2012 ARC Research Programs Information Session on End of Year Reporting Requirements & Compliance

1. 2012 ARC Research Programs • Information Session on End of Year Reporting Requirements & Compliance • Thursday 4th October • SPS 136 @ 9:30am – 11:30am • Presented by: • Tania Carrubba • Research Management Accountant • Swinburne Research

2. 2012 ARC Research Programs • Outline • ARC Research Programs were SUT are the Administering Organisation • End of Year Reporting Requirements • Carry Forward Request Example • ARC salary and stipend rates for 2012 • ARC maternity leave reimbursement • Relocation Allowance • Compliance with conditions 2012 ARC Funding Agreements • Compliance with conditions specific to DECRA • Compliance with special conditions relating to Discovery Projects • Compliance with conditions specific to Future Fellowships • Compliance with conditions specific to Linkage Projects • Resources • Questions

3. 2012 ARC Research Programs • ARC Research Programs were Swinburne University is the Administering Organisation • Australian Laureate Fellowships • Discovery Early Career Research Award • Discovery Projects • Future Fellowships • Linkage Infrastructure, Equipment and Facilities • Linkage Projects • Super Science Fellowships

4. 2012 ARC Research Programs • End of Year Reporting Requirements • The ARC Funding Agreements stipulate the reporting requirements that the University is required to complete for each research program that is administered by Swinburne, as detailed below: • Section 30. Reporting Requirements • 30.2 End of Year Report • (a) The Administering Organisation must submit an End of Year Report by 31 March in the year following each full calendar year for which the Funding was awarded. The ARC will provide the Administering Organisation with a pro forma for this report. • (b) As part of the End of Year Report, the Responsible Officer must certify for each project what the Partner Organisation and Cash and In-Kind contribution has been in relation to that Project. The Responsible Officer must also: • i. certify for each Project that the Partner Organisation Contribution has been provided in accordance with the written partner agreement entered into under clause 11, and that, to the best of her/his knowledge, the Partner Organisation does not intend to withdraw or reduce its contribution to the Project; or • ii. advise the ARC of any reduction or other anomalies in relation to the Partner Organisation Contribution for a Project.

5. 2012 ARC Research Programs • End of Year Reporting Requirements • (c) The End of Year Report will contain information on all expenditure for that year under the Project, on a Project by Project basis, including: • i. any unspent Funds to be recovered by the Commonwealth • ii. any unspent Funds that the Administering Organisation is seeking to be carried over into the next year • iii. the reasons why the unspent Funds are required to be carried over; and • iv. additional claims for relocation as provided for in Schedule D • (d) Under paragraph 58(1)(e) of the ARC Act, Funds provided by the Commonwealth to the Administering Organisation which are not spent during the year of the Funding period to which those funds were allocated may be carried over if approved by the Minister. If the Administering Organisation wishes any Funds to be carried over from one year to the next year, the Administering Organisation must request this approval in the End of Year Report for the calendar year for which those Funds were initially paid. • (e) Where a carryover is requested for 75 per cent or more of the Funds allocated for a calendar year (excluding any Funds carried over from the previous calendar year), separate written justification must be provided.

6. 2012 ARC Research Programs • End of Year Reporting Requirements • (f) Funds may be carried over more than twelve months only in exceptionalcircumstances and subject to the approval of the Minister. Separate written justification must be provided in this instance. • 30.5 Audited Financial Statement • (a) In accordance with section 58 of the ARC Act, the Administering Organisation must submit an Audited Financial Statement by 30 June for each year following each calendar year for which the Funding was awarded. • (b) In completing the Audited Financial Statement, the Administering Organisation must ensure that the amount shown in the statement as ‘approved carry forward funds’ is the same amount (if any) for which approval was given by the ARC to carry over in the End of Year Report. • But this does not exclude us from reporting requirements for share grants, by signing the Multi-Institutional Agreement we are bound to ensure that the Administering Organisation has the information required to perform its reporting requirements to the ARC.

