FREQUENTLY ASKED QUESTIONSFor schemes under the Linkage Programme for the years

2015 – 2017

Version 5. Release date: 1 July 2016

These Frequently Asked Questions apply to the following schemes:

Industrial Transformation Research Hubs for funding commencing in 2015 (IH15) Industrial Transformation Training Centres for funding commencing in 2016 (IC16) Linkage Projects for funding commencing in 2016 (LP16) for proposals submitted by 11

November 2015. Applicants intending to submit an LP16 proposal from 1 July to 22 December 2016 should refer to the LP16 specific FAQ available on the ARC website.

Linkage Infrastructure, Equipment and Facilities for funding commencing in 2017 (LE17)

All participants should read the Funding Rules for schemes under the Linkage Programme (2015 edition) (the Funding Rules) in conjunction with the relevant scheme-specific section of this document. The scheme specific ‘Instructions to Applicants’ documents also contain important information for Research Office staff and individual participants preparing proposals.

The Australian Research Council (ARC) does not respond to queries from individual participants. Individual participants should direct all queries regarding ARC funding schemes to their Administering Organisation’s Research Office (or equivalent). If further information regarding the scheme is required, the Research Office should contact the relevant scheme:

Industrial Transformation Research Hubs: ITRH@arc.gov.au

Industrial Transformation Training Centres: ITTC@arc.gov.au

Linkage Projects: ARC-LinkageProjects@arc.gov.au

Linkage Infrastructure, Equipment and Facilities: ARC-LIEF@arc.gov.au

Information regarding the Research Management System (RMS) is available here, or by contacting rms@arc.gov.au for assistance.

As soon as information regarding important scheme dates becomes available, the Important Dates page on the ARC website will be updated. The ARC will also notify the Research Administrators’ Network of any updates via an email message.

This Frequently Asked Questions document will be updated as required. Details of any amendments will be appended to this document.

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Table of Contents

Part A – FAQs applicable to all schemes under the Linkage Programme.....................................................3

1. Submission requirements............................................................................................................3

2. Personnel.....................................................................................................................................7

3. Partner Organisations................................................................................................................11

4. Budget.......................................................................................................................................16

5. Medical research.......................................................................................................................19

Part B – FAQs for ITRP for funding commencing in 2015-2016..................................................................20

6. Programme specific FAQs for schemes under the Industrial Transformation Research Programme (ITRP).....................................................................................................................20

Part C – FAQs for the IC scheme for funding commencing in 2016............................................................24

7. Scheme specific FAQs for the Industrial Transformation Training Centres (IC) scheme............24

Part D – FAQs for the Linkage Projects scheme for funding commencing in 2016.....................................24

8. Personnel...................................................................................................................................24

9. Partner Organisations................................................................................................................25

Part E – FAQs for the LIEF scheme for funding commencing in 2017.........................................................26

10. Types of supported research infrastructure..............................................................................26

11. Usage of the research infrastructure.........................................................................................27

12. Duration of LE17 projects..........................................................................................................28

13. The LIEF Register.......................................................................................................................29

14. Organisational contributions.....................................................................................................30

Part F - Changes to document..................................................................................................................30

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Part A – FAQs applicable to all schemes under the Linkage Programme

1. Submission requirements1.1 What is the submission deadline for proposals under the Linkage Programme?

Submission dates differ across schemes. See the Important Dates page on the ARC website. As soon as dates are available for a particular scheme, the Important Dates page will be updated.

1.2 What is an Administering Organisation?The Administering Organisation is the Eligible Organisation, usually a university, which submits the proposal to the ARC through its Research Office. The Administering Organisation must demonstrate a significant contribution of cash, in-kind or other material resources to the project.

Please see Subsection A9.1 and Section A17 of the Funding Rules for further information and a list of Eligible Organisations.

1.3 What does an Administering Organisation have to certify in the proposal? The full proposal certification text for each scheme will be available in the relevant sample application forms. All Administering Organisation Research Offices are advised to familiarise themselves with this certification text in order to adequately prepare proposals. Please also see Subsection A12.4 of the Funding Rules on the certification of proposals.

1.4 Can I make changes to my proposal once it has been submitted and the deadline for applications has passed?No. Proposals may be withdrawn (please see Subsection A12.3.3 of the Funding Rules for further information on withdrawal deadlines), however deletions and modifications will not be accepted after submission unless invited by the ARC.

1.5 I am worried that the graphs and diagrams will not be clear after my proposal has been scanned. How much attention should I pay to PDF resolution?Due to potentially low resolution within PDFs, the reproduction of fine graphics may not be optimal. When completing the application form, the ARC recommends that PDFs be directly generated rather than scanned to maximise the quality of reproduction. Colour graphs, colour photographs, finely detailed graphics and grey scale are permitted but participants should be aware that proposals may be reproduced in black and white during the assessment process. It is unwise to include coloured graphs or graphs that may not reproduce well.

1.6 Can an applicant include impact factors and citation counts in their proposal under Research Opportunity and Performance Evidence (ROPE)? When addressing questions under Research Opportunity and Performance Evidence (ROPE), applicants must observe the requirements outlined in the current Funding Rules and the Instructions to Applicants. When justifying the impact or significance of each publication, each applicant should decide what information is to be included in these sections to best support the selection criteria, while observing eligibility requirements such as formatting, word and page limits. The ARC is not prescriptive about what can be included, but applicants should be aware of the widely held view that journal impact factors are a poor measure of an individual’s research performance.

1.7 I hold a number of ARC funded projects, but am unsure for which I need to provide a ‘Statement on Progress’ within the proposal.

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A ‘Statement of Progress’ must be provided for all active grants. The ARC considers a Project to be active as soon as the Funding Agreement has been executed by the ARC and until the Project has been completely finalised, including both the acquittal of ARC funds and the approval of the Final Report. For each participant on an IH15, IC16 or LP16 proposal, please attach a statement detailing progress for each active ARC project/award/fellowship involving that participant under the following schemes: ARC Discovery Projects, Discovery Indigenous Researchers Development, Discovery Indigenous; Discovery Early Career Researcher Award; Linkage Projects; Industrial Transformation Research Hubs; Industrial Transformation Training Centres; or any ARC fellowship schemes.

For each participant on an LE17 proposal, please attach a statement detailing progress for each active ARC LIEF project involving that participant.

Please upload a PDF detailing the progress of the project of no more than one A4 page for each funded project including the project ID, the First named investigator (Project Leader) and the scheme.

Please upload a PDF of no more than one A4 page for each funded project stating the project ID and the First named investigator (Project Leader), and detailing the progress of the project.

1.8 I have a current ARC project that was approved for funding, but commencement was delayed and as a result there has been little progress to report. Do I still need to provide a ‘Statement on Progress’ within the proposal submission?Yes. A ‘Statement of Progress’ must be provided for all active grants. The ARC considers a Project to be active as soon as the Funding Agreement has been executed by the ARC and until the Project has been completely finalised, including both the acquittal of ARC funds and the approval of the Final Report. Please note that for LE17 proposals, a ‘Statement of Progress’ is required for active LIEF projects only.

1.9 What information am I required to provide in relation to management of data in the Project Description?In line with responsibilities outlined in the Australian Code for Responsible Conduct of Research (2007) and international best practice, the ARC has updated wording in relation to the management of data.

The ARC does not mandate open data. However, researchers are encouraged to consider the ways in which they can best manage, store, disseminate and re-use data generated through ARC-funded research. The Project Description requires researchers to articulate briefly their plans for the management of data generated through the proposed project. In answering this question researchers need not include extensive detail of the physical or technological infrastructure.

Answers should focus on plans to make data as openly accessible as possible for the purposes of verification and for the conduct of future research by others. Where it may not be appropriate for data to be disseminated or re-used, justification may be provided.

Further information and resources on managing data are available on the Australian National Data Service (ANDS) website.

1.10 Is it sufficient to answer the management of data section in the Project Description by noting that I will comply with my institution’s requirements?No. While the ARC recognises that some institutions may have infrastructure and/or processes in place for storing, managing and sharing data and that these are valuable resources. However, to take into account the differences that may exist between institutions, disciplines and research projects, researchers are encouraged to highlight specific plans for the management of their research data in this section.

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The management of data section in the Project Description aims to encourage consideration of ARC-funded research data at both an individual and institutional level, in accordance with the responsibilities outlined in the Australian Code for Responsible Conduct of Research (2007). Researchers, in consultation with their institutions, are best placed to consider the management and future potential of their research data. This approach allows individuals to take into account the differences that may exist between disciplines and research projects as well as to utilise the institutional resources and support available.

Details of compliance with institutional requirements should be included in this section, provided that they are supported by a description specific to the data arising from the individual research project.

