Linkage Program Grant Guidelines (2023 Edition)

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Australian Government Crest with a kangaroos and emu

 

 

 

 

 

Linkage Program Grant Guidelines (2023 edition) Industrial Transformation Research Program (ITRP)

Industrial Transformation Research Hubs

Industrial Transformation Training Centres

 

 

Australian Research Council Act 2001

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

Dated

29 September 2023

Jason Clare

Minister for Education

Contents

1. Linkage Program: Industrial Transformation Research Program processes

2. About the grant program

About the Industrial Transformation Research Program grant opportunities

3. Grant amount and grant period

4. Eligibility criteria

5. What the grant money can be used for

Eligible grant activities

Ineligible grant activities

6. How to apply

Application process

National Interest Test

Timing of the grant opportunities

7. The grant selection process

Eligibility and Assessment

Who will approve grants

Requests not to assess process

Rejoinder process

8. Successful grant applications

Announcement

Grant Agreements

Responsibilities

Specific research policies and practices

Monitoring and reporting

9. Probity

Appeals process

Conflict of interest

Privacy and protection of personal information

Confidential information

Freedom of information

Part A Industrial Transformation Research Hubs (Research Hubs)

A1. About the scheme

Description

Objectives

A2. Grant amount and grant period

A3. Eligibility criteria

Applications

A4. What the grant money can be used for

A5. The assessment criteria

Part B Industrial Transformation Training Centres (Training Centres)

B1. About the scheme

Description

Objectives

B2. Grant amount and grant period

B3. Eligibility criteria

Applications

B4. What the grant money can be used for

B5. The assessment criteria

B6. Successful grant applications

Your responsibilities

Appendix A – Glossary

Acronyms

Definitions

Appendix B: Eligible Organisations

1. Linkage Program: Industrial Transformation Research Program processes

The Linkage Program supports the Australian Government’s objectives for research and innovation.

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

The Industrial Transformation Research Program is funded within the Linkage Program.



The grant opportunity opens.

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



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

You work with Partner Organisations to complete an application on the ARC’s Research Management System (RMS), addressing eligibility, the National Interest Test and the assessment criteria.



We manage the assessment of all applications.

We manage the assessment of applications against eligibility criteria and assessment criteria.

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

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



We make grant recommendations.

The SAC considers all applications and recommends those to be funded, including the level and duration of funding for each project, to the ARC Chief Executive Officer (CEO).

The CEO then makes an assessment and a recommendation to the Minister.

In making recommendations to the Minister, the CEO considers the SAC’s advice and risks relating to foreign interference. The CEO may consider advice from other Commonwealth agencies.



Grant decisions are made.

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



We notify You of the outcome. We advise You if Your application was successful or not through RMS.



We enter into a grant agreement with You.

We will enter into a grant agreement with You through RMS, if You are successful.



Delivery of the grant.

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

We manage the grant, monitor Your progress and make payments. 



Evaluation of the grant opportunity.

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

2.           About the grant program

The Linkage Program is one of two Programs under the ARC National Competitive Grants Program (NCGP). Information about the Linkage Program is available on the ARC website.

About the Industrial Transformation Research Program grant opportunities

2.1.                  The Industrial Transformation Research Program (ITRP) encourages and supports university-based researchers and industry to work together to address a range of strategic government priorities to transform Australian industries.

2.2.                  The current Industrial Transformation Priorities identified by Us align with the priority funding areas under the National Reconstruction Fund (NRF):

1. renewables and low emissions technologies
2. medical science*
3. transport
4. value-add in the agriculture, forestry and fisheries sectors
5. value-add in resources
6. defence capability
7. enabling capabilities.

Further detail about the NRF priorities can be found at the Federal Register of Legislation.

• Applications which address the ‘Medical Science’ industrial transformation priority must take the ARC Medical Research Policy into consideration.