7. 2012 ARC Research Programs • End of Year Reporting Requirements • So what do we need to do to comply with this condition in the ARC Funding Agreements: • By year end the Research Management Accountant will reconcile all incomes received are in accordance with the ARC monthly payment schedules; • All shared outgoing grant payments will be transferred from natural account 6325 – Cat 1.1 ACGR – Cwlth Schemes ARC to natural account 6400 – Shared Research Grants Outgoing. This will help in reconciling the ARC grant and shared grant without having to drilldown on transactions and manually reconciling each amount. • Other incomes received to individual grant accounts will need to be transferred to the correct project account, if one cannot be identified the incomes will be transferred to the staff member’s ‘generic research account’ which would have been setup on the commencement of the academic at Swinburne. • For ARC projects, in which Swinburne are not the lead institution, we need to provide the lead institution with the required annual financial statement and carryover request (where necessary) on the project so that they have the necessary information to produce their End of Year Report to the ARC for the related project. • Request annual financial statements and carryover requests (where necessary), on projects where Swinburne is the lead institution, to partner institutions to ensure the accurateness of information provided in our End of Year Report to the ARC for the related project.

8. 2012 ARC Research Programs • End of Year Reporting Requirements • Expenditures identified as being ‘basic facilities’ must be transferred out of the project, to a more suitable account. According to Section 7 of the ARC Funding Agreements, for the various research programs, basic facilities must be provided for by the Administering Organisation which “include but are not limited to”: • (a) accommodation (e.g. laboratory and office, suitably equipped and furnished in standard ways); • (b) access to film or music editing facilities; • (c) access to workshop services (if required by the Project) • (d) access to a basic library collection; • (e) standard reference materials or funds for abstracting services • (f) web hosting • (g) provision of computers, including laptops (excluding access to high- performance computers or other specialised applications that are justified against the project) and basic computing facilities such as printers, word processing and other standard software; • (h) use of photocopiers, telephones, mail, fax, email and internet services

9. 2012 ARC Research Programs • End of Year Reporting Requirements • Also, as set out in the Funding Rules, Funds may not be used for: • (a) salaries and/or on-costs, in part or in whole, for CIs and PIs (excluding awarded salaries, such as DECRA, DIA, DORA, APAI, APD, APDI, IRF, ARF, ARFI, QEII, APF, FF, FT, FL, PDRA, PGR, FS and LIF); • (b)capital works and general infrastructure; • (c) teaching and/or teaching relief, unless specified in the Special Conditions with the Offer of Award; • (d) special studies (study leave) programs; • (e) international students’ fees, Higher Education Contribution Scheme (HECS) and Higher Education Loan Programme (HELP) liabilities; • (e) advertising and appointment costs; and/or • (f) costs not directly related to a research project, includes but not exclusive to, visas, relocation, costs of dependants, insurance, and mobile phones (purchase or call charges), unless specified in the funding agreement. • Any funds used for the above purposes, will need to be transferred from the ARC research project account to a more suitable account.

10. 2012 ARC Research Programs • End of Year Reporting Requirements • Carry Forward Request Forms will be prepared by the Research Management Accountant in January 2013, once the GL has been closed for the year, which will be sent out to Finance Managers to co-ordinate the completion of the forms. • Swinburne Research will need to have the Carry Forward Request Forms returned by the end of February, to ensure we have adequate time to complete the End of Year Report templates for submission to the ARC by the 31 March 2013. • The Carry Forward Request Forms will need to be completed for all grants which have unspent funds for the year to be carried forward into the following year. • Where a carryover is requested for 75 per cent or more of the Funds allocated for a calendar year (excluding any funds carried over from the previous calendar year), separate written justification must be provided. • Funds may be carried over more than twelve months only in exceptional circumstances and subject to the approval by the Minister. Separate written justification must be provided in this instance.

11. 2012 ARC Research Programs • Carry Forward Request Example • Prof XYZ has a ARC research project DP12345678 in which $100,000 was awarded in 2012 and a carryover was approved for funds unspent in 2011 of $50,000 so in total there is $150,000 to be spent in 2012. • But, Prof XYZ only spends $70,000 for 2012 so there is a surplus of $80,000 to be carried forward into 2013. Does he need to submit a separate written justification? • To calculate this the following formula needs to be applied: • Minimum Allowable Surplus = Carryover + (Allocation – 75%) • = 50,000 + (100,000 – 75,000) • = 50,000 + 25,000 • = 75,000 • So his minimum allowable surplus before a separate written justification needs to be prepared is $75,000. As this surplus is $80,000 which is greater than the minimum allowable surplus, Prof XYZ will need to complete a separate written justification stating the circumstances which has prevented him from expending the total 2012 allocation of $100,000.

