding and duration of each grant. The CEO will make recommendations for funding to the Minister based on any number of assessments.

j.        The CEO will make grant recommendations to the Minister who may make a decision on which applications are approved for funding.

Requests not to assess process

9.15.              You may name up to three persons whom You do not wish to assess an application by submitting a ‘Request Not to Assess’ (RNTA) form as detailed on GrantConnect and the ARC website. This form must be received by Us two weeks prior to the closing date of the relevant grant opportunity.

9.16.              Only one request containing the names of up to three individual assessors may be submitted per application.

9.17.              If You name a current ARC College of Experts member, as listed on the ARC website at the time of submitting the ‘Request Not to Assess’ form, the request must be accompanied by comprehensive evidence justifying the request for the ARC College of Experts member or members named. If We consider the evidence is not sufficient for the named ARC College of Experts member or members, We will reject part, or all, of the request.

9.18.              You may submit a ‘Request Not to Assess’ form naming more than three persons whom You do not wish to assess an application. Any request containing more than three names must be accompanied by comprehensive evidence justifying the request for all persons listed. If We consider the evidence is not sufficient for one or more of the named people, We will reject part, or all, of the request.

9.19.              We will have absolute discretion about whether We accept or refuse a ‘Request Not to Assess’. We will not notify you of the outcome.

Rejoinder Process

9.20.              You will be given the opportunity to respond to assessors’ written comments through a rejoinder, and to provide any additional information requested by Us. Names of assessors will not be provided. Further information on the rejoinder process is available on the ARC website.

Who will approve grants?

9.21.              In accordance with the ARC Act, Our CEO will submit grant recommendations to the Minister for consideration.

9.22.              The Minister will determine which grants to approve. The Minister’s decision is final in all matters, including:

a.       the approval of the grant;

b.      the grant funding amount to be awarded;

c.       the duration of the grant; and

d.      the terms and conditions of the grant.

9.23.              The ARC Act states that the Minister must not approve a grant for any application that fails to:

a.       meet the eligibility criteria;

b.      comply with the assessment process; and

c.       satisfy the requirements for financial assistance.

9.24.              The CGRGs states that the Minister must consider the key principle of achieving value with money when approving a grant.

9.25.              Any successful application awarded a grant will be subject to sufficient funds being available for the Program and the provisions of the ARC Act.  

10. Notification of application outcomes  

10.1.              You will be notified of the outcome of Your application via RMS, following a decision by the Minister. The notification in RMS will include information on:

a.       successful and unsuccessful applications;

b.      feedback on applications;

c.       grant amounts;

d.      any specific conditions to be included in the grant agreement; and

e.      the commencement of the grant period. This is usually the grant commencement date.

10.2.              If You are unsuccessful, You may be able to submit a new application for the same, or similar, research application in future grant opportunity rounds. This will depend on the specific provisions of the grant opportunity You are applying for. You should include new or more information to address any weaknesses that may have prevented Your previous application from being successful.

10.3.              If your application is found to be ineligible, You will be notified of this through RMS.

Feedback on Your application

10.4.              If Your application was found to be eligible, feedback on Your eligible application will be provided through RMS.


 

11. Successful grant applications

The grant agreement

11.1.              If You are successful, You must enter into a legally binding grant agreement with the Commonwealth represented by the ARC.

11.2.              We use the Linkage Program ITRP grant agreement which contains standard terms and conditions that cannot be changed. A sample grant agreement is available on GrantConnect. Any additional conditions attached to the grant will be identified in the grant offer.

11.3.              You will have 28 calendar days from the date of the grant offer to execute this grant agreement with the Commonwealth.

11.4.              We must execute a grant agreement with You before We can make any payments. We are not responsible for any of Your project expenditure until a grant agreement is executed. You must not start any activities until all third party agreements are executed.

11.5.              You must list the contributions of each Partner Organisation in the ensuing contractual agreements between Your organisation and the Partner Organisations.

11.6.              Directors must be employed by the Administering Organisation for the term of their involvement in the project.

11.7.              If You enter an agreement for a Linkage Program grant, You cannot receive other grants for the same budgeted grant activities from other Commonwealth grant programs.

11.8.              You will be required to conduct the project substantially in accordance with the ‘Project Description’ contained in the application for that project. Your application forms part of the grant agreement.

11.9.              We will recover grant funds and terminate the project if You fail to meet the obligations of the grant agreement.

Specific research policies and practices  

11.10.           You and each project research participant are required to be compliant with all relevant laws and regulations. In particular, You must certify in Your application that You comply with the following requirements.

Ethics and Research Practices

11.11.           All applications and ARC-funded research projects must comply with the requirements specified in the following and successor documents:

a.       the ARC Research Integrity and Research Misconduct Policy (2016);

b.      the National Principles of Intellectual Property Management for Publicly Funded Research (2017);

c.       the ARC Open Access Policy (2017);

d.      the Australian Code for the Responsible Conduct of Research (2018);

e.      as applicable, the National Statement on Ethical Conduct in Human Research (2015);

f.        as applicable, Ethical conduct in research with Aboriginal and Torres Strait Islander Peoples and communities: Guidelines for researchers and stakeholders (2018);

g.       as applicable, Australian Institute of Aboriginal and Torres Strait Islander Studies Guidelines for Ethical Research in Australian Indigenous Studies (2012);

h.      as applicable, Australia Council for the Arts Protocols for Producing Indigenous Australian Music; Writing; Visual Arts; Media Arts; and Performing Arts (2007); and

i.         as applicable, the Australian Code for the Care and Use of Animals for Scientific Purposes (2013).

11.12.           If there is any conflict between a successor document and its predecessor, then the successor document prevails to the extent of any inconsistency. These documents are all available on the ARC website.

Misconduct, incomplete or misleading information

11.13.           All research projects funded by Us must comply with the ARC Research Integrity and Research Misconduct Policy.

11.14.           If We consider that an application is incomplete We may in Our absolute discretion decide to recommend that the application not be approved for a grant.

11.15.           If We consider that an application is inaccurate or contains false or misleading information, or involves misconduct, We will in Our absolute discretion decide to recommend that the application not be approved for a grant.

11.16.           Examples of misleading information and misconduct include:

a.       providing fictitious Research Opportunity and Performance Evidence (ROPE);

b.      plagiarism;

c.       making false claims in relation to the authorship of the application;

d.      failing to make adequate acknowledgement of intellectual, design or other significant contributions to the application;

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; and

h.      failing to disclose the existence, and nature, of actual or potential Conflicts of Interest of any of the parties involved in the application/project (such as any affiliations or financial interest in any organisation that has a direct interest in the matter or outputs of the project).