1.11 What is research impact?Research impact is defined as the demonstrable contribution that research makes to the economy, society, culture, national security, public policy or services, health, the environment, or quality of life, beyond contributions to academia. In developing your ‘Impact Statement’ in an ARC grant application form you should consider examples (or illustrations) from your research plan representing all columns of the Research Impact Pathway Table.

1.12 I note that the Proposal form requires me to outline the intended impact of the Research. I’ve looked at the Instructions to Applicants and the research impact pathway table on the ARC website but I’m still uncertain as to how to construct a Research Impact Statement.While an impact statement may differ for individual research areas/disciplines the principles are the same and the message should be simple, clear and concise. For research in all disciplines there should be an intended benefit from the outcomes of the research. Address who is the target beneficiary of the research and what is to be improved or changed. Refer to the Research Impact Pathway table on the ARC web site for examples of what the ultimate outcome and impact will look like. You might include what the new technology, solution or service could be and what is your target in terms of end dates and value. Finally you might also include why this makes a cohesive and compelling case for research investment.

1.13 Can a proposal be submitted which has been unsuccessful in previous rounds?Yes. An unsuccessful proposal from a previous round under the Linkage Programme can be submitted in subsequent Linkage Programme scheme rounds. Applicants are encouraged to consider the feedback received for a previous unsuccessful proposal when considering submitting a revised proposal.

1.14 I have a proposal that is currently under consideration for Discovery Projects 2016 (DP16), and upon review of the assessor’s comments I would like to submit the same (or similar) proposal for a Linkage Programme scheme. Am I allowed to submit a similar proposal for a scheme under the Linkage Programme if the outcomes of my DP proposal are released prior to the closing date for submission of the Linkage Programme scheme?

Yes. A proposal for the same project can be submitted to more than one scheme (keeping in mind the limits on the number of Industrial Transformation Research Programme (ITRP) proposals as outlined in FAQ 6.6). If both proposals are successful you will be required to manage any potential financial duplication through an ARC-approved variation to the relevant Funding Agreement or by relinquishing one of the successful projects.

Please note in accordance with Subsection A6.1.4 of the Funding Rules, the ARC will not duplicate funding for research, including infrastructure, funded by the Commonwealth.

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1.15 Can I include an ‘in-press’ publication in my reference list in my proposal?Publications can be listed in the ‘Research Outputs’ section of a proposal if they are ‘in press’ with an acceptance date (this must be provided and the accuracy of this information is of course included in the overall proposal’s certification).

Applicants are strongly advised to provide accurate information in their publication details, such as in clearly indicating whether a monograph is authored or edited, and in carefully indicating whether they are first, second or other listed author.

If proposed publications are not yet ‘in press’ but are potentially significant, these could be referred to in other parts of the Personnel section of the proposal such as details on your Research Opportunities and Performance Evidence (ROPE) section or further evidence in relation to research impact and contributions to the field.

1.16 In the Funding Rules, Subsection A10.1.3 states that I have to acknowledge significant contributions. What is a ‘significant contribution’ to the proposal, and where do I have to include the acknowledgement in the proposal?If someone who is not named as a participant on the proposal provides a significant contribution to the proposal, they must be acknowledged in the Project Description part of the proposal (Subsections A10.1.3 and A16.6.2 of the Funding Rules). A significant contribution varies between discipline areas but generally if someone has provided input (such as an idea, or specific advice or guidance, or significant drafting of the proposal) which has made a notable difference to the content or design of the project, they must be acknowledged by name in the proposal.

1.17 Why does the ARC no longer require applicants to identify keywords within the proposal? I thought the keywords were used to match the proposal with appropriate assessors?The Research Management System (RMS) has recently been upgraded to RMS 2.0. Part of the improved functionality allows keywords to be identified by the system by taking into account a number of fields within proposals to match with the expertise of assessors, including the Proposal Summary, Proposal Title, Impact Statement, FoR codes and SEO codes. This information is used to suggest appropriate assessors for a proposal. ARC Executive Directors and College of Experts members will continue to review the assessors suggested by the algorithm for best matches.

1.18 I am having trouble sticking to the page limits stipulated in several of the form Parts. Is it okay to use 10 point font size?No. The Instructions to Applicants clearly state that, with the exception of references, an appropriate 12 point font should be used. Failure to comply with the required format may result in the proposal being ruled ineligible for funding. Only references may be reproduced in 10 point font size.

1.19 For eligibility purposes, do you count all the projects that are listed in the proposal ‘Currently held ARC Projects’ question for each participant (auto-populated by RMS)?Not necessarily. For eligibility purposes, the ARC considers projects/fellowships/awards to be funded for the years set out in Schedule A of the original Funding Agreement. The date on which funding ends per the original Funding Agreement is considered to be the formal date of completion date of the project/fellowship/award.

The ‘Currently held ARC Projects’ question is auto-populated and will include any project which has not yet had a Final Report approved and the project file closed by the ARC.

1.20 Where in the LP16 proposal form should applicants list their recently announced projects (DP16, DE16, IN16 and LE16)?

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As you are aware the recently announced projects from the recent Major Grants Announcement are currently not showing under Part G14 (Currently Held ARC Projects) of the proposal form, and the Instructions to Applicants specifically state “Do not include proposals for ARC schemes for which the outcomes have already been announced.”

The ARC is transitioning to electronic acceptance of funding agreements and funding offers. The functionality within RMS will not be fully operational until late November, and hence the recently announced Projects will not show in the LP16 proposal G14 question before the closing date of proposals.

As a work around, applicants should include these announced Projects in Part H1 (Research support for all Participants) under the ARC proposals table. Please also use the Support Status of ‘Announced’ for these Projects.

1.21 There are additional projects appearing in the Currently Held ARC Projects section in my proposal that weren’t there before, why are they appearing now?As all the Post-award functionality has now been migrated into RMS, all projects that are considered ‘active’ by the ARC will now appear.

1.22 What does the ARC consider to be an ‘active’ project?The ARC considers all projects to be active as soon as the Funding Agreement has been executed by the ARC and until they have been completely finalised, including both the acquittal of ARC funds and the approval of the Final Report. Projects with the state of Funded, Funds Complete and Project Closed are all considered to the ‘active’ projects.

1.23 When will my recently announced projects appear in the Currently Held ARC Projects section of my proposals?A project will only appear on a proposal once it is active. Projects are only 'active' once the Funding Agreement has been accepted by the Administering Organisation and executed by the ARC in RMS.

For any recently announced projects which are not yet active, and therefore are not yet appearing in the Currently Held ARC Projects section of the proposal, please include details of these projects in Part H1 – Research Support for all Participants.

1.24 When will my Project be ‘closed’?Once all reporting and financial requirements have been met, the ARC will close the project.

2. Personnel2.1 I meet the eligibility criteria for a CI on a Linkage Programme proposal, but I do not want to

dedicate all my time to a project as a CI, so can I apply as a PI?No. Your employment status is the main determinant of whether you are eligible for a Chief Investigator (CI) or Partner Investigator (PI) role. The difference between these roles is not related to your intended level of involvement or FTE in the project. If you are unsure of your eligibility to be nominated as a CI or PI, please refer to Section A10 of the Funding Rules for further information and consult with your Administering Organisation’s Research Office. Please note that Hub Directors and Training Centre Directors must meet the eligibility requirements for a CI, and that the Funding Rules contain additional eligibility requirements for Hub Directors (B9.2) and Training Centre Directors (C9.2).

2.2 Can I be a CI on a Linkage Programme proposal while undertaking a higher degree by research? What does ‘Higher degree by Research Conferral Date’ mean?

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No, a CI cannot be undertaking a higher degree by research (HDR) at the Commencement Date of the project. Participants must have their HDR conferred by the Commencement Date of the project as described in Subsection A10.2.5 of the Funding Rules. The ‘HDR Conferral Date’ is the date that is noted on the HDR testamur. The ‘HDR Conferral Date’ is not the date of submission of the thesis, nor the date the thesis was accepted by the examination board.

2.3 I hold an Emeritus Appointment at an Eligible Organisation. Am I eligible to apply as a CI?Holders of an Emeritus Appointment (as defined at Section A3) at an Eligible Organisation may be eligible to apply as a CI, provided that they do not have a paid position elsewhere (and assuming that they meet all other CI eligibility requirements). Please see Subsections A10.2.1 and A3 of the Funding Rules.

2.4 I am employed full-time by an Eligible Organisation and hold an adjunct position elsewhere. Am I eligible to apply as a CI?You are eligible to be a CI if you are an employee at an Eligible Organisation listed in A17 of the Funding Rules for at least 0.2 FTE (20 per cent of Full Time Equivalent). This is not changed by your Adjunct appointment. Please refer to Subsection A10.2.1 of the Funding Rules.