12. 2012 ARC Research Programs • ARC salary and stipend rates for 2012 • The ARC website has information on ARC funded salaries and stipend rates from 2002 at the webpage http://www.arc.gov.au/applicants/salaries.htm. Staff that have received an ARC Award must only be funded at the approved ARC rate. • Any ‘gap’ between the rate ARC approved and the actual funded salary from Swinburne must not be covered by the project funds and is the responsibility of the Administering Organisation. • This includes the “on-cost provisions beyond the ARC contribution of 28 per cent, which remain the responsibility of the Administering Organisation, e.g. extended periods of leave, severance pay, etc. must not be provided from ARC funds”. • ARC salary rates and stipend rates for projects commencing in 2012 • AwardStepSalary28% On-CostsTotal Salary Allocation • DECRA $66,406 $18,594 $85,000 • APAI $28,715 NA $28,715

13. 2012 ARC Research Programs • ARC salary and stipend rates for 2012 • ARC salary and stipend rates for projects commencing in 2007 and later • AwardStepSalary28% On-CostsTotal Salary Allocation • APD $67,448 $18,886 $86,334 • APDI $67,448 $18,886 $86,334 • ARF $84,595 $23,687 $108,282 • QEII $100,600 $28,168 $128,768 • APF 1 $116,604 $32,650 $149,254 • 2 $134,896 $37,772 $172,668 • FT 1 $104,360 $29,222 $133,582 • 2 $126,331 $35,373 $161,704 • 3 $148,301 $41,525 $189,826 • FS $76,475 $21,413 $97,888 • FL $109,852 $30,760 $140,612 • PDRA $67,448 $18,886 $86,334 • PGR $28,716 NA $28,716

14. 2012 ARC Research Programs • ARC salary and stipend rates for 2012 Only the current ARC salary and stipend rates can be used in current year of awarded funds, e.g: • for funds awarded in 2010, only 2010 salary and stipend rates must be used to calculate the appropriate salary and related ‘salary gap’. All ‘salary gap’ transfers should be made in the current period that the annual salary was paid, prior year corrections to salaries is not encouraged. For Future Fellows, the salary savings provided by the faculty should fund the ‘salary gap’ prior to the calculation of research support available for use. Each faculty should manage these costs as they see fit, as salary savings calculated for each Future Fellow will be different. Each Fellow that holds an ARC award, should be costed to the ARC at the approved time fraction, and salary journals be completed to transfer the related ‘salary gap’ periodically. This process allows for transparency, in the event that an ARC audit will occur at Swinburne.

15. 2012 ARC Research Programs • ARC maternity leave reimbursement • The ARC allows 14 weeks’ paid maternity leave during the duration of the following awarded grants: • Eligible Fellows on current Discovery Projects awarded prior to 2012, ie: • Australian Postdoctoral Fellowship (APD) • Australian Research Fellowship (ARF) • Australian Professorial Fellowship (APF) • Queen Elizabeth II Fellowship (QEII) • Discovery Early Career Researcher Award (DECRA) • Discovery Outstanding Researcher Award (DORA) • Australian Postdoctoral Fellowship - Industry (APDI) • Australian Laureate Fellowship (FL) – including PDRA’s & PGR’s paid from the project • Super Science Fellowships (FS) • Future Fellowship (FT)

16. 2012 ARC Research Programs • ARC maternity leave reimbursement • The ARC funding agreements for the relevant schemes specifies: • “The Administering Organisation shall ensure the eligible staff are entitled to take up to 14 weeks’ paid maternity leave during the duration of the Award. The ARC will provide funding for this purpose. The Administering Organisation must seek approval for any extension to the life of the Project exceeding the 14 weeks paid maternity leave.” • When a claim for maternity leave is made it should be completed in accordance with the Swinburne HR policy. Any additional maternity leave requested, beyond the 14 weeks provided for my the ARC, must be sought for ARC approval before the maternity leave is to commence. • The current maternity leave policy as per the Enterprise Bargaining agreement 2009 states: • “Where the staff member has completed twelve months service at the time the leave is to begin, 14 weeks of this maternity or adoption leave will be on full pay and the remaining 38 weeks of maternity leave or adoption leave shall be paid at the rate of 0.6 of salary.” • The Swinburne central maternity provision funds the base salary of the staff member whilst on maternity leave, but the on-costs of 28.79% that relate to the position are still costed to the ARC project account. Where the maternity leave on-costs exceed the reimbursement provided by the ARC for the period the Fellow has taken leave, the ‘salary gap’ ruling applies and a salary journal will need to be completed to transfer out the excess salary on-costs from the project account.