Intellectual Property

11.17.           We do not claim ownership of any intellectual property in an application or in any research arising from a project.

11.18.           You must adhere to an intellectual property policy, approved by Your governing body, which has as one of its aims the maximisation of benefits to Australia arising from publicly funded research. You should ensure that individuals applying for ARC grants are familiar with the current intellectual property and patent landscape for the research areas included in the application. Unless otherwise approved by the Commonwealth, Your 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.

Publication and dissemination of research outputs and research data

11.19.           All research projects funded by Us must comply with the ARC Open Access Policy on the dissemination of research findings, which is on the ARC website.

11.20.           Participants and institutions have an obligation to collect and maintain research data in accordance with the Australian Code for the Responsible Conduct of Research (2007). We strongly encourage the depositing of data arising from a project in an appropriate publicly accessible discipline and/or institutional repository. Participants must outline briefly in their application how they plan to manage research data arising from a project.

11.21.           We strongly encourage all participants applying for grants to have an Open Researcher and Contributor ID (ORCID) in their RMS Profile.

How We pay the grant money

11.22.           Payments will be made as set out in the grant agreement.

11.23.           The grant offer will specify the approved amount for that project, or as otherwise varied by Us in accordance with the grant agreement. 

11.24.           Any project expenditure incurred by You for a project additional to the approved amount for that project specified in the grant offer, or as otherwise varied by Us, is Your responsibility. We will not reimburse You for such costs under any circumstances.

11.25.           You are responsible for any and all financial and taxation implications associated with receiving funds. Grant funding may be indexed. Grant funding will typically be paid monthly through Our usual payment system.

11.26.           Once the grant agreement is signed by the Commonwealth, payment will be made on the next available date for grant payments after the grant commencement date.

11.27.           Any grant 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.

11.28.           All amounts referred to in these grant guidelines are to be read as exclusive of the Goods and Services Tax (GST), unless expressly stated otherwise.

Grant agreement variations

11.29.           We recognise that unexpected events may affect the progress of a project. In these circumstances, You can request a project variation, including:

a.       changing a project’s internal budget or research plan;

b.      extending the timeframe for completing the project; and/or

c.       changing participants or organisations named on the project.

11.30.           You cannot request an increase to the agreed amount of grant funds.

11.31.           If You want to propose changes to the grant agreement, You must submit a Variation of Grant Agreement (Variation) to Us in RMS.

11.32.           If a CI is at any time no longer able to work as proposed on the project, the project may be continued, provided any replacement CI meets the CI eligibility criteria. We must approve these changes via a Variation.

11.33.           If 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 meets the PI eligibility criteria. We must approve these changes via a Variation.

11.34.           A Variation must be approved by Us to be a valid part of the grant agreement. We will consider Your request based on factors such as:

a.       how it affects the project outcome; and

b.      consistency with the grant opportunity objectives, the project’s aim and objectives and any relevant ARC policies.

11.35.           We will notify You of the outcome of a Variation.

Keeping Us informed

11.36.           You should let Us know if anything is likely to affect Your project.

11.37.           You must also inform Us of any changes to Your:

a.       name;

b.      address(es);

c.       nominated contact details; and

d.      bank account details.

11.38.           If You become aware of a breach of terms and conditions under the grant agreement, You must contact Us immediately.


 

12. Announcement of grants

12.1.              If successful, Your grant will be listed on the GrantConnect website 21 calendar days after the date of effect as required by section 5.3 of the CGRGs.

12.2.              We may publicise and report offers and grants awarded, including the following information about the project:

a.       Your name and any other parties involved in or associated with the project;

b.      named participants and their organisations;

c.       the research project (the title and summary descriptions);

d.      classifications and international collaboration country names; and

e.      the ARC grant funding amount.

12.3.              You should ensure that information contained in the project title and summary descriptions will not compromise Your requirements for confidentiality (such as protection of intellectual property).

12.4.              In making public information about a project that has been approved for a grant, We may use a project description, including title and summary, which differs from that provided in the application.    


 

13. How We monitor Your grant activity

13.1.              We will monitor the grant activities through the requirements of the grant agreements for You:

a.       to submit end-of-year reports, progress reports by exception and final reports; and

b.      to provide information, as requested, for program or grant opportunity evaluations.

13.2.              You must submit reports in line with the grant agreement. Reports must be submitted to Us through RMS, unless otherwise advised by Us. 

13.3.              The amount of detail You provide in Your reports should be relative to the project’s size, complexity and grant amount.

13.4.              We will monitor progress by assessing reports You submit and may conduct site visits or request records to confirm details of Your reports if necessary. We may occasionally need to re-examine claims, seek further information or request an independent audit of claims and payments.

Key Performance Indicators

13.5.              You will be required to submit to Us agreed KPIs for each year of Your project. We will provide You with instructions for this reporting.

Annual Progress Report

13.6.              You must submit an annual progress report to Us by 31 March in the year following each calendar year for which the grant was awarded.

13.7.              You must report against Your agreed KPIs annually in this report.

End of Year Report

13.8.              You must submit an end of year financial report by 31 March in the year following each calendar year for which the grant was awarded, in accordance with the instructions We provide each year. We will make the form for these reports available in RMS, with instructions on the ARC website.

Progress Reporting by Exception

13.9.              A Progress Report by exception must be completed as part of the End of Year Report only if significant issues are affecting the progress of the project.

13.10.           If We are not satisfied with the progress of any project, further payment of grant funds may 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 grant may be terminated and all outstanding monies will be recovered by us.

Final Report

13.11.           You must submit a final report for the project within 12 months of the final ARC approved project end date. We will make the form for this report available in RMS, with instructions on the ARC website.

13.12.           The final report must address compliance with the conditions on which funding was granted, as set out in the grant agreement.

13.13.           You must ensure that all CIs have completed all obligations for the final report.

13.14.           If the final report is not submitted or is not satisfactory to Us this will be considered as an eligibility matter for future ARC applications for the named participants on the project.

13.15.           We may also seek additional information about subsequent research outputs after submission of the final report.

Performance reviews

13.16.           We may undertake ad hoc reviews of a Research Hub or Training Centre at any time. A review will be triggered in special circumstances including, but not limited to a:

a.       change of Research Hub Director or Training Centre Director;

b.      significant change of scope or circumstance relating to the Research Hub or Training Centre; or

c.       proposed transfer of the Research Hub or Training Centre to a new Administering Organisation.