2.5 I am employed full-time by an organisation not listed in Section A17, and also hold an Adjunct appointment at an Eligible Organisation. Am I eligible to apply as a CI?If you are employed by an organisation not listed in Section A17, and also hold an Adjunct appointment at an Eligible Organisation listed in Section A17, you do not meet the eligibility criteria for a CI as specified in Subsection A10.2.1 of the Funding Rules. However, you may be eligible as a PI. Please consult with your Administering Organisation’s Research Office.

2.6 I am partially employed by an Eligible Organisation and another organisation (not listed in Section A17) and hold an Emeritus Appointment at an Eligible Organisation. Am I eligible to apply as a CI? In this instance, you must initially determine the following:

a) if you are an employee of an Eligible Organisation listed in Section A17 for at least 0.2 FTE (20 per cent of Full Time Equivalent) – you are eligible to be a CI; or

b) if you are a holder of an Emeritus Appointment (as defined at Section A3) at an Eligible Organisation listed in Section A17 and do not have a paid position elsewhere – you are eligible to be a CI; or

c) if you are an employee of an Eligible Organisation listed in Section A17 for less than 0.2 FTE (20 per cent of Full Time Equivalent), and you are a holder of an Emeritus Appointment (as defined at Section A3) at an Eligible Organisation listed in Section A17 and you hold a paid position elsewhere (not at an Eligible Organisation listed in Section A17) – you are not eligible as a CI. However, you may be eligible as a PI (see Section A10.3 of the Funding Rules). Please consult with your Administering Organisation’s Research Office.

2.7 If I hold a paid Visiting appointment for at least 0.2 FTE at an Eligible Organisation am I eligible to apply for a CI role on a Linkage Programme proposal?Yes. A researcher holding a paid Visiting appointment for at least 0.2 FTE at an Eligible Organisation is eligible to apply for a Chief Investigator (CI) role on a Linkage Programme proposal providing that the researcher also fulfils the other CI eligibility requirements described in the Funding Rules.

2.8 I am holding a set duration contract at an Eligible Organisation that will be valid as at 1 July 2016, am I eligible to apply for a CI role on a Linkage Projects proposal?

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Yes. A researcher holding a fixed duration contract for at least 0.2 FTE at an Eligible Organisation valid as at 1 July 2016 (Commencement Date for LP16) is eligible to apply for a Chief Investigator (CI) role. If the proposal is successful, CIs and PIs must meet the eligibility criteria for the duration of the project. If a CI/PI’s employment changes during the project, for example a contract expires and is not extended, the Administering Organisation must promptly notify the ARC of the change of circumstances.

2.9 I have roles at multiple organisations, which should I list at the ‘Relevant Organisation for this Proposal’ question?You should list the organisation that you will be associated with for the purposes of the project. It would usually be the organisation that has made cash/in-kind contributions on the proposal related to your work on the project (if relevant). This may differ from your current organisation at the time the proposal is submitted, and it also may differ from the organisation which gives you eligibility for your CI or PI role on the proposal.

For example, you may be employed by an Eligible Organisation for more than 0.2 FTE, and also employed by an organisation which will be a Partner Organisation on the proposal. Both of these organisations need to be listed at the ‘Employment Details’ question in the proposal form. If the Eligible Organisation is not involved with the project and the PO is going to contribute cash/in-kind related to your participation on the project, the organisation to list at the ‘Relevant Organisation for this Proposal’ is the PO. Your employment with the Eligible Organisation allows you to be eligible as a CI on the proposal, but as the Eligible Organisation is not involved (or is less involved) with your participation on the project, the PO is the relevant organisation for the proposal.

2.10 I am employed by two organisations, one of which is the Partner Organisation (PO) on the proposal but the PO is not my primary employer. In terms of determining my ‘Relevant Organisation for this Proposal’, should I list my primary employer as at the commencement date of the project, or the PO which is the organisation that is on the proposal and is contributing the in-kind for my salary?At the ‘Relevant Organisation for this Proposal’ question, all CIs and PIs should list the organisation that they will be associated with for the purposes of the project. This is not necessarily their main employer. In your situation, as the PO is involved with the proposal and in contributing in-kind related to your work on the project, the PO should be listed as your relevant organisation on the proposal.

2.11 I hold a position at an Eligible Organisation, but will not reside in Australia for much of the duration of the project. Am I still eligible to be a CI?No. A CI must legally reside predominantly in Australia for the duration of the project. Please see Subsection A10.2.4 of the Funding Rules.

2.12 I am a CI on a currently funded project under the Linkage Programme and intend to change my organisation and become a PI at the commencement of the new proposal. If the proposal is successful, how do I update my role on both projects?a) Current project – This is a post-award issue. Assuming your move is dependent upon the ‘new’

proposal being successful, you will need to advise your Administering Organisation of your change in investigator role eligibility on your ‘current’ project as soon as the move occurs. Your Administering Organisation will submit a ‘Variation of Funding Agreement’ together with supporting documentation from all participants on the project to the ARC, requesting an amendment to your existing role from that of CI to PI.

Note: where the CI was the Project Leader, another participant who was an original participant on the proposal may become the Project Leader provided that the replacement participant meets the CI

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eligibility criteria. Please refer to the funding rules and funding agreement relevant to the current project.

b) New proposal – You will have indicated your role as a PI within the new proposal and therefore your role will be correct (providing that you meet all of the eligibility criteria in the Funding Rules).

2.13 I am a CI and I have a Conflict of Interest (COI) with a Partner Organisation on the proposal, am I still eligible and who do I declare this COI to?The Funding Rules do not preclude the participation of a CI with a COI with a Partner Organisation. Please refer to Subsection A12.5 of the Funding Rules and ensure that you declare all COIs to your Administering Organisation, which is then responsible for managing the conflict.

2.14 Does there need to be a PI nominated on the proposal for each Partner Organisation?The requirement for a PI to be nominated for each Partner Organisation varies across the schemes under the Linkage Programme. See the table below for further information.

Table 1: Summary of requirement for a PI for each PO for schemes under the Linkage Programme

Scheme

Requirement for PI Funding rules reference

IH15 Must be at least one PI from each Partner Organisation

B9.1.2c

IC16 Must be at least one PI from each Partner Organisation

C9.1.2c

LP16 May nominate a PI from each Partner Organisation D9.1.3

LE17 No more than five PIs from each Partner Organisation

E10.1.3

2.15 What if the nominated PI from the Partner Organisation is not an academic and is not competitive based on their ROPE?Please refer to Subsection A10.3 of the Funding Rules. Subsection A10.3.4 states that under the Industrial Transformation Training Centres, Industrial Transformation Research Hubs and Linkage Projects schemes a PI must:

a) take significant intellectual responsibility for the planning and conduct of the project and for any strategic decisions called for in its pursuit and the communication of results; and/or

b) have the experience and capacity to provide effective supervision, support and mentoring of research personnel associated with the project in their areas of expertise; and/or

c) have demonstrated the relevant skills and experience to effectively manage a similar scale research project.

The ARC recognises that in some cases a proposed PI from a Partner Organisation will not be a researcher or have an academic background. Subsection A10.3.4c refers to those participants undertaking administrative/managerial responsibilities at the Partner Organisation who may not

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necessarily be a researcher. As this subsection is an ‘and/or’ clause, the participant need only meet a), b) or c) to be eligible.

The LP16, IH15 and IC16 proposal forms all contain a non-mandatory question for PIs to indicate which one or more of the PI roles from Subsection A10.3.4 they will be undertaking. If PIs choose to complete this question, ARC Assessors can then assess the PI’s track record in light of the intended PI role(s). ARC Assessors are required to pay close attention when assessing investigators as the expected nature of a satisfactory or strong track record may vary depending on the role the proposed PI is undertaking.

With regard to the Linkage Infrastructure, Equipment and Facilities scheme, Subsection A10.3.5 of the Funding Rules states that a PI must take significant intellectual responsibility for the conception and conduct of the project and for any strategic decisions called for in its pursuit and the communication of results.

2.16 I am a PI from a Partner Organisation and I don’t have an academic or research background, how do I answer the ROPE and publication record questions and will the proposal be disadvantaged if they are left empty?The LP16, IH15 and IC16 proposal forms all contain a non-mandatory question for PIs to indicate which one or more of the PI roles from Subsection A10.3.4 they will be undertaking. If PIs choose to complete this question, ARC Assessors can then assess the PI’s track record in light of the intended PI role(s).

For the IH15, IC16 and LP16 schemes, a PI does not need to be a researcher or have an academic background. In accordance with Subsection A10.3.4c, a PI could have another role such as (for example) a project manager, a communications facilitator or a database manager. In the track record questions in the proposal, this type of PI could include a short explanatory statement as to why the question is not applicable to their background and role, or include any relevant information and experience they can provide to the proposal (for example, relevant consultancies, policy advice, and other professional activities). This will be supportive of the proposal and not disadvantage it in any way.