17. 2012 ARC Research Programs • Relocation Allowance • Relocation expenses are reimbursed for Fellows whom relocate to take up an ARC Award at Swinburne University, as per the Funding Agreements eligible fellows are: • Australian Laureate Fellows • Future Fellows, however “relocation costs must have been requested in the original Proposal submitted to the ARC and paid from the non-salary funding provided to the Administering Organisation and will not be paid post award” • Australian Postdoctoral Fellowship (Industry), “funding may be used for relocation expenses for an APDI Fellow in accordance with the policies of the Administering Organisation. The Administering Organisation cannot make a claim to the ARC for reimbursement of monies used for the purpose of APDI relocation”. • Relocation (Maximum) Allowances • North America $17,000 • Europe/Asia (Northern Hemisphere)/Africa/South America $14,000 • Asia (Southern Hemisphere)/Oceania $11,000 • Within Australia $8,000

18. 2012 ARC Research Programs • Relocation Allowance • The conditions associated with relocation expenses include: • 9.1 Subject to the provisions of this clause 9, the Administering Organisation may make reimbursement payments up to the maximum amount specified in Schedule B, from the Funding to a Fellow, for relocation costs (for relocation travel expenses and removal of household items only) on provision of full particulars of mode and time of travel and the provision of receipts for all other payments e.g. removal expenses of household items. The Administering Organisation may make a claim for reimbursement of such payments providing a written request, including all receipts, is submitted to the ARC within 12 months of the date of relocation of the Fellow. All claims must be made in Australian dollars. • 9.2 The Administering Organisation must ensure that travel expenses, where payable from the Funding, do not exceed the cost of the cheapest direct economy airfare (or concession rate if applicable) for the Fellow and their dependants. If a Fellow elects to travel by car, the ARC will provide reimbursement based on a mileage allowance up to the maximum equivalent of the cheapest direct economy airfare. On completion of the Fellowship, the Fellow will be entitled to the same return travel provisions provided that the Fellow has not obtained subsequent employment in Australia for a period exceeding 12 months, and the total amount of the relocation expenses requested does not exceed the maximum amount specified in Schedule B.

19. 2012 ARC Research Program • Relocation Allowance • 9.3 The ARC will not provide reimbursement for items it considers are not appropriate or reasonable including, but not limited to: temporary or longer-term accommodation, costs for location accommodation, rental bonds, school fees, purchase or hire of household furniture, telephone and other utility connections, pet housing, and other items considered typical household expenses. The ARC may recover any Funds spent on items it considers are not appropriate. • 9.4 For the purposes of relocation entitlements, a dependant is defined as a person who moves residence with a Fellow. A spouse who transfers employment and residence to the city where a Fellow is to be based can be regarded as a dependant. A child continuing to study elsewhere and not intending to live predominantly with the Fellow is not regarded as a dependant.

20. 2012 ARC Research Programs • Compliance with conditions to 2012 ARC Funding Agreements Sections of the Funding Agreement SUT has signed with the ARC which contain information pertinent to the financial management of research projects: Section 5. Payment of Funding 5.2 All Funding for a Project is subject to the following conditions: (d) that the Administering Organisation spend all the Funds paid under this Agreement for each Project substantially in accordance with the ‘Project Cost’ detailed in the Proposal for that Project and any Special Conditions, or the budget as otherwise approved by the ARC and any conditions otherwise imposed by the Minister in accordance with the ARC Act, and in accordance with the requirements of this Agreement and the Funding Rules; (k) that there is no duplication of Commonwealth funding for the research and/or activities funded for the Project under this Agreement; (l) that the Administering Organisation’s funding contribution for each Project satisfies the requirements set out in the Funding Rules, unless otherwise approved by the Minister;

21. 2012 ARC Research Programs • Compliance with conditions to 2012 ARC Funding Agreements • Section 7. Use of Funding: Activities, Facilities and Types of Work • 7.2 The Administering Organisation must ensure that expenditure on each Project described in Schedule A is in accordance with the ‘Description of Project/Program of Research’ contained in the Proposal and within the broad structure of the proposed ‘Project Cost’ detailed in the Proposal or any revised budget, aims and research plan submitted by the Administering Organisation which has been approved by the Minister. 7.6 Unless otherwise approved by the Minister, the Funding must not be used to fund any research and/or activities for which other financial assistance from the Commonwealth has been, is being, or is intended to be provided. 7.10 If any other Commonwealth funding is approved for any research and/or activity which is similar to research or activities being conducted for any Project, the ARC must be notified immediately and the ARC may consider whether or not to terminate or recover funding to the extent that it has been duplicated by another Commonwealth source.