13.17.           Reviews may inform whether there is satisfactory progress of the project.

13.18.           Outcomes and feedback arising from reviews as outlined above may inform any evaluations and continuation of the Research Hub or Training Centre.

Compliance visits and record keeping

13.19.           We may visit You during or at the completion of Your project to review Your compliance with the grant agreement. We may also inspect the records You are required to keep under the grant guidelines and grant agreement. We will provide You with reasonable notice of any compliance visit.

13.20.           You must retain the evidence and paperwork relied upon to certify your application in RMS and make this available to Us if requested.

Evaluation

13.21.           We undertake evaluations of the performance and administration of the grant opportunities under the Linkage Program. Your grant agreement requires You to provide information to help with these evaluations.

Acknowledgement

13.22.           Subject to commercial sensitivities and intellectual property considerations, the outcomes of projects are expected to be communicated to the research community and to the community at large.

13.23.           You must ensure that Our contribution and support of the project is acknowledged in a prominent place and a form acceptable to Us. This clause applies to any website established for a Research Hub and Training Centre

13.24.           Advice of acceptable forms of acknowledgement and use of the ARC logo is provided on the ARC website. Any published research output must include acknowledgement of ARC funding and the ARC Project ID.

14. Probity  

14.1.              We will make sure that the grant opportunity processes are fair, in accordance with the published grant guidelines, incorporate appropriate safeguards against fraud, unlawful activities and other inappropriate conduct and are consistent with the ARC Act and the CGRGs.

Appeals process

14.2.              We will only consider appeals against the administrative process and not against committee decisions, assessor ratings and comments or the assessment outcome. Appellants must identify the specific guideline/legislative instrument clause, policy or procedure which they believe has been incorrectly applied.

14.3.              You are able to submit an appeal against the administrative process used to assess applications. The appeals process is designed to ensure that the application has been treated fairly and consistently in the context of selection processes.

14.4.              You must submit an appeal using the ARC Appeals Form on the ARC website and have it authorised by a Deputy Vice-Chancellor (Research) or equivalent. Appeals must be received within 28 days of the date You receive notification of the outcome of Your application. We will not accept appeals later than 5.00pm (AEDT/AEST) on the appeals submission due date.

14.5.              Appeals must be submitted to Us electronically to ARC-NCGP@arc.gov.au.

14.6.              If You do not agree with the way We have handled Your appeal, You may complain to the Commonwealth Ombudsman. The Ombudsman will not usually look into a complaint unless the matter has first been raised directly with the ARC. The Commonwealth Ombudsman can be contacted on:

Phone (Toll free): 1300 362 072

Email: ombudsman@ombudsman.gov.au

Website: ombudsman.gov.au

14.7.              Applicants for funding may at any time seek to appeal Our decisions using available external appeal options. The Administrative Appeals Tribunal does not have general power to review Our decisions.   

Conflict of interest

14.8.              Our purpose is to support the highest quality research and as such Our conflict of interest policy is designed to ensure that all material personal interests are disclosed. As a result, conflicts of interest are identified and managed in a rigorous and transparent way to ensure the integrity, legitimacy, impartiality and fairness of Our processes. Management of conflicts of interest in this way is designed to maintain public confidence in Our business processes.

14.9.              Any conflicts of interest could affect conduct of the selection processes and/or the performance of the grant. There may be a conflict of interest, or perceived conflict of interest, if the relevant ARC staff, an assessor, member of a committee or advisor and/or You or any of Your personnel:

a.       has a professional, commercial or personal relationship with a party who is able to influence the application selection process, such as an Australian Government officer;

b.      has a relationship with, or interest in, an organisation, which is likely to interfere with or restrict the applicants from carrying out the proposed activities fairly and independently; or

c.       has a relationship with, or interest in, an organisation from which they will receive personal gain because the organisation receives a grant under the Program.

14.10.           You will be asked to certify, as part of Your application, any perceived or existing conflicts of interests or that, to the best of Your knowledge, there is no conflict of interest. Each individual or organisation named in an application 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 application or project.

14.11.           If a Conflict of Interest exists or arises, You must have documented processes in place for managing the Conflict of Interest for the duration of the project. Such processes must comply with the Australian Code for the Responsible Conduct of Research (2007), the ARC Conflict of Interest and Confidentiality Policy and any relevant successor documents.

14.12.           If You later identify that there is an actual, apparent, or potential conflict of interest or that one might arise in relation to an application, You must inform Us in writing immediately.

14.13.           We will handle any conflicts of interest as set out in Australian Government policies and procedures. Conflicts of interest for Australian Government staff will be handled as set out in the Australian Public Service Code of Conduct (Section 13(7)) of the Public Service Act 1999. Committee members and other officials including the decision maker must also certify any conflicts of interest.

14.14.           We publish Our Conflict of Interest Policy on the ARC website.

Privacy: confidentiality and protection of personal information

14.15.           We treat Your personal information according to the 13 Australian Privacy Principles and the Privacy Act 1988. This includes letting You know:

a.       what personal information We collect;

b.      why We collect Your personal information; and

c.       who We give Your personal information to.

14.16.           You are required, as part of Your application, to certify Your compliance with the Privacy Act 1988, including the Australian Privacy Principles and impose the same privacy obligations on any subcontractors You engage to assist with the activity. You must ask for the Australian Government’s consent in writing before disclosing confidential information.

14.17.           Your personal information can only be disclosed to someone else if You are given:

a.       reasonable notice of the disclosure;

b.      where disclosure is authorised or required by law or is reasonably necessary for the enforcement of the criminal law;

c.       if it will prevent or lessen a serious and imminent threat to a person’s life or health; or

d.      if You have consented to the disclosure.

14.18.           The Australian Government may also use and disclose information about grant applicants and grant recipients under the NCGP in any other Australian Government business or function. This includes giving information to the Australian Taxation Office for compliance purposes.

14.19.           We may reveal confidential information to:

a.       assessors, the SAC and other Commonwealth employees and contractors to help Us manage the program effectively and in accordance with any other provision of these grant guidelines or subsequent grant agreement;

b.      the Minister and their staff;

c.       employees and contractors of Our entity so We can research, assess, monitor and analyse Our programs and activities;

d.      employees and contractors of other Commonwealth agencies for any purposes, including government administration, research or service delivery;

e.      other Commonwealth, State, Territory or local government agencies in program reports and consultations;

f.        the Auditor-General, Ombudsman or Privacy Commissioner; and

g.       a House or a Committee of the Australian Parliament.