2.3.                  There are two schemes under the ITRP referred to in these Guidelines:

1. Industrial Transformation Research Hubs (Part A)
2. Industrial Transformation Training Centres (Part B).

2.4.                  The grant commencement date for each Research Hubs and Training Centres grant opportunity is available on the ARC website.

2.5.                  Research Hubs engage Australia's best researchers to develop collaborative solutions to the strategic Industrial Transformation Priorities. The focus is on the creation of industry and academic partnerships working together on research and development projects to create innovative and transformative solutions for industry.

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

3.           Grant amount and grant period

3.1.                  For each ITRP grant opportunity, applications will be considered for the levels and durations of funding listed in Parts A and B of these grant guidelines.

4.           Eligibility criteria

Who is eligible to apply for a grant?

4.1.                  We will only accept applications from the Eligible Organisations as identified in Appendix B.

4.2.                  The Eligible Organisation that submits the application will be the ‘Administering Organisation’ (henceforth ‘You’). All Other Eligible Organisations named on the application will be an ‘Other Eligible Organisation’.

What are the eligibility requirements for applications?

4.3.                  The organisation roles available under the ITRP are:

1. Administering Organisation;
2. Other Eligible Organisations;
3. Partner Organisations; and
4. Other Organisations.

4.4.                  Your application must:

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

b.              nominate at least one Australian Partner Organisation; and

c.              meet the participant requirements in Part A - Industrial Transformation Research Hubs or Part B - Industrial Transformation Training Centres.

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

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

4.7.                  You must ensure that any additional certification requirements, applied by the ARC as a result of findings of breaches of the Australian Code for the Responsible Conduct of Research, are provided at the grant opportunity closing date for any named participant on an application.

Who is eligible to be a Partner Organisation?

4.8.                  A Partner Organisation is an Australian or overseas organisation, other than an Eligible Organisation, which satisfies the eligibility requirements for a Partner Organisation in 4.8-4.11.

4.9.                  A Partner Organisation cannot be:

1. included on the National Redress Scheme’s website on the list of ‘Institutions that have not joined or signified their intent to join the Scheme’ (www.nationalredress.gov.au);
2. an Eligible Organisation;
3. a controlled entity of any Eligible Organisation; or
4. an entity (for example a joint venture) where more than 50% is owned by one or more Eligible Organisations.

4.10.              Each Partner Organisation must:

1. provide evidence of new or on-going collaboration directly with You and/or with an Other Eligible Organisation on the application; and

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

c.              provide a Letter of Partner Organisation Certification, using the proforma provided on GrantConnect.

4.11.              Partner Organisation cash contributions cannot:

1. be sourced from funds awarded or appropriated by the Commonwealth or an Australian State or Territory Governments for the purposes of research, nor from funds previously used to leverage government research or research infrastructure funding; or
2. be a contribution to salaries for CIs and/or PIs on the application.

Who is eligible to be an Other Organisation?

4.12.              Organisations that are not Eligible Organisations and not Partner Organisations but that are named as organisational participants on an application will be Other Organisations. Other Organisations are not required to make a cash or in-kind contribution to the project, but must be relevant to and involved in the research and training programs of the Research Hub or Training Centre.

4.13.              An Other Organisation cannot be included on the National Redress Scheme’s website on the list of ‘Institutions that have not joined or signified their intent to join the Scheme’ (www.nationalredress.gov.au).

Who is eligible to be a named participant?

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

1. Research Hub Director (Part A);
2. Training Centre Director (Part B); 
3. Chief Investigators (CIs) (Parts A and B); and
4. Partner Investigators (PIs) (Parts A and B).

4.15.              A project cannot commence until all named participants meet the eligibility criteria in these grant guidelines for the selected role they are to perform.

4.16.              As at the grant commencement date, or if successful, at any time during the project activity period, named participants:

1. who meet the eligibility criteria to be a CI, cannot opt to be a PI;
2. who do not meet the eligibility criteria to be a CI, must be a PI.

4.17.              All named participants in an application must have met their obligations regarding previously funded projects, including submission of satisfactory final reports to the ARC at the grant opportunity closing date and any relevant consequential actions that may have been applied under the ARC Research Integrity Policy.