For LE17, a PI must take significant intellectual responsibility for the conception and conduct of the project and for any strategic decisions called for in its pursuit and the communication of results. (Subsection A10.3.5)

Please note, all ARC assessors will be advised to pay close attention when assessing participants as to their records, expectations may vary depending on the role the proposed PI is undertaking.

2.17 Can you please provide the ARC definition of a Higher Degree by Research (‘HDR’) candidate?Candidates enrolled in a Higher Degree by Research at an Eligible Organisation listed at Section A17, or eligible to be enrolled, will be regarded by the ARC as suitable HDR candidates under these Funding Rules.

3. Partner Organisations3.1 How do I know if an organisation is eligible to be a Partner Organisation and who do I

contact?Please see Subsection A9.2 of the Funding Rules, which provides information concerning Partner Organisation eligibility. Please contact your Administering Organisation’s Research Office if you

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require assistance. The ARC does not provide advice on Partner Organisation eligibility. It is the responsibility of the Administering Organisation to certify that all Partner Organisations meet the criteria.

3.2 As an organisation/company interested in this Programme, should we approach the ARC to discuss funding?The ARC encourages any organisations interested in applying to start discussions with Eligible Organisations (as listed in Section A17 of the Funding Rules) about jointly developing a proposal. Please see Subsection A9.2 of Funding Rules for requirements for Partner Organisations.

3.3 Does the ARC retain intellectual property rights on ARC-funded research?No, the ARC does not take ownership of intellectual property (IP) rights on ARC-funded research outputs, for example such as inventions or documents. All IP arrangements should be negotiated directly between industry partner(s) and the Administering Organisation and will be included in the partnership(s) agreements signed between the Administering Organisation and the relevant partner(s). The Administering Organisation is expected to align with the National Principles of Intellectual Property Management for Publicly Funded Research document which is available on the ARC website and is provided for guidance and information.

3.4 Can you provide clarification on what constitutes an Australian Partner Organisation?An Australian Partner Organisation means a Partner Organisation, or part of such an organisation, that is incorporated under Australian Law and is operating in Australia and has an ABN number.

3.5 Do I need an Australian Partner Organisation on my proposal?Overseas higher education institutions and organisations are eligible as Partner Organisations for all schemes under the Linkage Programme. However, the requirement for an Australian Partner Organisation on a proposal varies across the Linkage Programme schemes under the Funding Rules. See the table below for more information.

Table 2: Summary of requirement for an Australian Partner Organisation for schemes under the Linkage Programme

Scheme

Requirement for Australian Partner Organisation Funding rules reference

IH15 Must include at least one Australian Partner Org B8.1.1

IC16 Must include at least one Australian Partner Org C8.2.1

LP16 Must include at least one Partner Org – no requirement to include an Australian Partner Org

D8.1.1

LE17 No requirement to include a Partner Org – no requirement to include an Australian Partner Org

E9

3.6 What is the Cash Contribution required from Partner Organisation(s)?The required cash contribution from Partner Organisations varies across Linkage Programme schemes under the Funding Rules. See the table below for more information.

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Table 3: Summary of Partner Organisation cash contribution requirements for schemes under the Linkage Programme

Scheme Partner Organisation cash contribution requirements Exemptions

Funding rules reference

IH15

Combined Partner Organisation Cash Contribution must be at least 75 per cent of total funding requested from ARC

If all Partner Organisations on an IH15 proposal have 100 employees or less, the proposal is exempt from the minimum Cash Contribution requirement (Subsection B8.2.3)

B8.2

IC16

Must demonstrate that the combined Partner Organisation Cash and In-kind Contributions are sufficient to support all the research projects described in the proposal and particularly that of the ICHDRs and ICPDs in the Training Centre

N/A C8.3

LP16

The combined Partner Organisation eligible Cash Contribution must be at least 25 per cent of the total funding requested from the ARC

If all Partner Organisations on an LP16 proposal are exempt types of Partner Organisation as per Section D2, the proposal is exempt from the minimum Cash Contribution requirement (Subsections D8.2.6 and D8.2.7)

D8.2

LE17

Organisational Cash Contributions for direct costs must make up at least 25 per cent of the total direct cost of the research infrastructure. Cash contributions from the Administering Organisation, Other Eligible Organisations, Partner Organisations and Other Organisations are eligible to make up this minimum of 25 per cent

N/A E9.2

3.7 How do I recognise and calculate in-kind budget items in Partner Organisation contributions?In-kind contributions under the Funding Rules are calculated using costs that are specific to the project as outlined in Subsection A9.2.11 of the Funding Rules. The table below is a guide for recognising in-kind budget items in Partner Organisation contributions. Please note that this list is for your reference only and is not all-inclusive.

In-Kind Category Accepted Not AcceptedAccess to unique databases

Incremental costs of access Cost of collecting the database

Analytical and other services

Internal rates Commercial rates

Analytical and other services

Incremental cost of providing service

Equipment Contributed - Used Fair market value Company book value Price for internal

List price or discounted list price

Rental equivalents exceeding accepted

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transfers values had the equipment been donated or sold

Equipment

Contributed - New Selling price to most

favoured customer (if stock item)

Cost of manufacture (if one of a kind)

Cost of purchase

Development costs

Equipment

Rent Rental equivalent based

on depreciation Rental rate equivalent to

highest volume user

Equipment

Sold Difference between

discounted price and selling price to most favoured customer

Materials

Unit cost of production for commercial products

Selling price to most favoured customer

Price for internal transfers

Cost of production of prototype and samples

Development costs (unless they are an integral part of the proposed project)

Patents and licenses

Licences acquired from third parties for use by the university in the project

Patents Licensing fees paid to the

university

Salaries

Typical salary cost (including on-costs) at internal rates

External charge-out or consultant rates

Costs relating to administrative support where overhead has been included in salary costs

Contributed software (need to distinguish between existing software used as a tool for analytical purposes and the Partner Organisation's contribution to developing new software tools where this is one of the main objectives of the proposal)

Copying costs Licensing cost Documentation cost Cost of training and

support of software Cost of equivalent

commercial product (where donated software is not commercially available)

Development costs

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Travel

Travel costs associated with fieldwork

Travel costs for meetings between university personnel & Partner Organisation staff

Conference travel for university staff

Use of facilities

Internal rates for logistical support and travel allowance for university personnel working on Partner Organisation premises or on fieldwork

Internal rates for use of specialised equipment by university personnel or use of process or production lines

Internal rates for value of lost production resulting from down time

Use of equipment by Partner Organisation personnel.

Space for Partner Organisation activities outside the scope of the specific proposal

Equivalent commercial rates

3.8 Can the letter of support from the Partner Organisation(s) indicate that the cash and in-kind support provided by the Partner Organisation is in-principle?No. The Cash and/or In-kind support detailed in a Partner Organisation must be a commitment to provide that contribution, should the proposal be successful in being awarded funding by the ARC.

3.9 Can you please clarify the meaning of ‘appropriated’ in the Funding Rules?The term ‘appropriated’ as at Subsections A9.2.4, A9.2.8, A9.2.9, D8.2.4, and D8.2.5 of the Funding Rules refers to funding that has already been allocated to the organisation for the purposes of research.

3.10 How do I know if my Partner Organisation is an organisation whose funds are appropriated predominantly from Commonwealth or Australian State or Territory funding sources for the purposes of research?Please contact the Research Office of the Administering Organisation that is intending to submit the proposal to the ARC and discuss with them the eligibility of the potential Partner Organisation, and if required, please seek information directly from your Partner Organisation regarding the source and purpose of their funding.

The ARC does not provide advice on Partner Organisation eligibility. It is the responsibility of the Administering Organisation to certify that all Partner Organisations meet the criteria in the Funding Rules. Please refer to Subsection A9.2 of the Funding Rules in consultation with the Research Office.

3.11 How can a Partner Organisation on my proposal contribute cash towards the project if their funds are appropriated predominantly from Commonwealth or Australian State or Territory funding sources for the purposes of research?Under the IH, IC and LP schemes, a Partner Organisation whose funds are appropriated predominantly from Commonwealth or Australian State or Territory funding sources for the purposes

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of research can contribute cash towards a project, if the cash for the project was not derived from Commonwealth or Australian State or Territory funding sources for the purposes of research. This may include cash earned by the organisation from sources such as (but not limited to) patent licensing or the provision of products/services. Please refer to Subsection A9.2.8 of the Funding Rules. Please note that contributions from this type of organisation are only eligible to make up a maximum of 25% of the required Partner Organisation contribution under these three schemes.

Under the LIEF scheme, a Partner Organisation whose funds are appropriated predominantly from Commonwealth or Australian State or Territory funding sources for the purposes of research can contribute cash towards a project, if the cash for the project was not derived from Commonwealth or Australian State or Territory funding sources for the purposes of the same research infrastructure. This may include cash earned by the organisation from sources such as (but not limited to) patent licensing or the provision of products/services. Please refer to Subsection A9.2.9 of the Funding Rules.