14.20.           We may share the information You give with other Commonwealth agencies for any purposes including government administration, research or service delivery and according to Australian laws, including the:

a.      Crimes Act 1914;

b.      Criminal Code Act 1995;

c.       Privacy Act 1988;

d.      Public Service Act 1999;

e.       Public Service Regulations 1999; and

f.        Public Governance, Performance and Accountability Act.

14.21.           We will treat the information You give Us as sensitive and therefore confidential if it meets one of the four conditions below:

a.       You clearly identify the information as confidential and explain why We should treat it as confidential;

b.      the information is commercially sensitive;

c.       revealing the information would cause unreasonable harm to You or someone else; or

d.      You provide the information with an understanding that it will stay confidential.

14.22.           The grant agreement will include any specific requirements about special categories of information collected, created or held under the grant agreement.

Freedom of information

14.23.           All documents in the possession of the Australian Government, including those about the Linkage Program, are subject to the Freedom of Information Act 1982 (FOI Act).

14.24.           The purpose of the FOI Act is to give members of the public rights of access to information held by the Australian Government and its entities. Under the FOI Act, members of the public can seek access to documents held by the Australian Government. This right of access is limited only by the exceptions and exemptions necessary to protect essential public interests and private and business affairs of persons in respect of whom the information relates.

14.25.           All Freedom of Information requests must be referred to the Freedom of Information Coordinator in writing.

14.26.           By mail:     Freedom of Information Coordinator

Australian Research Council

GPO Box 2702

CANBERRA ACT 2601

By email:                foi@arc.gov.au

 

15. Consultation

15.1.              We may conduct a survey of Eligible Organisations after the outcomes of each selection round are announced. Outcomes of the survey will be considered in the development of subsequent grant guidelines.

 

 

 


Part A    Industrial Transformation Research Hubs (Research Hubs)

A1.      About the grant opportunity

A1.1               This part of the document sets out the specific requirements for the Industrial Transformation Research Hubs (Research Hubs) grant opportunity. This part must be read together with the general ITRP requirements in Sections 1-15 of these grant guidelines.

Important dates

A1.2               The grant commencement date for Research Hubs grant opportunity for funding commencing in 2019 is 1 January 2019.

A1.3               The active project assessment date for Research Hubs grant opportunity for funding commencing in 2019 is 1 July 2019.

Description

A1.4               Research Hubs engage Australia's best researchers to develop collaborative solutions to Industrial Transformation Priorities and to train the future research workforce. Research Hubs support joint research activity, between the Australian higher education sector and industry, designed to focus on strategic outcomes that cannot be realised independently of each other.

A1.5               The Research Hub objectives are to:

a.       encourage collaborative R&D projects between universities and organisations outside the Australian higher education sector that will engage in cutting-edge research on new technologies to create economic, commercial and social transformation;

b.      leverage national and international investment in targeted industry sectors, including from industry and other research end-users; and

c.       drive growth, productivity and competitiveness within the Industrial Transformation Priorities.

A2.      Grant amount

A2.1               The ARC may provide project funding as detailed in Table 2.

A2.2               Table 2. Research Hub funding[2] and grant duration

Category

Details

Research Hub funding level

Between $500,000 to $1 million per annum.

Research Hub funding duration

Between three and five consecutive years.

A3.      Grant eligibility criteria

A3.1               The organisation roles available under the Research Hubs grant opportunity are:

a.       Administering Organisation;

b.      Eligible Organisations;

c.       Partner Organisations; and

d.      Other Organisations.

A3.2               The named participant roles available under the Research Hubs grant opportunity are:

a.       Research Hub Director;

b.      CIs; and

c.       PIs.

Applications

A3.3               To be eligible, a Research Hub application must:

a.       nominate at least one Australian Partner Organisation;

b.      directly address one or more of the current Industrial Transformation Priorities.

A3.4               Your Research Hub application must include the following named participants:

a.       Research Hub Director, who is an eligible CI from Your organisation;

b.      at least one other CI from Your organisation;

c.       at least one CI from each Eligible Organisation; and

d.      at least one PI from each Partner Organisation.

A3.5               You and each Other Eligible Organisation and Partner Organisation on an application must each commit a significant contribution of cash and/or in-kind and/or other material resources to the application having regard to the total cost of the proposed Research Hub and the relative contribution of any CI(s) or PI(s) at the organisation.

A3.6               Your application must include a commitment of combined Partner Organisation(s) contributions (i.e. the total of the cash and in-kind contributions of the Partner Organisations) that matches or exceeds the total funding requested from Us.

A3.7               The combined Partner Organisation(s) cash contribution:

a.       must be at least 75 per cent of the total funding requested from Us where any Partner Organisation has more than 100 employees;

b.      has no minimum contribution where the Partner Organisation or the largest Partner Organisation in a consortium in the application has 100 employees or less; and

c.       has no upper limit.

A3.8               Research Hubs are led by a Research Hub Director, and may be supported by a Hub Manager to undertake the business management, corporate governance and administrative responsibilities. We encourage You to carefully consider including support for a Hub Manager in your application, to allow the Research Hub Director to prioritise the strategic and research leadership tasks. It is up to You to determine the most appropriate team for your application.

Research Hub Director

A3.9               The Research Hub Director will be responsible for developing and implementing the strategies and managing the research project. The Research Hub Director must coordinate the research effort and reporting structures across the Eligible Organisation(s) and Partner Organisation(s).

Eligibility to apply

A3.10            To be eligible, the nominated participant for the Research Hub Director role must, as at the grant opportunity closing date:

a.       meet all the eligibility criteria to apply as a CI; and

b.      commit a minimum of 50 per cent of Full Time Equivalent (0.5 FTE) to the activities of the Research Hub.

Eligibility to hold

A3.11            The Research Hub Director must be employed by You at the grant commencement date of the project and for the project activity period.

A4.      What the grant money can be used for

Eligible expenditure

A4.1               Grant money may be requested and used for budget items that directly support the research program contained in an application, including the following items:

a.       items in Section 6.5 of these grant guidelines;

b.      salary support for a Hub Manager, research associates and assistants, technicians and laboratory attendants at an appropriate salary level, including 30 per cent on-costs, for the employing organisation;

c.       stipends for HDR candidates enrolled at an Eligible Organisation, at $32,788 (2018$) each at 1.0 FTE per year; and

d.      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).