Research Hub and Training Centre Directors

4.18.              To be eligible, the nominated participant for the Research Hub or Training Centre Director role must, as at the grant opportunity closing date and, if successful, for the project activity period:

1. meet the eligibility criteria to apply as a CI
2. be employed by the Administering Organisation a minimum of 50% of Full Time Equivalent (0.5 FTE); and
3. commit a minimum of 0.5 FTE to the activities of the Research Hub or Training Centre.

Chief Investigators

4.19.              CIs who are not the Research Hub or Training Centre Director must meet at least one of the following criteria as at the grant commencement date and, if the application is successful, for the project activity period:

1. be an employee for at least 0.2 FTE at an Eligible Organisation; or
2. be a holder of an honorary academic appointment (as defined in the Glossary) at an Eligible Organisation.

4.20.              CIs must reside in Australia for more than 50% of the project activity period. Any significant absences including fieldwork or study leave directly related to the project must have approval from You and must not total more than half the project activity period. In extraordinary circumstances, a change may be approved by Us through a formal Variation request.

4.21.              CIs must not undertake an HDR during the project activity period.

Partner Investigators

4.22.              PIs may, or may not, be an employee of a Partner Organisation.

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

4.23.              These limits only apply to Directors and CIs and are designed to ensure that named participants have the capacity to undertake each project.

4.24.              A named participant can apply for and be concurrently funded through the Linkage Program for a maximum of 4 Linkage Program projects as a CI or Director. For the purposes of counting project limits, Linkage Program projects:

1. include CIs on Linkage Projects, ITRP and ARC Centres of Excellence projects;
2. include Directors on ITRP, Special Research Initiatives and ARC Centres of Excellence projects; and
3. do not include CIs on LIEF, Special Research Initiatives, or LASP projects; and
4. do not include Fellows under the Industry Fellowships Program.

4.25.              A named participant can be funded for a maximum of one Director role for a Linkage Program project. This includes ITRP, ARC Centres of Excellence and Special Research Initiatives.

4.26.              A named participant on a Research Hub or Training Centre application may be named on other ARC grant opportunity applications and subject to the separate limits on those opportunities, those applications may be retained until the outcome of the relevant ITRP application is known.

4.27.              All named participants on a successful ITRP application must meet the project limit requirements identified at 4.24 and 4.25 above before the project can start. Project limits can be met by relinquishing existing project(s), or relinquishing role(s) on existing projects, or withdrawing application(s) that would exceed the project limits. We reserve the right to determine which grants are to be relinquished.

4.28.              It is Your responsibility to determine if applying for, or holding, a project under these grant guidelines will affect an individual researcher’s eligibility for other ARC grant opportunities as other ARC grant opportunities may have different project limits. We reserve the right to change project and application limits in future grant opportunities.

5.           What the grant money can be used for

Eligible grant activities

5.1.                  The Linkage Program supports research activities that meet the definition of ‘research’, as defined in the Glossary.

5.2.                  You can only spend the grant on eligible expenditure items that directly support the project and in accordance with any additional special conditions in the grant agreement.

5.3.                  Eligible expenditure items may include:

1. salary support for other personnel, for example, research associates and assistants, a Manager, technicians and laboratory attendants but excluding the Director, CIs and PIs. Salary support must be at an appropriate level, including 30% on-costs, at the employing organisation;
2. stipends for HDR students, at an appropriate level for the Eligible Organisation, but not less than the level indicated on the salaries and stipends page of the ARC website;
3. equipment (and its maintenance) and consumables, including specialised computer equipment and software essential for the project;
4. travel costs essential to the project, including economy travel costs for domestic and/or international travel and accommodation, not exceeding an average of $20,000 per year of the project. The following travel costs are not counted towards the average of $20,000 per year limit:

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

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

5.4.                  The Research Hubs and Training Centres grant opportunities include specific budget items for salary support, stipends and/or teaching relief as stated in Parts A and B of these grant guidelines.