22. 2012 ARC Research Programs • Compliance with conditions to 2012 ARC Funding Agreements • Section 8. Use of Funding: Provision of Salaries and Salary Support • 8.1 The Funding specified in Schedule A must not be used to provide salary support for Chief Investigators (excluding DORA recipients) or Partner Investigators. • 8.2 Funding may be used for the payment of a Partner Investigator’s costs incurred because of her/his involvement in the project, where such visits and costings were outlined in the proposal and as a Special Condition were not prohibited. • 8.3 If expenditure is incurred as allowed for in clause 8.2 above, the Administering Organisation must ensure that expenditure is in accordance with the broad structure of the ‘Project Description” and Project Cost’ detailed in the Proposal, or any revised Project budget, aims and research plan submitted by the Administering Organisation which are approved by the ARC. • 8.4 Funds may be used by the Administering Organisation to employ Personnel other than the Specified Personnel where provision for such was included in the Proposal. They may be employed full-time and part-time, as required. • 8.6 In respect of Personnel other than Chief Investigators or Partner Investigators, unless the ARC otherwise determines: • (c) the on-costs provisions beyond the ARC contribution of 28 per cent remain the responsibility of the Administering Organisation, e.g. extended periods of leave, severance pay, etc. must not be provided from ARC funds.

23. 2012 ARC Research Programs • Compliance with conditions to 2012 ARC Funding Agreements • 8.9 The Administering Organisation must ensure that any Personnel who are employed full-time on a Project and whose salary is provided from the Funding shall, not without the prior agreement of the ARC, accept any remuneration whatsoever from any source other than the Administering Organisation in respect of work performed on the Project. • Section 9. Over-expenditure by the Administering Organisation • 9.1 Any Project expenditure incurred by the Administering Organisation for a project additional to the approved amount for that Project specified in Schedule A, or as otherwise varied by the Minister, is the responsibility of the Administering Organisation. The Commonwealth will not reimburse the Administering Organisation for such costs under any circumstances. • Section 22. Assets • 22.1 Unless otherwise approved by the ARC, Assets purchased with Funding must be purchased for the exclusive purposes of the Project for the duration of the Funding Period.

24. 2012 ARC Research Programs • Compliance with conditions to 2012 ARC Funding Agreements • 22.4 Unless otherwise approved by the ARC, the ownership of any Asset purchased wholly or partly with the Funding shall be vested in the Administering Organisation, located on its campus and listed in its assets register unless: • (a) otherwise specified in the Proposal; • (b) the Project is terminated, in which case the Minister may, by notice in writing require the transfer of any such item of equipment to the Commonwealth; or • (c) the Project is transferred to another organisation in accordance with clause 16, in which case, subject to the agreement of both the Administering Organisation and the recipient Eligible Organisation under that clause, the equipment purchased with Funds provided under this Agreement for the relevant Project may be transferred in accordance with clause 16.9. • Section 28. Administration of Funding • 28.1 The Administering Organisation must maintain reasonable, up-to-date and accurate records relating to the Funding in general, and the Projects conducted with the Funding in particular, to verify its compliance with this Agreement.

25. 2012 ARC Research Programs • Compliance with conditions to 2012 ARC Funding Agreements 28.2 Records maintained under clause 28.1 must be retained by the Administering Organisation for each Project for a period of no less than seven years after whichever is the later of: (a) the final payment of Funds by the ARC for the Project; or (b) the final approved carryover of Funds for the Project. Section 29. Audit and Monitoring 29.1 The Administering Organisation is responsible for monitoring the expenditure of the Funding and certifying to the ARC that the Funding has been expended in accordance with this Agreement in the End of Year Report. If at any time, in the opinion of the Responsible Officer of the Administering Organisation, the Funding is not being expended in accordance with this Agreement, the Administering Organisation must take all action necessary to minimise further expenditure in relation to the Project and inform the ARC immediately.