A5.      The assessment criteria

A5.1               The assessment criteria for the Research Hub grant opportunity are:

a.   Project Quality and Innovation                                                                                                   30%

Describe the extent to which:

    the research clearly addresses one or more of the Industrial Transformation Priorities;

    the aims, concepts, methods and outcomes will drive growth, productivity and competitiveness within relevant sectors;

    the method, approach and intended benefits address the objectives of the Research Hubs grant opportunity;

    the project draws together high quality innovative national and international partnership(s) into an integrated Research Hub; and

    the conceptual/theoretical framework is genuinely integrated, cross-disciplinary, innovative and original.

b.  Feasibility and Commitment                                                                                                       20%

Describe:

    how the design of the Research Hub and the expertise of the participants is sufficient to ensure the project can be completed within the proposed budget and timeframe. Please include identified risks and mitigation strategies;

     the project’s wide level of collaboration, including the development of national and international networks and linkages;

    the research environment and how it will provide high-quality intellectual support for the Research Hub;

    how the Research Hub will build research capacity in the Partner Organisation(s);

    the necessary facilities that are available to complete the project;

    how each Partner Organisation(s) is genuinely committed to, and prepared to collaborate in, the Research Hub;

    the extent to which each Partner Organisation(s) has the capacity to support the Research Hub; and

    how the budget, including cash and in-kind Contributions, is adequate.

c.   Benefit                                                                                                                                                  30%

Describe:

    the extent to which the Research Hub represents value for money;

    the clearly identified market opportunity(ies) and intended transformation for Australian industry or other end users;

    the extent to which the proposed Research Hub engages, and will continue to engage, meaningfully with the relevant Industry Growth Centre(s);

    the extent to which there are adequate strategies to encourage dissemination, promotion, and the commercialisation of research outcomes; and

    where relevant, the extent to which the applicants have identified the freedom to operate in the Intellectual Property and patent landscape to enable future benefits to industry.

d.  Investigator(s)                                                                                                                                    20%

Describe:

    how this is the best team to achieve the Research Hub’s goals;

    how the team demonstrates suitable Research Opportunity and Performance Evidence (ROPE); and

    the extent to which the leadership and team have suitable management experience in distributed and/or collaborative industrial and end-user focussed research.

A6.      How to apply

A6.1               You must include in Your application a letter of support from each Partner Organisation. This letter must include a number of details as outlined in Section 8.

A7.            Successful grant applications

A7.1               You are encouraged to work with Us to facilitate effective establishment of the Research Hub.

Grant agreement variations

A7.2               If the Research Hub Director is at any time during the project no longer able to undertake this role, the project may be continued under a replacement Research Hub Director provided that:

a.       prior approval is obtained from Us for the replacement Research Hub Director;

b.      a replacement Research Hub Director meets the eligibility criteria for a Research Hub Director and those for a CI at the time of their nomination and for the full term of their participation in the Research Hub, and the reasons for replacement are justified to Our satisfaction; and

c.       the Administering Organisation has obtained approval from all participating organisations for the change in Research Hub Director.


Part B    Industrial Transformation Training Centres (Training Centres)

B1.      About the grant opportunity

B1.1                This Part of the document sets out the specific requirements for the Industrial Transformation Training Centres grant opportunity. This part must be read together with the general ITRP requirements in Sections 1-15 of these grant guidelines.

Important dates

B1.2                The grant commencement date for Training Centres grant opportunity for funding commencing in 2019 is 1 January 2019.

B1.3                The active project assessment date for Training Centres grant opportunity for funding commencing in 2019 is 1 July 2019.

Description

B1.4                The Training Centres grant opportunity fosters close partnerships between university-based researchers and other researchers. Training Centres deliver innovative Higher Degree by Research (HDR) and postdoctoral training. The focus is on creating end-user research capability that is vital to Australia's future through developing solutions relevant to the Industrial Transformation Priorities.

B1.5                The Training Centre objectives are to:

a.       support opportunities for HDR candidates and postdoctoral researchers to pursue industrial training;

b.      drive growth, productivity and competitiveness by linking to the relevant sectors;

c.       enhance competitive research collaboration between universities and organisations outside the Australian higher education sector; and

d.      strengthen the capabilities of industry and research end-users in identified Industrial Transformation Priority areas.

B2.      Grant amount

B2.1                The ARC may provide project funding, which includes salary funding and stipend funding as detailed in Table 3.

B2.2                Table 3: Training Centre details of funding[3] and duration

Category

Details

Training Centre funding maximum

Maximum of $5 million over a maximum of five consecutive years.

Training Centre funding level

(funding includes funding for ICHDR positions and ICPD positions at rates as listed below)

Between $650,000 and $1 million per annum for the first three years.

Between $150,000 and $1 million per annum for the fourth year.

There is no minimum level of funding provided by the ARC in the fifth year. The maximum is $1 million.

Training Centre funding duration

Between four and five consecutive years.

ICPD salary level

$111,780 (2018$) per person per annum at 1.0 FTE

ICPD salary duration

Up to five consecutive years.

ICHDR stipend level

$32,788 (2018$) per person per annum at 1.0 FTE

ICHDR stipend duration

Two or three years, as appropriate for the Higher Degree by Research that the ICHDR is undertaking.

B2.3                A project may include additional HDR and postdoctoral positions. Any roles funded by external sources are not considered to be ICHDRs and ICPDs and are not covered by the employment conditions in the grant agreement.

B3.      Grant eligibility criteria

B3.1                The organisation roles available under the Training Centres grant opportunity are:

a.       Administering Organisation;

b.      Other Eligible Organisations;

c.       Partner Organisations; and

d.      Other Organisations.

B3.2                The named participant roles available under the Training Centres grant opportunity are:

a.       Training Centre Director;

b.      CIs; and

c.       PIs.

Applications

B3.3                To be eligible, Your application must:

a.       nominate at least one Australian Partner Organisation; and

b.      address one or more of the current Industrial Transformation Priorities.

B3.4                Your application must nominate the following named participants:

a.       Training Centre Director, who is an eligible CI from Your organisation;

b.      At least one other CI from Your organisation;

c.       At least one CI from each Eligible Organisation; and

d.      At least one PI from each Partner Organisations.

B3.5                You and each Other Eligible Organisation and Partner Organisation on an application must each commit a significant contribution of cash and/or in-kind and/or other material resources to the application having regard to the total cost of the proposed Training Centre and the relative contribution of any CI(s) or PI(s) at the organisation.