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

Ineligible grant activities

5.6.                  You cannot request or use grant funds for:

1. research activities, infrastructure or project previously funded or currently being funded through any other Commonwealth grant;

2. medical research, including clinical trials, as detailed in the ARC Medical Research Policy on the ARC website;

3. activities leading solely to the creation or performance of a work of art, including visual art, musical compositions, drama, dance, film, broadcasts, designs and literary works, unless those works are directly related to the project activities and demonstrably research based;

4. contracted research or consultancy arrangements where one or more Organisation(s) is seeking expert external assistance not available within their own organisation, in order to develop specific applications or outputs that involve little innovation or are low risk;

5. production of computer programs, research aids and tools; data warehouses, catalogues or bibliographies; or teaching materials, unless these meet the definition of research;

6. basic facilities that must be provided (where relevant) and funded by You, Eligible Organisation and/or Partner Organisation and are not funded by the grant:

7.                  standard refurbishment costs of a laboratory;

8.                 bench fees or similar laboratory access fees;

9.               access to a basic library collection;

10.               access to film or music editing facilities;

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

12. basic computer facilities such as desktop computers, portable computer devices, printers, word processing, and other standard software; and

13.             standard reference materials or funds for abstracting services;

g.       capital works and general infrastructure costs;

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

i.         fees for international students or the Higher Education Contribution Scheme (HECS) and Higher Education Loan Program (HELP) liabilities for students; and

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

6.           How to apply

Application process

6.1.                  Instructions To Applicants will be issued on the opening of the grant opportunity and applicants must follow the processes described in those Instructions, including regarding attachments to the application.

6.2.                  Your application must be completed in RMS. We will not accept late applications, other than in exceptional circumstances (such as due to natural disasters) in which case We will discuss this with You, and if We agree, invite You to make a late application.

6.3.                  You cannot change Your application after the closing date and time, unless invited to by the ARC.

6.4.                  We reserve the right to seek evidence to support the certification of applications at any point.

6.5.                  Questions during the application period should be directed to the Administering Organisation’s Research Office. Answers to Frequently Asked Questions will be posted on GrantConnect.

National Interest Test

6.6.                  Applicants must provide a National Interest Test statement: a brief response that articulates the benefits of the proposed research in plain English in general terms beyond the period of the grant.

Timing of the grant opportunities

6.7.                  Schemes under these guidelines typically accept one round of applications each year.

6.8.                  You must submit Your application between the grant opportunity opening and closing date and time specified on GrantConnect.

7.           The grant selection process

Eligibility and Assessment

7.1.                  We will review Your application against the eligibility criteria. If ineligible, We must not recommend the application for funding.

7.2.                  All applications will be considered through a competitive peer review process, based on :

1. how well it meets the assessment criteria;

b.              how it is ranked against other applications; and

c.              whether it provides value for money (as defined in the Glossary).

7.3.                  Applications will undergo peer review assessment and recommendations will be made to the ARC CEO from a Selection Advisory Committee.

7.4.                  In Our absolute discretion, We may recommend an application not be approved if we consider it (a) incomplete, (b) inaccurate or contains false or misleading information, or (c) is otherwise in breach of the Australian Code for the Responsible Conduct of Research.

7.5.                  We may seek advice on security or other matters from Commonwealth agencies at any time during the process. We may seek information from You about activities and protections in line with that advice.

7.6.                  During the assessment process, We may request additional information, which does not change the nature of Your application.

Who will approve grants

7.7.                  The ARC CEO will make recommendations for funding to the Minister, after considering the advice from peer review, and national security considerations.

7.8.                  The Minister will decide which grants to fund. The Minister’s decision is final in all matters.

7.9.                  The outcome of all applications will be published in RMS.

Requests not to assess process

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

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

7.12.              If a request includes the name of a current ARC College of Experts member, as listed on the ARC website or in RMS at the time of submitting the RNTA form, the request must be accompanied by comprehensive evidence justifying the request for the ARC College of Experts member or members named. If We consider the evidence is not sufficient for the named ARC College of Experts member or members, We will reject part, or all, of the request.