26. 2012 ARC Research Programs • Compliance with conditions to 2012 ARC Funding Agreements • 29.2 The ARC may conduct ad hoc on-site reviews in relation to financial and other reports to ensure that the terms of this Agreement are being, or were, met and that reports submitted to the ARC are an accurate statement of compliance by the Administering Organisation and are not misleading. Persons nominated by the ARC to conduct these reviews are to be given full access by the Administering Organisation, if required to all accounts, records, documents and premises in relation to the Funding and the administration of the Funds in general. • For more information, scheme Funding Agreements can be downloaded from the ARC website at: • http://www.arc.gov.au/applicants/fundingagreements.htm

27. 2012 ARC Research Programs • Compliance with conditions specific to DECRA • Discovery Early Career Research Awards contain the following specific conditions: • 7.6 Funding may only be used for the following items with the explicit written approval of the ARC: • (a) travel for more than 50% of the project cost in any one year and/or for more than 50% over the life of the project. • 8.1 The Administering Organisation must provide salary funding to each DECRA Recipient named in Schedule A, at the notional level of the DECRA salary as listed in Schedule B (or as otherwise varied by the ARC). • 8.2 A DECRA Recipient’s salary may be used for other purposes to support the Project in exceptional or changed personal circumstances with the approval of the Administering Organisation without the extension to the life of the project. This may include teaching relief for personnel covering the absence of the DECRA Recipient. • 8.3 Funding for project costs may be used by the Administering Organisation to employ Personnel other than the DECRA Recipient where provision for such was included in the Proposal or in exceptional or changed personal circumstances of the DECRA Recipient. They may be employed full-time or part-time, as required.

28. 2012 ARC Research Programs • Compliance with conditions specific to DECRA • 9.2 DECRA Recipients are funded for up to three years full-time, subject to Parliamentary appropriations and receipt of satisfactory Progress Reports as required by clause 30.3. • 9.3 A DECRA may be undertaken on a part-time basis not exceeding six years. The conversion of the DECRA to part-time is subject to the approval of the Administering Organisation and depending on individual circumstances appropriate to the career trajectory of the DECRA Recipient. • 9.4 The Administering Organisation must ensure a DECRA Recipient is entitled to up to 14 weeks’ paid maternity leave during the duration of the Award. The ARC will provide funding for this purpose. The Administering Organisation must seek ARC approval for any extension to the life of the Project excessing the 14 weeks paid maternity leave. • 9.6 DECRA Recipients cannot spend more than one third of the duration of the Award overseas or engaged in international travel. • 9.7 DECRA Recipients cannot commence another ARC Fellowship until the entire salary component of the DECRA has been expended.

29. 2012 ARC Research Programs • Compliance with specific to Future Fellowships • Future Fellowships contain the following specific conditions: • 7.9 As per the Funding Rules, a limit of $50,000 (from the total $200,000 non-salary funding) may be requested for travel and travel related costs (excluding relocation costs) by a Future Fellowship Candidate over the life of the fellowship, and subject to the policies of the Administering Organisation. • 7.10 The ARC recognises that in order to complete the project it may be necessary to obtain the expertise of a third party. The ARC will only approve Funding for the expert services of a third party if the services are deemed to be directly related to and necessary for the proposed Project. Such services include, but are not limited to: translation services; transcription services; workshop service; data collection and analysis services; and the purchase of bibliographical or archival material (electronic or hardcopy). • 7.11 Publication and dissemination of Project outputs and outreach activity costs may be supported at up to two per cent of the total non-salary ARC funding requested to the Project.

30. 2012 ARC Research Programs • Compliance with specific to Future Fellowships • 8.2 The Future Fellowship salary must be paid according to the Future Fellows FTE status: • (a) Full-time Future Fellowships must be paid 100 per cent salary plus on-costs for four years • (b) Part-time Future Fellowships are paid pro-rata plus on-costs over a period of up to six years, subject to conditions outlined in clause 10. • 8.3 Project payments can only commence once the Funding Agreement has been executed by both parties. Retrospective salary payment will not be paid for employment prior to the date the Funding Agreement is executed. • 8.4 Funds specified in Schedule A for non-salary Funding, if any, may not be used by the Administering Organisation to employ personnel or supplement the Future Fellows salary or on-costs. • 9.1 The Administering Organisation may make pre-approved reimbursement payments subject to the policies of the Administering Organisation based on the approved amount requested in the original Proposal. Relocation costs must have been approved in the original Proposal submitted to the ARC and paid from the non-salary Funding provided to the Administering Organisation and will not be paid post award.