B3.6                Your application must include a commitment of combined cash and in-kind contributions to the Training Centre that, along with the ARC contribution, are sufficient to support all the research projects described in the application and particularly that of the ICHDRs and ICPDs in the Training Centre.

B3.7                Training Centres are led by a Training Centre Director, and may be supported by a Centre Manager to undertake the business management, corporate governance and administrative responsibilities. We encourage You to carefully consider including support for a Centre Manager, to allow the Training Centre Director to prioritise the strategic, research and training leadership tasks. It is up to You to determine the most appropriate team for your application.

B3.8                The minimum Training Centre grant includes funding to recruit ten HDR candidates and three postdoctoral researchers. It is up to You to determine the most appropriate number of HDR candidates and postdoctoral researchers for your application, and this number of researchers is a guide only. HDR Candidates employed by the Training Centre are ‘ICHDRs’. Postdoctoral researchers employed by the Training Centre are ‘ICPDs’. These candidates are not nominated as ‘Named Participants’ on the application.

Named participant’s eligibility requirements

Training Centre Director

B3.9                The Training Centre Director will be responsible for developing and implementing the strategies and managing the project. The Training Centre Director must coordinate the research effort and reporting structures across Eligible Organisation(s) and Partner Organisation(s).

Eligibility to apply

B3.10            To be eligible, the nominated participant for the Training Centre Director role must, as at the grant opportunity closing date:

a.       meet all the eligibility criteria to be a CI; and

b.      commit a minimum of 50 per cent of Full Time Equivalent (0.5 FTE) to the activities of the Training Centre.

Eligibility to hold

B3.11            The Training Centre Director must be employed by You at the grant commencement date of the project and for the project activity period.

B4.      What the grant money can be used for

Eligible expenditure

B4.1                Grant money may be requested and used for budget items that directly support the research program contained in an application, including the following items:

a.       items in Section 6.5 of these grant guidelines ;

b.      salary support for a Training Centre Manager, research associates and assistants, technicians and laboratory attendants at an appropriate salary level, including 30 per cent on-costs, at the employing organisation;

c.       stipends for ICHDRs enrolled at an Eligible Organisation at the rate given in Table 3. All ICHDR stipends requested from Us must include a request for a pro rata six month extension in the relevant year of the application budget; and

d.      salary support for ICPDs at the rate given in Table 3 and appointed for at least 0.5 FTE at an Eligible Organisation for the duration of their role on the Project.

B5.      The assessment criteria

B5.1                The assessment criteria for the Training Centre are:

a.    Project Quality and Innovation                                                                                                   30%

Describe the extent to which:

    the research clearly address one or more of the Industrial Transformation Priorities;

    the aims, concepts, methods and outcomes will drive growth, productivity and competitiveness within relevant sectors;

    the method, approach and intended benefits address the priorities and objective of the Training Centre grant opportunity;

    the project builds skills and capacity in end-user focussed research; and

    the conceptual/theoretical framework is genuinely integrated, cross-disciplinary, innovative and original.

b.   Feasibility and Commitment                                                                                                       20%

Describe:

    how the project can be completed within the proposed budget and timeframe. Please include identified risks and mitigation strategies;

    the extent to which the proposed Training Centre will engage meaningfully with the relevant Industry Growth Centre(s);

    the Partner Organisation(s) facilities and personnel contribution to provide effective supervision, on-site training, support and mentoring for the HDR candidates and postdoctoral researchers over the life of the project;

    the availability and access to necessary facilities required to support the proposed research (physical, technical, access to infrastructure, etc.);

    how each of the Partner Organisation(s) is genuinely committed to, and prepared to collaborate in, the Training Centre;

    the extent to which each Partner Organisation(s) has the capacity to support the Training Centre; and

    the extent to which there will be collaborative arrangements for the organisation(s) and team.

c.   Benefit                                                                                                                                                  30%

Describe:

    the clearly identified market opportunity(ies) and intended transformation for Australian industry or other end users;

    how the Training Centre has a wide level of collaboration, including the development of national and international networks and linkages;

    how the research will address the needs of industries and communities as articulated in Australia’s Industrial Transformation Priorities;

    the extent to which the Training Centre represents value for money; and

    where relevant, the extent to which the applicants have identified the freedom to operate in the Intellectual Property and patent landscape to enable future benefits to industry.

d. Investigator(s)                                                                                                                                     20%

Describe:

    how this is the best team to achieve the Training Centre’s goals;

    how the team demonstrates suitable Research Opportunity and Performance Evidence (ROPE);

    the extent to which the team has experience in engagement with industrial and/or end-user focussed research;

    the Training Centre Director and supervisors’ experience and capacity to provide effective supervision, support and mentoring for the Higher Degree by Research candidates and postdoctoral researchers over the life of the Training Centre; and

    the team’s time and capacity to undertake and manage the proposed research in collaboration with the Partner Organisation(s).

B6.      Successful grant applications

B6.1                You are encouraged to work with us to facilitate effective establishment of the Training Centre.

Grant agreement variations

B6.2                If 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 Us for the replacement Training Centre Director;

b.      a replacement Training Centre Director meets the eligibility criteria for a Training Centre Director and those for a CI at the time of their nomination and for the full term of their participation in the Training Centre, and the reasons for replacement are justified to Our satisfaction; and

c.       the Administering Organisation has obtained approval from all participating organisations for the change in Training Centre Director.

Your responsibilities

B6.3                You must undertake a process of competitive national and international recruitment for ICHDRs and ICPDs to be appointed to the Training Centre once the grant has been approved and announced. The recruitment and selection processes must:

a.       include competitive recruitment practices involving advertisement, selection and offers;

b.      ensure that ICPDs hold a PhD (or equivalent) qualification; and

c.       demonstrate an effort to attract and recruit external and international candidates.

B6.4                You will be responsible for ensuring that:

a.       ICHDRs recruited to and funded through Your Training Centre are enrolled in a HDR at an Eligible Organisation;

b.      ICPDs recruited to and funded through Your Training Centre must be an employee for at least 0.5 FTE at an Eligible Organisation;

c.       ICHDRs funded through the Training Centre grant conduct research for a minimum total of one year full-time placement with a Partner Organisation(s) (outside the higher education sector) over the project activity period;

d.      ICPDs funded through the Training Centre grant are encouraged to spend significant time conducting research with a Partner Organisation;

e.      ICHDRs and ICPDs do not commence another Commonwealth Fellowship or award while they are employed with funds from the project; and

f.        details of the selection and recruitment process for ICHDRs and ICPDs are made available for audit purposes if requested.