3.12 At Subsections A9.2.8 and A9.2.9 of the Funding Rules, what is meant by funds previously used to leverage government research funding?The subsections refer to funds which an organisation has already used to leverage government research funding, such as (but not limited to) funds which have already been included by the organisation in a successful application to a Commonwealth or Australian State or Territory funding programme or scheme in order to receive a grant or award.

3.13 Can funds be requested from the ARC for the cost of personnel to be based at the Partner Organisation?The Funding Rules support personnel costs as per Subsections B7.1.a, C7.1.a, D7.1.a and E7.1.a. The Funding Rules do not preclude requesting funding for an employee at a Partner Organisation to carry out specific tasks on a project, noting that a salary and/or on costs (in whole or in part) cannot be requested for a CI or PI (Subsection A8.1.1.e) and the LIEF scheme has restrictions on the activities for which personnel salary can be requested (Subsection E7.1.a).

However, please note that all budget requests need to be fully justified, and in this case the applicant should explain and justify why the salary is being requested from the ARC and is not contributed by the Partner Organisation, and why the task cannot be carried out by specified personnel on the project. The applicant should note Subsections A10.2.2 and A10.3.3 stating that a CI or PI must have the capacity to make a commitment to carrying out the project and cannot assume the role of a supplier of resources for work that will largely be placed in the hands of others. The applicant should also note the any scheme-specific Selection Criteria relating to the commitment from Partner Organisation(s) when considering the contribution from their Partner Organisation(s).

4. Budget4.1 Can publication and dissemination costs be included in the budget?

The Funding rules support publication and dissemination of project outputs and outreach activity costs for the IH, IC and LP schemes (Subsection A7.1.1.f). There is no cap on the amount that can be requested, as long as the total project cost does not exceed the maximum of per year specified for the scheme in the Funding Rules. Applicants may request an appropriate amount for publications and dissemination under the Project Costs table of the proposal Form. All funds requested from the ARC must be fully justified under the Budget Justification in the proposal form.

Please note that applicants should include information in the Project Description part of the proposal Form regarding their strategies for dissemination.

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The Funding rules do not support publication and dissemination of project outputs and outreach activity costs for the LE scheme.

4.2 Can Teaching Relief be requested?The provision of funds for teaching relief varies across schemes under the Linkage Programme. See below table for further information.

Table 4: Summary of funding for teaching relief for schemes under the Linkage Programme

Scheme

Funding provided for teaching relief?Funding rules reference

IH15Yes – for CIs, up to a total value of $50,000 per year

B7.1.b

IC16 No N/A

LP16Yes – for CIs, up to a total value of $50,000 per year

D7.1.b

LE17 No E8.1.e

4.3 If a participant currently holds an ARC fellowship/award do they include their salary and time-commitment (FTE) in the Administering/Other Eligible Organisation column in the Project Costs table or the Budget Justification in the proposal form? The salary of a current holder of an ARC fellowship/award is not an expense of the Administering/Other Eligible/Other Organisation and should not be included as a time-commitment (Full Time Equivalent (FTE) or salary contribution in the Project Costs table in the proposal Form. The time-commitment (FTE) of the fellowship/award holder to the proposal should be included and justified in the Project Description.

4.4 How many consecutive years can I apply for under the Linkage Programme?The maximum and minimum number of years for which you can apply for funding varies across the schemes under the Linkage Programme. See below table for more information.

Table 5: Summary of number of consecutive years for which funding can be requested for schemes under the Linkage Programme

SchemeMinimum no. of years

Maximum no. of years

Funding rules reference

IH15 3 5 B6.1.2

IC16 4 5 C6.1.1

LP16 2 5 D6.1.2

LE17 1 5*E6.1.3, E6.1.4

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* An LE17 proposal may be applied for up to five years only for: subscription or coordinated access to international facilities and major national facilities; or construction of research infrastructure.

4.5 What is the minimum and maximum funding that can be requested under the Linkage Programme?The minimum and maximum funding which can be requested under the Linkage Programme varies across schemes. See the table below for more information.

Table 6: Summary of the minimum and maximum funding which can be requested for schemes under the Linkage Programme

SchemeMinimum funding per year

Maximum funding per year

Funding rules reference

IH15 $500,000 $1,000,000 B6.1.1

IC16 $650,000* $1,000,000 C6.1.5

LP16 $50,000 $300,000 D6.1.1

LE17 $150,00075% of the total direct cost of the eligible budget items

E6.1.1, E6.1.2

*A minimum of $650,000 applies to the first three (3) years. A minimum of $150,000 may be requested in the fourth year. There is no minimum level of funding provided by the ARC in the fifth year of an IC proposal.

4.6 Can I apply for a 3 year project but only request funds for 2 years from the ARC? I don’t need any ARC funds in the third year of my project.No. Applicants must request the minimum yearly funding amount for each year of the project under the Linkage Programme. See Subsections B6.1.1, C6.1.5, D6.1.1 and E6.1.1 of the Funding Rules for more information. This means that for a two year project ARC funding must be requested for each year of the two years. For a three year project ARC funding must be requested for each year of the three years.

4.7 Can I request travel funding for more than $20,000 in one year? This is travel NOT related to carrying out field research.The Funding Rules allow for requests for travel costs not exceeding an average of $20,000 per year of the project for the IH, IC and LP schemes (Subsection A7.1.1.h). This means that for a 5 year project, you can request up to a maximum of $100,000 for travel costs over the life of the project, and it does not need to be evenly spread as $20,000 per year – it could be all in year one, or split between several years, as long as it does not exceed an average of $20,000 per year of the project. Funding for travel related to carrying out Field Research is not counted towards this limit. Please note that all budget requests must be fully justified.

4.8 My proposal has requested salary support for a research assistant. What kind of increments should I include under Project Cost? For personnel being funded within the project, such as research associates and research assistants, do not include CAF (Cost Adjustment Factor) indexation, as all project payments are automatically indexed by the ARC at the time of payment for each year of the project. Nor should you include annual pay rises associated with enterprise bargaining agreements and other similar agreements.

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However, you may include salary/performance increments, such as those within a salary band, that are routinely applied within your organisation. Please refer to the relevant Instructions to Applicants.

5. Medical research5.1 My Project is in the area of medical research. Can I apply for funding to the ARC?

The ARC does not normally fund Medical Research under the Linkage Programme schemes (Subsection A5.1.3 of the Funding Rules). The ARC may in its absolute discretion decide whether a proposed Project, or elements of a Project, falls within the area of Medical Research. Please refer to the ARC website at the following link for the ARC Medical Research Policy . Please also note the Medical Research Policy FAQs and the ‘Examples to accompany those FAQs which provide further guidance.

Proposals which could be considered to be in an area related to medical research should provide justification in support of the eligibility of the proposal in the Medical Research Statement within the proposal form.

However, please note that Subsection A5.1.4 of the Funding Rules states that if the Industrial Transformation Priorities include a medical research-related priority, IH15 and IC16 proposals addressing the priority may be submitted, having regard to the objectives of the relevant scheme.

The Industrial Transformation Research Programme (ITRP) Round 4 Industrial Transformation Priority ‘Medical Technologies and Pharmaceuticals’ is exempt from the ARC Medical Research Policy. proposals submitted to the IH15 or IC16 schemes under the ‘Medical Technologies and Pharmaceuticals’ Industrial Transformation Priority are therefore exempt from the ARC Medical Research Policy, however it is imperative that any ITRP proposal adequately satisfies the scheme objectives. Please note that this is the only exception from the ARC Medical Research Policy under the Funding Rules for schemes under the Linkage Programme (2015 edition).

5.2 How can I make it clear to the ARC that my project is not predominantly medical in nature?Having read the ARC medical research policy and examples, format your proposal along the following lines to ensure that the primary aim of the proposal is clear:

1. Introduce and articulate the primary aim of the project. For example, mathematical algorithm development.

2. Address the secondary aims, platforms or demonstrations: for example, the complex system being utilised to demonstrate or develop the primary aim.

3. Describe the long term implications of the outcomes and whether they lie within scope of this project or beyond. For example, economic or health benefit.

4. It is not recommended to describe at length, health conditions which may be impacted by outcomes outside the scope of the proposal.

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Part B – FAQs for ITRP for funding commencing in 2015-2016

6. Programme specific FAQs for schemes under the Industrial Transformation Research Programme (ITRP)

This section includes FAQs which apply to both the Industrial Transformation Research Hubs (IH) and the Industrial Transformation Training Centres (IC) schemes under the Industrial Transformation Research Programme.

6.1 Can proposals be submitted in research areas other than those defined as the Industrial Transformation Priorities?No. Subsections B10.2.1 and C11.2.1 of the Funding Rules state that a proposal may only be submitted where the research addresses one or more of the Industrial Transformation Priorities for the current round. Further information on the Industrial Transformation Priorities can be found on the ARC website.