31. 2012 ARC Research Programs • Compliance with special conditions relating to Discovery Projects • Special conditions relating to Discovery Projects can include: • Teaching Relief • International Collaboration Award (ICA) • The Funding Agreement for Discovery Projects, refers to special conditions in Section 8: • 8.7 Funding may be used for relief of Chief Investigators from teaching or other duties for up to six months, per Award, over the life of the Project and up to two Chief Investigators per Project if it is specified as a Special Condition for a Project in Schedule A. Such funding may not be used for any other purpose without the approval of the Minister. • 8.8 International Collaboration Award (ICA) funding may be used for up to two researchers, CIs or overseas PIs as specified in Schedule A, ICA funding may be used for travel on one international return economy class airfare, reasonable local travel, a living allowance and consumables for up to 6 months, per Award, over the life of the project, as specified as a Special Condition for a Project in Schedule A. Such funding may not be used for any other purpose.

32. 2012 ARC Research Programs • Compliance with conditions specific to Linkage Projects • Linkage Projects contain the following specific conditions: • 7.10 The Administering Organisation must not allow for a Project to commence, nor Funding to be expended, until it has entered into a written partner agreement with each Partner Organisation in accordance with clause 11. The Administering Organisation must reach agreement with each Partner Organisation and enter into a written partner agreement with each such organisation before the final date of commencement of the Project as determined in accordance with clause 13. • 8.4 Funding may not used for the payment of a Partner’s Investigator’s costs incurred because of her/his involvement in the Project, except for short term project support for Partner Investigator’s visiting from overseas and domestic and international travel associated with the project where such visits and costings were outlined in the Proposal and as a Special Condition were not prohibited. • 8.5 If expenditure is incurred as allowed for in clause 8.4 above, the Administering Organisation must ensure that expenditure is in accordance with the broad structure of the ‘Project Description’ and ‘Project Cost’ detailed in the Proposal, or any revised Project budget, aims and research plan submitted by the Administering Organisation which are approved by the ARC. • 8.6 Funds may be used by the Administering Organisation to employ Personnel, other than the Specified Personnel, where provision for such was included in the Proposal and is not prohibited as a Special Condition. They may be employed full-time or part-time, as required.

33. 2012 ARC Research Programs • Compliance with conditions specific to Linkage Projects • 8.9 Funding may also be used to fund the relief of Chief Investigators from teaching or other duties for a maximum of up to 6 months (2 or 3 year project) or 12 months (4 or 5 year project) per CI over the duration of the Project, for up to two CIs, if it is specified as a Special Condition for a Project in Schedule A. Such funding may not be used for any other purpose without the approval of the Minister. If approved for a Chief Investigator, the ARC’s funding contribution is limited to a maximum rate of $69,758 per annum (2011 rate) (or pro rata) for that person. • 11.5 Unless otherwise approved by the ARC, the Administering Organisation must ensure that each Partner Organisation provides contributions as set out in the Proposal. However, if the Funding for a Project is less than the amount requested in the Proposal for that Project, the Partner Organisation Contribution may be reduced by the same proportion. In all cases, the minimum requirements for the Partner Organisation Contribution as set out in this Agreement and the Funding Rules continue to apply.

34. 2012 ARC Research Programs • Resources • The ARC website is a good resource for information relating to their specific funding conditions. • Funding agreements for all schemes can be found at the following webpage http://www.arc.gov.au/applicants/fundingagreements.htm • They also have information for relating to awarded salary and stipend rates at the following webpage http://www.arc.gov.au/applicants/salaries.htm • Swinburne Research is in the process of establishing a Research Accounting webpage, once this has been completed, I will send out an email with the link to the location. The slides from this information session will be uploaded to the site.

35. ARC Research Programs • Information Session on End of Year Reporting Requirements & Compliance • Questions???

36. 2012 ARC Research Programs • Tania Carrubba • Research Management Accountant • Swinburne Research • SPS Level 1 (H68) • Phone: 9214 5409 • Email: tcarrubba@swin.edu.au • Work days: Monday - Thursday