B6.5                Contributions from participating organisations may be used to top-up the stipends of the ICHDRs and salaries of the ICPDs where appropriate. A project may include additional HDR and postdoctoral roles fully funded by participating organisation contributions; however these roles are not considered to be ICHDRs and ICPDs and are not covered by the employment conditions in the grant agreement.

B6.6                It is anticipated that many or all of the ICHDR students may require a six month extension of their funding in order to complete research and submit their thesis. Funding to support an ICHDR extension must be requested for each ICHDR candidate in the application, and must be included in the relevant year of the application budget. The six month ICHDR extension will be subject to Our prior approval.


 

16. Acronyms

ARC

Australian Research Council

ARC Act

Australian Research Council Act 2001

CGRGs

Commonwealth Grants Rules and Guidelines 2017

CI

Chief Investigator

FTE

Full Time Equivalent

FOI

Freedom of Information

GST

Goods and Services Tax

ICHDR

A Higher Degree by Research candidate funded through the Training Centre grant as part of the project.

ICPD

A postdoctoral fellow funded through a Training Centre grant as part of the project.

ITRP

Industrial Transformation Research Program

NCGP

National Competitive Grants Program

NHMRC

National Health and Medical Research Council

LIEF

Linkage Infrastructure, Equipment and Facilities

ORCID ID

Open Researcher and Contributor Identifier

PhD

Doctor of Philosophy

PI

Partner Investigator

RMS

Research Management System

SAC

Selection Advisory Committee


 

17. Glossary

17.1.              For the purposes of the Linkage Program grant guidelines, terms have the meanings defined below.

Term

Definition

active project

a project that is receiving funding according to the terms of an existing Funding Agreement or grant agreement, or has any carryover funds approved by the ARC, or an approved variation to the project end date.

active project assessment date

the date on which Active project eligibility will be considered for project and application limits per named participant.

Administering Organisation

an Eligible Organisation which submits an application for a grant and which will be responsible for the administration of the grant if the application is approved for funding.

Applicant

the Administering Organisation.

application

a request for funding submitted through RMS by an Administering Organisation seeking grant funding under an ARC grant program. It includes the specifics of a grant activity as well as the administrative information required to determine the eligibility of the application.

ARC assessor community

the Australian and international assessors that assess applications submitted to the ARC that are within their areas of expertise.

ARC College of Experts

the body of experts of international standing appointed to assist the ARC to identify research excellence, moderate external assessments and recommend applications for funding. Its members are specialist and generalist experts in their knowledge fields drawn from the Australian research community. The ARC website provides information on who is a member.

ARC Fellowship

a named Fellowship position within any ARC grant program where the salary is funded wholly or partly by the ARC.

ARC project ID

the identifier assigned through RMS when an application is commenced.

ARC website

the website accessed using www.arc.gov.au.

assessment criteria

the specified principles or standards, against which applications will be considered. These criteria are also used to assess the merits of applications and, in the case of a competitive grant opportunity, to determine application rankings.

Australian Partner Organisation

is a Partner Organisation that is an entity that is incorporated under Australian Law, is operating in Australia and has an Australian Business Number (ABN).

Australian researcher

an Australian citizen, permanent resident or New Zealand Special Category Visa holder.

award of PhD

the date of conferral of a PhD, not the date of submission of the thesis, nor the date the thesis was accepted by the examination board.

bench fees

fees that an organisation charges for an individual to use infrastructure which would normally be provided by the organisation for their employees. This infrastructure may vary and could include, for example, an office or laboratory space with appropriate equipment, or access to non-specialised equipment owned by the organisation.

Chief Executive Officer

means the person holding the position of ARC Chief Executive Officer in accordance with the ARC Act or any person acting in that position

Chief Investigator

a participant who satisfies the eligibility criteria for a CI under these grant guidelines.

Commonwealth

the Commonwealth of Australia, as represented by the Australian Research Council specified in these grant guidelines and includes, where relevant, its officers, employees, contractors and agents.

Commonwealth Fellowship

a position held by a participant where the salary is funded wholly or partly by the Commonwealth.

date of effect

the date on which a grant agreement is signed or a specified starting date.

Detailed Assessors

assessors drawn from the ARC assessor community who are assigned applications to review for their specific expertise in a field of research.

Discovery Program

a program within the NCGP which comprises: Australian Laureate Fellowships, Discovery Early Career Researcher Award, Discovery Indigenous, Discovery Projects, Future Fellowships and other grant opportunities as updated from time to time.

eligibility criteria

the mandatory criteria which must be met to qualify for a grant. Assessment criteria may apply in addition to eligibility criteria.

Eligible Organisation

an organisation listed in Section 5.11 of these grant guidelines.

field research

the collection of information integral to the project outside a laboratory, library or workplace setting and often in a location external to the individual’s normal place of employment.

General Assessors

the members that make up a grant opportunity’s Selection Advisory Committee. General Assessors utilise knowledge of their disciplinary areas and a broad understanding of intellectual and methodological issues and good research planning. Each application has a lead General Assessor (known as Carriage 1) who is typically close to the academic field of the application and one or more General Assessors (known as Other Carriages) with supplementary expertise.

grant activity

the project/tasks/services that the grantee is required to undertake. A project consists of a number of grant activities.

grant agreement

the agreement entered into by the ARC and an Administering Organisation when an application from that organisation is approved for grant funding. This was previously referred to as a ‘Funding Agreement’.

grant commencement date

the date on which grant funding may commence.

grant offer

the details listed in the ARC’s RMS under ‘Funding Offers’ showing the project details and grant amount.

GrantConnect

the Australian Government’s whole-of-government grants information system, which centralises the publication and reporting of Commonwealth grants in accordance with the CGRGs.

grantee

the Administering Organisation which has been selected to receive a grant.

grant opportunity

the specific grant round or process where a Commonwealth grant is made available to potential grantees. grant opportunities may be open or targeted, and will reflect the relevant grant selection process.

GST

the meaning as given in section 195-1 of the A New Tax System (Goods and Services Tax) Act 1999.

higher degree by research (HDR)

a ‘Research Doctorate or Research Masters program, for which at least two-thirds of the student load for the program is required as research work’
 as defined by the Commonwealth Scholarships Guidelines (Research) 2017.

honorary academic appointment

any honorary position that gives full academic status, as certified by the Deputy Vice-Chancellor (Research) (or equivalent) of the Eligible Organisation awarding the position, in the application. For ARC purposes this relationship must include access to research support comparable to academic employees. The person would not be considered to hold an honorary academic appointment for the purposes of these grant guidelines if they hold a substantive, paid position elsewhere.