6.2 Can I apply for an Industrial Transformation Research Hub and an Industrial Transformation Training Centre in the same area in this round?Yes. The Funding Rules do not include a restriction regarding submitting an IH15 and an IC16 proposal in the same or different area in this round. Please note the cross-scheme proposal limits at Subsections B10.1 and C11.1 for information related to how many proposals a Chief Investigator, Training Centre Director or Hub Director may submit and/or be funded concurrently for.

6.3 I am a participant on a Cooperative Research Centre. Can I apply to the Industrial Transformation Research Programme?Yes, provided that the proposal is led by an eligible Administering Organisation and that the activities of the proposed project do not duplicate Commonwealth funding awarded or appropriated for the purposes of research.

Please see Sections A10, B9 and C9 for the roles and eligibility of individual participants.

6.4 Can a Cooperative Research Centre apply to the Industrial Transformation Research Programme?Yes. A Cooperative Research Centre can apply as a Partner Organisation only, provided that the proposal is led by an eligible Administering Organisation and that the activities of the proposed project do not duplicate Commonwealth funding awarded or appropriated for the purposes of research.

Please see Subsection A9.2, and Sections B8 and C8 of the Funding Rules for the organisational types, contributions, roles and eligibility of Partner Organisations.

6.5 I am working full-time in industry. Which role can I apply for under the Industrial Transformation Research Programme?

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Industry organisations must apply for a Hub or Centre as a Partner Organisation with an Eligible Organisation. Within the proposal, you can participate as a PI. Please see Subsection A10.3 of the Funding Rules for the eligibility criteria for a PI.

6.6 How many proposals can I apply for under ITRP?A Hub Director, Training Centre Director or CI may submit and/or be funded concurrently for a maximum of two projects under ITRP. This number is calculated at the closing time of submission of proposals by totalling the number of projects receiving funding and the number of proposals submitted for funding. A project is considered to be funded for the years set out in the Funding Agreement.

A participant may only hold the role of Hub Director, Training Centre Director or Director of any ARC Centre for one project or proposal at a time. Please see Subsections B10.1 and C11.1 of the Funding Rules.

6.7 I would like to apply for an Industrial Transformation Research Hub (ITRH) and/or an Industrial Transformation Training Centre (ITTC) but am concerned about cross-scheme eligibility with other ARC schemes (DP/DE/CoE/FT)

The ITRH and ITTC schemes currently do not have any cross-scheme eligibility other than within the Industrial Transformation Research Programme (ITRP) itself (please refer to sections B10.1.1 and C11.1.1 of the Funding Rules)

Subsections B10.1.1 and C11.1.1 of the Funding Rules states “A CI may only submit and/or be funded concurrently for a maximum of two Projects and/or Proposals from the Industrial Transformation Training Centres and Industrial Transformation Research Hubs schemes either separately or combined. A CI may only hold the role of Training Centre Director, Hub Director or Director of an ARC Centre for one Project or Proposal at a time.”

While this subsection does not mention cross scheme eligibility requirements with respect to other ARC schemes, subsections A12.1.4 and A12.1.7 of the Funding Rules advises applicants to consult the Funding Rules for other schemes to determine if there are any cross scheme eligibility requirements.

If the ITRH/ITTC proposal is successful then the participant must ensure the cross-scheme eligibility requirements are met for all scheme rounds for which funding is held. These requirements are found in the Funding Rules for the relevant scheme rounds.

It is recommended that participants consult the Funding Rules for other schemes to ensure compliance with their eligibility requirements. Please note the Discovery Programme has a “Cross-scheme Eligibility for schemes under the Discovery Programme (2015 edition) Frequently Asked Questions” document which can be found on the ARC Website.

Alternatively, you may contact the scheme teams to seek further clarification:

Discovery Projects: ARC-DiscoveryProjects@arc.gov.au Discovery Early Career Researcher Award: ARC-DECRA@arc.gov.au Future Fellowships: ARCFutureFellowships@arc.gov.au Centres of Excellence: Centres@arc.gov.au

Other scheme contacts can be found on the ARC Website

6.8 If I am applying as a Training Centre Director, do I have to be employed at an Eligible Organisation for at least 0.5FTE (50 per cent of Full Time Equivalent)?

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No. The employment requirements for a Training Centre Director (or a Hub Director) are the same as for a CI – you must be employed for at least 0.2 FTE at an Eligible Organisation, or be a holder of an Emeritus Appointment (as defined at Section A3) at an Eligible Organisation (Subsection A10.2.1).

Subsections B9.2.2 and C9.2.2 specify that a Hub Director/Training Centre Director is expected to have a minimum time commitment of 0.5 FTE on the activities of the Hub/Centre, however this requirement is not linked to the employment requirement at Subsection A10.2.1.

6.9 Do ITRP proposals have any impact on eligibility for other ARC schemes?Please see Subsections B10.1 and C11.1 of the Funding Rules for number of proposals and cross-scheme eligibility within ITRP. Participants who are applying for another ARC funding scheme (not covered by these Funding Rules) should consult the funding rules for the other scheme to determine if applying for or holding a project under these Funding Rules will affect their eligibility for the other ARC funding scheme.

The ARC will assess the capacity of participants to undertake the proposed research in regard to their ongoing commitments as part of the selection process. Funding Rules for all ARC schemes can be viewed at each schemes webpage. A list of ARC Schemes can be found on the ARC website.

6.10 What are the Industrial Transformation Priorities for Industrial Transformation Research Hubs for funding commencing in 2015 and for Industrial Transformation Training Centres for funding commencing in 2016?The priorities for the Industrial Transformation Research Hubs for funding commencing in 2015 and the Industrial Transformation Training Centres for funding commencing in 2016 are:

Advanced Manufacturing Food and Agribusiness Oil, Gas and energy resources Mining Equipment, Technology and services Medical Technologies and Pharmaceuticals.

Any proposal will need to make a case for how it meets at least one of the named priorities and the objectives of the scheme. It is important that a proposal outline a pathway towards solving a priority-related problem which industry has identified and which will be beneficial to industry partner(s). The Industrial Transformation Priorities are available on the ARC website.

6.11 Can you please clarify the Industrial Transformation Priority ‘Medical Technologies and Pharmaceuticals’ with respect to the ARC Medical Research Policy on the ARC website?The Industrial Transformation Priority ‘Medical Technologies and Pharmaceuticals’ is exempt from the ARC Medical Research Policy. proposals submitted to the IH15 or IC16 schemes under the ‘Medical Technologies and Pharmaceuticals’ Industrial Transformation Priority are therefore exempt from the ARC Medical Research Policy, however it is imperative that any ITRP proposal adequately satisfies the scheme objectives. Please note that this is the only exception from the ARC Medical Research Policy under the Funding Rules for schemes under the Linkage Programme (2015 edition).

Please also refer to section 5 of this document.

6.12 How many rounds of the Industrial Transformation Research Hubs and Industrial Transformation Training Centres will there be per year?There will be one round of IH and IC per year.

6.13 Can I self-nominate to be a Hub or Training Centre Director?

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Yes, however the participant must satisfy the eligibility criteria for the role they are to perform. Please refer to Subsection A10.2 and Sections B9 and C9 of the Funding Rules.

6.14 Can I nominate myself as a Hub or Training Centre Manager?No. The Hub Manager and Training Centre Manager positions are an unnamed participant on an IH or IC proposal.

6.15 Who pays the salary for a Hub or Training Centre Manager?The salary support for a Hub or Training Centre Manager is requested in the proposal form and may be funded by the ARC at an appropriate salary level for the Administering Organisation. Please refer to Subsections B7.1.a.i and C7.1.a.iii in the Funding Rules.

6.16 The Selection Criteria for Hubs and Training Centres includes ‘Does the Research Hub/Training Centre demonstrate meaningful engagement with the relevant Industry Growth Centre(s)’. How do I address this criteria in my proposal?The Industry Growth Centres Initiative as described on the business.gov.au website is the centrepiece of the Government's new industry policy direction and part of the Industry Innovation and Competitiveness Agenda. These Growth Centres have been established to deliver the Initiatives in high-growth sectors within the Industry and Science Portfolio.

To address the Industry Growth Centre selection criteria, in the Project Description part of IH15 and IC16 proposals applicants should identify the appropriate Growth Centre(s) that aligns with the chosen Industrial Transformation Priority(s) for the ITRP project. Applicants should demonstrate that they have engaged with the Centre(s) contact(s) and how this could benefit their IH15 or IC16 project, and assist to drive growth, productivity and competitiveness within key growth sectors.

