ARC Linkage 2014 – Session 1 - Overview, Tips and Hints

1. ARC Linkage 2014 – Session 1 - Overview, Tips and Hints Rose Firkin - Executive Officer Deakin Research - Grants Greg Pullen– Senior Commercial Manager Deakin Research - Commercial

2. Outline • Revised NCG process • Main features of the Scheme • Major Changes for 2014 (Partner Organisations) • Things to watch for • Questions • Discussion

3. REVISED NATIONAL COMPETITIVE GRANT PROCESS FYI: • Previous ARC and NHMRC round process has been reviewed and revised • Lead times will be longer • Will affect Linkage to a degree but will have greater impact on next ARC DP and NHMRC project rounds • Arranging meetings with Faculties and Institutes now • Faculties and IFM retain an active role in assessing the calibre and quality of applications • Applicants will need to work within Faculty/IFM timelines

4. What does it mean for linkage? • Earlier input from Deakin Research – Grants to Faculties/IFM • Greater input from Deakin Research – Commercial • Earlier communication with applicant teams to identify and address issues earlier in the process (this workshop) • Expectation that teams will prepare applications earlier and have partner engagement commitment earlier

5. Deakin research commercial - role • Able to help strengthen Partner Organisation relationship(s) • Able to identify and address IP issues • Able to negotiate specific contractual arrangements • Valuable resource for industry-specific knowledge

6. Main features – Objectives 2014 Rules To promote: • initiation and/or development of long-term strategic research alliances between higher education organisations and other organisations, including industry and end-users, in order to apply advanced knowledge to problems; • the scale and focus of research in the Strategic Research Priorities; • opportunities for researchers to pursue internationally competitive research; and • growth of a national pool of world-class researchers

7. Main features – Funding & Duration (2014 Rules) • Minimum = $50,000 p.a • Maximum = $300,000 p.a • Duration = 2 to 3 years

8. Main features–Selection Criteria (2014 RULES) • 20% - Investigators • 50% - Project • Significance & Innovation (25%) • Approach & Training (15%) • Research Environment (10%) • 30% - Commitment from Partner

9. Major changeS – Partner organisations (2014 Rules) • No longer need an Australian Partner Organisation • Overseas higher education institutions may participate as eligible Partner Organisations in their own right without having to find another PO • Any Conflict of Interest must be declared to Deakin Research prior to submission (usually applies to CI conflicts with Partner Organisations)

10. Partner Organisation REQUIREMENTS • POs cannot be an eligible organisation; a controlled entity of any eligible organisation or; an entity more than 50% owned by an eligible organisation • Each PO must meet 3 conditions • Evidence of new or ongoing collaboration with Deakin • No duplication of Commonwealth funding for the research and/or activities funded for the project • Cash and/or in-kind contribution

11. Partner Contributions • Combined PO’s eligiblecontributions (cash & in-kind) must at least match the total ARC request • Combined PO’s eligible cash contribution must be at least 25% of the total ARC request (recommend aiming for 50%) • Further information in Session: Linkage Budgets

12. PO Exemptions from cash contribution requirement • Defined in Funding Rules Definitions • Includes: • Registered charities • Not-for-profit organisations/community organisations • Start-up companies • those commercialising R&D with average annual revenue not exceeding $5M over past 2 years & majority of employees and assets in Australia • Museums or herbaria

13. Things to watch for - Background • If successful, it can take up to 12 months to negotiate a Linkage agreement. Why? Several Key Reasons: • Partner Organisations were not fully aware of the scheme • Partner Organisations unable to agree on IP provisions • Partner Organisations not fully committed to the project • Large number of collaborators • Some collaborators not willing to cut their income despite project receiving fewer ARC funds

14. Things to watch for - Background Most of the issues can be avoided by: • Diligent planning & realistic preparation time • Careful documentation (in the application) • Open and adequate discussion • True involvement of parties • Utilising partner organisations with which you have a solid relationship

15. PARTNER ORGANISATION - TIPS • Proposals must include details of the proposed collaborative arrangements: • How is each PO involved in the project? • How does the project fit with the PO’s overall strategic plan? • How is the project of value to each PO? • Make sure your PO is genuinely committed • Commitment should be evident throughout the proposal

16. Partner organisation - tips • Limit POs (suggest 1 – 3) - do not add for the sake of numbers, the strength of the collaboration is key • Watch the mix of POs – they may have different strategic directions and priorities • Each PO must provide a Partner Investigator for the project • Make sure it’s someone with whom you can work • Make sure it’s someone who has the PO’s backing

17. Partner organisation - tips • Treat your application as a Memorandum of Understanding (MoU) • Biggest issue we have during contract negotiation is sorting out misunderstandings regarding how the project will work in practice • In these instances we refer back to the original application – it provides evidence of any discussions • Do not add partners after award – original partners have “right of way” to negotiate agreement

18. Partner Investigators (PIs) • PI must have a role within the Partner Organisation • Are they likely to stay with the same PO for the next 3-4 years? • PIs must satisfy the eligibility criteria: • Take significant intellectual responsibility; and/or • Have the experience and capacity to provide supervision, support and mentoring of research personnel associated with the project; and/or • Have the skills and experience to manage a similar scale research project

19. Partner Investigators (PIs) • All investigators (including PIs) are assessed and merit ranked on the following basis (20%): • Research opportunity and performance evidence (ROPE) • Potential to engage in collaborative research with end-users • Time and capacity to undertake and manage the proposed research in collaboration with the PO

20. Other ORGANISATIONS - TIPS These are NOT Eligible Organisations or Partner Organisations: • Can have PIs on the project for specific expertise • Can be included without a PI but: • We highly recommend that they provide one • Communication can be very difficult if there is no one with a direct interest in or link to the project • Contractual arrangements can be more complex • There are fewer rules regarding their engagement with Linkage projects

21. CHIEF Investigators (CI’S) TIPS When formulating teams: • Do not build in CIs just to boost track records • Each CI must commit substantially and significantly to the project and have a particular role for the full term • Each CI should consider their forward availability including other major project initiatives, study leave, inter-institutional transfers etc • CIs from other Universities – need clear understanding of their role and what is likely to happen if the ARC funding is reduced – plan for this in advance

22. Grants Website & Resources We provide a dedicated page for each major round and scheme • http://www.deakin.edu.au/research/grants/opportunities/arc-linkage-projects.php • Includes: • timelines, specific resources (salary calculators, application templates, stipend rates) and links to ARC documentation (2014 at present)

23. Final Tip • Applications are not yet open on RMS • Get an RMS profile immediately • Get your co CIs and PIs to do the same

24. Questions? • Further Information Sessions will be provided: Ideas for Potential Topics?

25. Discussion