Hub Manager

a person with relevant skills and experience who is able to management and facilitate the day-to-day operation of the Hub.

ICHDR

means a higher degree by research candidate funded by the ARC, through the Administering Organisation, who meets the ICHDR candidate eligibility criteria and who will be employed on the ITTC project.

ICPD

means a postdoctoral fellow funded by the ARC through the Administering Organisation, who meets the ICPD candidate eligibility criteria and who will be employed on the ITTC project.

Industrial Transformation Priorities

Means targeted research areas identified by the ARC and updated from time to time on the ARC website.

Industry Growth Centres

are a Commonwealth funded, industry-led approach to driving innovation, productivity and competitiveness by focusing on areas of competitive strength and strategic priority. The initiative is delivered by the Department of Industry, Innovation and Science

in-kind contributions

A contribution of goods, services, materials and/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 application) 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

a set of instructions prepared by the ARC to assist applicants in completing the application form.

key performance indicators

a set of quantifiable measures that the ARC use to monitor and report on progress of research outcomes.

legislative instrument

a law on matters of detail made by a person or body authorised to do so by the relevant enabling legislation.

Linkage Program

for the purposes of eligibility, the grant opportunities funded under the Linkage Program of the NCGP which consist of: ARC Centres of Excellence, Industrial Transformation Research Hubs, Linkage Industrial Transformation Training Centres, Linkage Projects, Learned Academies Special Projects, Supporting Responses to Commonwealth Science Council Priorities, Special Research Initiatives and other grant opportunities as announced from time to time under the Linkage Program.

medical research

medical research as defined in the ARC Medical Research Policy available on the ARC website.

Minister

the Minister responsible for the administration of the ARC Act

named participants

individual researchers nominated for particular roles in an application.

officials

officials of a Commonwealth entity. An official of a Commonwealth entity is an individual who is in, or forms part of the entity (see section 8 of the PGPA Act).

ORCID

a persistent digital identifier for an individual researcher available on the ORCID website, www.orcid.org.

Other Eligible Organisation

an organisation listed in Section 5.11 of these grant guidelines which is not the Administering Organisation on an application.

other material resources

resources where a monetary value is not relevant or to which it is difficult to assign a monetary value, for example, access to restricted data, samples or documents. These contributions are most commonly identified in the research program section of the application in a letter of support

Other Organisation

an organisation that is not an Eligible Organisations and not a Partner Organisation that contributes to the research project.

participants

all named participants on an application (ie CIs, PIs, Directors), and all unnamed researchers such as postdoctoral research associates and postgraduate researchers working on a project. 

Partner Investigator

a named participant who satisfies the eligibility criteria for a Partner Investigator (PI) under these grant guidelines.

Partner Organisation

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 and/or other material resources contributor to the Project.

PhD

a qualification that meets the level 10 criteria of the Australian Qualifications Framework Second Edition January 2013.

Postdoctoral Research Associate

a postdoctoral research associate funded by the Commonwealth through the Administering Organisation, who will be employed on the project.

Postgraduate Researcher

a postgraduate research student funded by the Commonwealth through the Administering Organisation, who will undertake a Higher Degree by Research through the project.

project

an application approved by the Minister to receive funding from the ARC through an application.

project activity period

the period during which a project is receiving funding according to the original grant Offer, or has any carryover funds approved by the ARC, or an approved variation to the project’s end date. During this period, the project is known as an Active Project.

project end date

the expected date that the project activity is completed and the grant spent by.

recipient

an individual or organisation who has received grant funding from the ARC.

research

for the purposes of these grant guidelines, 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.

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” OECD (2002), Frascati Manual: Proposed Standard Practice for Surveys on Research and Experimental Development, Paris (Page 30).

Research Associate

postdoctoral research associate funded by the Commonwealth through the Administering Organisation, who will be employed on the Project

Research Hub

refers to the Industrial Transformation Research Hubs  under the Industrial Transformation Research Program

research infrastructure

the 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

a business unit within an Eligible Organisation that is responsible for contact with the ARC regarding applications and projects.

Research Opportunity and Performance Evidence (ROPE)

an ARC policy framework used to consider and assess the quality and research excellence of a named participant within the context of the participant’s career and life experiences. One key element is that the assessment process takes into account the quality rather than simply the volume or size of the research contribution.

research output

all products of a research project.

Selection Advisory Committee (SAC)

a group of experts from academia and industry appointed to assist the ARC to assess applications and to provide a recommendation for funding to the CEO. A SAC may be drawn from the ARC College of Experts.

selection criteria

the eligibility criteria and assessment criteria.

selection process

the method used to select potential grantees. This process may involve comparative assessment of applications or the assessment of applications against the eligibility criteria and/or the assessment criteria.

special condition

a condition specified in a grant offer which governs the use of the funding provided by the ARC.

technical workshop services

the 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.

Training Centre

refers to the Industrial Transformation Training Centre (ITTC) under the Industrial Transformation Research Program

Training Centre Director

a participant who satisfies the eligibility criteria for a Training Centre Director under these grant guidelines.

Training Centre Manager

a person with relevant skills and experience who is able to manage and facilitate the day-to-day operation of the Centre.

travel costs

the domestic and international economy travel costs associated with the project, including to foster and strengthen collaboration between researchers in Australia and overseas.

value for money

‘value for money’ is a judgement based on the grant application representing an efficient, effective, economical and ethical use of public resources determined from a variety of considerations: merit of the proposal, risk, cost and expected contribution to outcome achievement.

variation of grant agreement

a request submitted to the ARC in RMS to agree a change in the Grant agreement. This is also referred to as a ‘Variation of Funding Agreement’.

We

the Australian Research Council (ARC). ‘Us’ and ‘Our’ are also used in this context.

You

the Eligible Organisation that submitted the application. ‘Your’ is also used in this context.

 



[1] See Glossary

[2] The figures in this section are based on the 2018 price levels of funding and may be subject to variation (for example, due to annual indexation). Updated levels will be available on the ARC website.

[3] The figures in this section are based on the 2018 price levels of funding and may be subject to variation (for example, due to annual indexation). Updated levels will be available on the ARC website.