To assist in ITRP engagement with the Growth Centres, the ARC has compiled a list of contacts for each Growth Centre:

Priority Area Contact Name Contact Details

Advanced Manufacturing TBA w:http://www.business.gov.au/advice-and-support/IndustryGrowthCentres/Pages/default.aspx

Food and Agribusiness Dr Mirjana Prica e: mirjana.prica@fial.com.au T: (03) 9731 3422/3243

Oil, Gas and Energy Resources

Mr Ken Fitzpatrick

Ms Tamryn Barker

e: zelda@iinet.net.auMob: 0419 044 632

e: tamryn@tamrynbarker.org Mob: 0424 051 307

Mining Equipment, Technology and Services Mr Dan Sullivan e: D.Sullivan@metsignited.org

Mob: 0400 969 075

Medical Technologies and Pharmaceuticals TBA w:http://www.business.gov.au/advice-and-

support/IndustryGrowthCentres/Pages/default.aspx

Note: It is not a requirement to obtain written confirmation from the Growth Centre(s), as long the Proposal demonstrates that you have engaged with the Centre(s) contact(s).

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Part C – FAQs for the IC scheme for funding commencing in 2016

7. Scheme specific FAQs for the Industrial Transformation Training Centres (IC) schemeThis section includes FAQs which only apply to the Industrial Transformation Training Centres (IC) scheme. For FAQs which apply to both the IH and IC schemes under the Industrial Transformation Research Programme (ITRP), please refer to Part B of these FAQs.

7.1 How do I enter ICHDR and ICPD salaries into the Project Cost section (Part E) of the application form?Each request for either an ICHDR or ICPD must be selected using the ‘un-named participant’ link above the budget table, in Part E (Project Cost) of the proposal. This will create a line in the budget table. ICHDRs and ICPDs must not be entered as manual items in the budget.

The salary/stipend amounts specified in the Funding Rules for ICHDRs and ICPDs must be entered into the budget table in each year. Please see the Instructions to Applicants for detailed instructions on how to enter ICHDR and ICPDs with different start years and different durations. The proposal budget will not be valid unless the ICHDRs and ICPDs match one of the start year/duration options detailed in the Instructions to Applicants.

7.2 How do I submit a request for relocation costs on an Industrial Transformation Training Centre for a Higher Degree by Research candidate or postdoctoral fellow?Relocation costs are not supported under the Funding Rules. Please see Subsection A8.1.1.c of the Funding Rules.

Part D – FAQs for the Linkage Projects scheme for funding commencing in 2016

8. Personnel

8.1 How do I calculate the total number of Linkage Project (LP) proposals/projects on which I am a Chief Investigator (CI)?Include all Linkage Projects that you currently hold which will continue in 2016 as well as those that may commence in 2016 (i.e. the one/s for which you are submitting a proposal). Exclude projects which are scheduled to be completed by June 2016, including those which will have carry-over funds after 30 June 2016. Please refer to Subsection D10.1 of the Funding Rules for specific limits concerning the maximum number of projects a CI may be involved in.

8.2 How long can a stipend for a postgraduate student be requested for a Linkage Projects proposal and at what level of funding?A stipend for a Higher Degree by Research (HDR) student can be requested for up to the full term of the project and at an appropriate level for the Administering Organisation or relevant industry as specified at Subsection D7.1.a.ii of the Funding Rules.

It is the responsibility of the Administering Organisation to manage and determine all aspects of the stipend for the HDR student, taking into account their own relevant guidelines.

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The Funding Rules do not include selection criteria or guidelines for LP16 for the appointment of HDR students on stipends.

Duration of candidature and the need for any extensions are part of the management of the postgraduate stipend recipients which are at the discretion of the Administering Organisation. This includes, but is not limited to the selection, appointment, periods of leave and/or suspension of candidature.

Other costs for postgraduate stipend recipients are also the responsibility of the Administering Organisation or host organisation as appropriate. These costs may include, but are not limited to the costs of relocation, periods of leave and/or thesis production.

Please consult with your Administering Organisation’s research office.

9. Partner Organisations9.1 My proposal includes two Partner Organisations, one of which is an Exempt Charity and the

other is a Partner Organisation whose funds are appropriated predominantly from Commonwealth or Australian State or Territory funding sources for the purposes of research. As the Exempt Charity Organisation no longer has to make a cash contribution, does it mean that the other Partner Organisation must make up the total 25 per cent minimum cash contribution of the total funding requested from the ARC? a) The eligible contribution from Partner Organisation(s) whose funds are appropriated predominantly from Commonwealth or Australian State or Territory funding sources for the purposes of research may be used to make up the minimum 25 per cent cash contribution of the total funding requested from the ARC subject to A9.2.8 of the Funding Rules.

b) Partner Organisations of this type may only contribute a total maximum of 25 per cent cash and/or in-kind towards the project (i.e. if a proposal includes one or more Partner Organisations of this type, the 25 per cent maximum eligible contribution must be the combined contribution from Partner Organisations of this type).

c) Partner Organisations of this type may contribute over and above the maximum 25 per cent; however, the additional contributions will not be eligible to make up the required Partner Organisation contribution to match ARC funding.

d) The Exempt Charity Organisation is still able to provide a cash contribution if this is their preference, they are not precluded from contributing cash. If the two Partner Organisations described in your question are the only Partner Organisations on your proposal, the Exempt Charity Organisation will have to contribute 75 per cent of the required Partner Organisation contribution in cash and/or in-kind, as the other Partner Organisation is restricted to a maximum of 25 per cent as per point b) above.

9.2 I have two Partner Organisations on my proposal, and they are both organisations whose funds are appropriated predominantly from Commonwealth or Australian State or Territory funding sources for the purposes of research. Can they fulfil the Partner Organisation contribution in Subsection D8.2.1 of the Funding Rules?No, as per Subsection D8.2.4 of the Funding Rules, the combined eligible Partner Organisation contribution from organisations of this type is restricted to making up a maximum of 25% of the Partner Organisation contribution to match the funding requested from the ARC.

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9.3 I am an Indigenous researcher employed at an Australian university who works with many Indigenous organisations that have little spare cash to contribute to research; can we participate in the current Linkage Projects scheme?Any organisations, including Indigenous organisations, are exempt from making a cash contribution if they meet one of the Exempt Partner Organisation definitions at Section D2 of the Funding Rules. For example, if they are identified as an Exempt Charity or an Exempt Non-Profit Organisation – please refer to the Exempt Partner Organisation definitions at Section D2 of the Funding Rules. If all of your proposed partners are Exempt Partner Organisations, then the whole proposal will be exempt from making any cash contribution. An appropriate level of In-kind support such as goods, services (i.e. expertise and knowledge), time or materials would still need to be demonstrated.

9.4 The Funding Rules have an Exempt Partner Organisation Type ‘Exempt Museum and Collecting Organisation’. What kind of organisation does this definition include?The relevant definition at D2 of the Funding Rules is: Exempt Museum and Collecting Organisation means a non-profit, established institution in the service of society and its development, open to the public, which acquires, conserves, researches, communicates and exhibits the tangible and intangible heritage of humanity and its environment for the purposes of education, study and enjoyment.

This definition is intended to include organisations such as museums, libraries, art galleries and conservatoria of music where the organisation has a collection that is open to the public for the purposes described in the definition.

9.5 The Funding Rules have an Exempt Partner Organisation Type ‘Exempt Archive and Public Record Office’. What kind of organisation does this definition include?The relevant definition at D2 of the Funding Rules is: Exempt Archive and Public Record Office means a non-profit organisation which holds a significant national, state or regional collection of data or documents for the purposes of public information and record-keeping and available for the purposes of research.

This definition is intended to include organisations such as state/public record offices/authorities and national, state or regional archive offices, and other public archives such as the National Film and Sound Archive, where the organisation has a collection of data or documents for the purposes described in the definition. The National Archives of Australia’s list of Australian archival institutions provides an indication of organisations which are considered to be archives for the purposes described in the definition.

Part E – FAQs for the LIEF scheme for funding commencing in 2017

10. Types of supported research infrastructure

10.1 What kind of research infrastructure is supported by the LIEF scheme?A wide range of research infrastructure may be funded under the LIEF scheme. Some examples include animal houses, herbaria, experimental farms, specialised learning laboratories, microscopy and imaging equipment and spectrometers. To view a list of previously funded research infrastructure, please go to the ARC LIEF register.

10.2 The Funding Rules state that LE17 will not support fee-for-service costs where the proposal does not lead to capability building or development of the research infrastructure

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(Subsection E8.1.g). Can I apply for LE17 funding to get membership to an international facility that I need to use for my work? Or does this count as fee-for-service?The Funding Rules allow LE17 proposals seeking funding for membership of international facilities. The intention of this subsection is to ensure that the project participants are actively engaged with the service, not merely consumers. LE17 proposals seeking funding for a fee-for-service where the participant passively receives the service (such as paying an institution to analyse samples and provide the participant with the results) would not be acceptable under the Funding Rules.

10.3 The LE17 Proposal Summary (A2 of the proposal form) states that I should mention the name of the facility in the summary (e.g. 'a mass cytometer'). Do you have any examples of how I should do this?The Proposal Summary should be clear enough to allow other researchers to understand what sort of research infrastructure is being requested. If the proposal is funded, the summary will be published on the ARC website, so you may like to review the previous LE16 outcomes to see some examples of the research infrastructure descriptions.

11. Usage of the research infrastructure

11.1 In the LE17 section of the Funding Rules, what does the ‘available time of the research infrastructure’ mean?Subsection E10.1.4 requires each PI and CI to be a significant user of the research infrastructure. The use of some types of research infrastructure cannot be measured logically in hours per week, such as in the case of an instrument which is only able to be used in limited periods during the year due to the specific nature of the work. The ARC therefore requires each CI and PI to be a significant user by requiring that they use the research infrastructure for a minimum of 10% of the available time of the research infrastructure (or the pro rata percentage where there are more than 10 participants on the LE17 proposal). If the research infrastructure is available for 35 hours per week (standard 7.5 hour work day with a 30 minute break), the ARC requires that each CI and PI use it for a minimum of 10% of the available time (3.5 hours per week). If the research infrastructure can only be used for 10 hours a week, the ARC still requires that each CI and PI use it for a minimum of 10% of the available time (1 hour per week). Please also see FAQs 11.2-11.4.

In cases where it is possible for multiple users to simultaneously use the research infrastructure, it is possible for the proposal to list a combined CI and PI usage of the research infrastructure that exceeds 100% of the available time of the research infrastructure. For example, if the equipment is only available for 10 hours per week, but multiple users can use it at the same time, all of the CIs may list their percentage as 50% (5 hours) of the available time.

In cases where the research infrastructure comprises a database or a data acquisition facility which may be available or capturing data 24 hours a day, 7 days a week, a case should be made in the proposal for significant usage by each CI and PI.

11.2 Question I1.2 of the LE17 proposal form asks for a brief explanation of the total time the research infrastructure will be available. How detailed does this explanation need to be?In terms of calculating the overall availability of the research infrastructure, the ARC realises that one size does not fit all. The following are some examples of calculating the total time the requested research infrastructure will be available, however you should use whatever process is appropriate for your facility.

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a) a facility available during office hours = 35 h/wk (standard 7.5 hour work day with a 30 minute break).

b) a facility available day and night = 70-168 h/wk.

c) a high performance computing facility running in parallel = millions of hours per week.

d) a facility available for 10 weeks a year = 1 day/wk on average.

Enter the total time available at Question I1.1, and for Question I1.2 enter a sentence such as a)-d) above to give a brief explanation of how this was calculated.

11.3 If my organisation is contributing less than the other organisations on an LE17 proposal, does that mean that my usage of the research infrastructure can be less than 10% of the available time?No, the differing contribution amounts from participating organisations do not affect the minimum required usage by CIs and PIs at Subsection E10.1.4. Every CI and PI (and/or their research group) must be a significant and regular user of the research infrastructure, for a minimum of 10% of the available time of the research infrastructure (or the pro rata percentage where there are more than 10 participants on the LE17 proposal).

11.4 If we have 12 participants on the proposal, how do we work out the required minimum usage per person? Can some participants use less as long as all the hours are being used?Where there are more than 10 participants on an LE17 proposal, each CI and PI must be a user of the research infrastructure for at least the pro rate percentage. For example, if the research infrastructure is available for 35 hours per week and there are 12 CIs/PIs, each CI and PI must use the infrastructure for a minimum of 2.92 hours per week (35/12=2.92 hours per week).

11.5 One of the other CI/PIs on the proposal is in my workgroup, so how should I fill in question I3 (Use of Research Infrastructure by Participants) about the hours my workgroup will use the infrastructure – should I include the other CI/PI’s time in my answer?No. It is not appropriate to include the usage time for another CI or PI in your answer (the proposal form will have a separate line for each CI and PI), but your answer (and the other CI/PI’s answer) can include the usage time for people in your workgroup who are not participants on the proposal. For example, if CI Smith will use the equipment for 1 hour a week, and her team (which does not include any other CIs or PIs on the proposal) will use it for 2 hours, the line in this table for CI Smith would list 3 hours.

11.6 At question I3 (Use of Research Infrastructure by Participants) in the proposal form where I enter my usage of the research infrastructure, can I enter an amount less than the 10% required at Subsection E10.1.4, and provide a justification?The only situation in which a usage amount of less than the minimum 10% (or the pro-rated amount if there are more than 10 participants) is acceptable for a CI or PI is if the proposal is for research infrastructure which comprises a database or data acquisition facility (Subsection E10.1.4), in which case the applicant should include a justification at question I3 making the case for significant usage by each CI and PI.

12. Duration of LE17 projects

12.1 My LE17 proposal is for 3 years, but it is not for construction of research infrastructure or for a subscription or coordinated access to international facilities and major national

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facilities (Subsection E6.1.4). Can I describe my 3 year project in the Project Description (Part C), and then request funding for all three years in Year 1 of the budget? If the project is not for construction of research infrastructure or for a subscription or coordinated access to international facilities and major national facilities (Subsection E6.1.4), then it must be a one year project (Subsection E6.1.3), which means requesting only one year of funding from the ARC, and outlining a project with a duration of one year in the Project Description Part of the proposal. If there are further future plans these can be included in the Project Description, but they do not form part of the one year ARC-funded project.

12.2 Can I apply for a multi-year proposal which includes two years for construction of research infrastructure, and then the next three years will be for ongoing maintenance and running costs so that my team can use the infrastructure?No. Multi-year projects are only permitted for the construction of research infrastructure or for a subscription or coordinated access to international facilities and major national facilities (Subsection E6.1.4), and cannot include years in which the purpose of the funding is different, for example for maintenance or operating costs of the infrastructure. In a multi-year project for construction, each year must be for construction of the research infrastructure. In a multi-year project for a subscription or coordinated access, each year must be for the subscription or coordinated access. Subsection E8.1.c states that the ARC does not support maintenance and/or operational costs of the proposed research infrastructure after the first year of the project, including for multi-year projects permitted under Subsection E6.1.4.

12.3 My LE17 proposal is for one year, but I have cash and in-kind contributions from my Administering Organisation for maintenance of the equipment for the following two years. Can I list these contributions in years 2 and 3 in the proposal budget?Administering Organisation/Other Eligible Organisation/Partner Organisation/Other Organisation contributions which are ongoing beyond the duration of an LE17 project should not be listed in the LE17 budget at Part D, but can be mentioned in E3-Details of non-ARC contributions. The table at E1-Summary of Project Direct Costs should match the budget at D1, and as such should not include ongoing contributions for years beyond the duration of the project. In addition, the ARC considers that ongoing costs such as maintenance and operational costs beyond the duration of the project are not project direct costs, and as such they should not be listed at E1-Summary of Project Direct Costs.

13. The LIEF Register

13.1 A question in the LE17 proposal form is asking if I have checked the LIEF Register. What is the LIEF Register?The LIEF Register is a list of the research infrastructure which has been funded by the ARC LIEF scheme since 2011, and it is available on the ARC website. The Register is a valuable resource for researchers including potential LIEF applicants, allowing them to locate and negotiate access to existing equipment before considering applying under the LIEF scheme. The ARC will update the register on an annual basis, following each LIEF funding round.

In the LE17 proposal form, applicants are asked to indicate that they have checked the LIEF Register, and if the Register already contains the research infrastructure that the applicant is seeking funding for in LE17, the applicant will need to justify why collaborative use of the existing research infrastructure is not practicable.

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14. Organisational contributions

14.1 Can I include in-kind contributions from my Partner Organisations in the Summary of Project Direct Costs at Part E1 of the LE17 proposal form?No, project direct costs must be cash contributions. Please see Section E1 of the LE17 Instructions to Applicants for detailed information regarding the format and contents of the table to be provided at Part E1 of the LE17 proposal form. (Please note that the LE17 Instructions to Applicants document will be released when the proposal form opens in February 2016.)

Part F - Changes to document

1.20 Inserted new question (4 November 2015)

6.7 Inserted new question (4 November 2015)

6.16 Updated existing question (4 November 2015)

1.12 Inserted new question (11 November 2015)

1.21-1.24 Inserted new questions (26 November 2015)

6.16 Updated contact in existing question (26 November 2015)

1.7 Updated existing question (29 March 2016)

1.8 Updated existing question (29 March 2016)

Page 1 Inserted text to indicate that this document relates to Linkage Projects for funding commencing in 2016 (LP16) for proposals submitted by 11 November 2015. Applicants intending to submit an LP16 proposal from 1 July to 22 December 2016 should refer to the LP16 specific FAQ available on the ARC website. (1 July 2016)

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