7.13.              We have discretion about whether We accept or refuse a RNTA. We will not notify you of the outcome.

Rejoinder process

7.14.              You will be given the opportunity to respond to assessors’ written comments through a rejoinder. Names of assessors will not be provided. Further information on the rejoinder process is available on the ARC website.

8.           Successful grant applications

Announcement

8.1.                  If successful, Your grant will be listed on GrantConnect no more than 21 calendar days after the date of effect.

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

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

b.              named participants and their organisations;

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

d.              Your National Interest Test statement;

e.              classifications and international collaboration country names; and

f.               the ARC grant funding amount.

8.3.                  You should ensure information contained in the project title, summary descriptions and National Interest Test statement will not compromise Your requirements for confidentiality (such as protection of Intellectual Property).

8.4.                  We may publish a project description, including title and summary, which differs from that provided in the application.

Grant Agreements

8.5.                  You must enter into a grant agreement with Us to receive a grant.

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

8.7.                  You will have 30 calendar days from the date of the grant offer to execute this grant agreement with the Commonwealth.

8.8.                  We must execute a grant agreement with You before We can make any payments. We are not responsible for any of Your project expenditure until a grant agreement is executed. You must not start any activities until all third-party agreements are executed, unless otherwise specified in the grant agreement.

How We pay the grant

8.9.                  Payments will be made as set out in the grant agreement. Grant funding will typically be paid monthly through Our payment system to You.

8.10.              The grant offer will specify the approved grant amount to be paid. We will not pay more than the approved grant amount under any circumstances. If you incur extra costs, You must meet them.

8.11.              Grant funding may be subject to indexation.

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

8.13.              Any grant awarded will be subject to sufficient funds being available for the project, the provisions of the ARC Act and the continued satisfactory progress of the project.

Grant Agreement Variation

8.14.              Variations must be submitted where there are changes to the duration of the project, changes to the Partner Organisations, changes to contributions by the Partner Organisations, change of personnel or if changes to the project result in it no longer aligning with the project description. Variations are subject to ARC approval and further information can be found in the Grant Agreement.

Responsibilities

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

8.16.              Each Organisation must participate in the project for the project activity period unless otherwise approved by Us.

Director responsibilities

8.17.              The Research Hub or Training Centre Director must:

1. take responsibility for developing and implementing the strategies and managing the research project; and
2. coordinate the research effort and reporting structures across the Eligible Organisation(s) and Partner Organisation(s).

Chief Investigator responsibilities

8.18.              Chief Investigators must:

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

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

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

Partner Investigator responsibilities

8.19.              Partner Investigators must:

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

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

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

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

Specific research policies and practices

8.20.              All applications and ARC-funded research projects must comply with the requirements for responsible and ethical research practice specified in the Australian Code for the Responsible Conduct of Research and the codes, guidelines, practices and policies on the ARC website, including the ARC Conflict of Interest Policy and any actions that have been applied under the ARC Research Integrity Policy.

8.21.              An ethics plan must be in place prior to the commencement of the project.

8.22.              Intellectual Property arrangements should be negotiated between You, Other Eligible Organisations, Partner Organisations and Other Organisations, as relevant, We do not claim ownership of any IP arising from the project.

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

8.24.              A data management plan must be in place before the project commences, in line with the grant agreement, and ARC expectations on the ARC website.

8.25.              All participants applying for grants are encouraged to have a persistent digital identifier such as an Open Researcher and Contributor Identifier (ORCID ID) in their RMS Profile.

Monitoring and reporting

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

1. name;

b.              address(es);

c.              nominated contact details; and

d.              bank account details.

8.27.              You must submit reports in line with the grant agreement. Reports must be submitted to Us through RMS, unless otherwise advised by Us. Reporting may include:

1. Key performance indicators;
2. Annual progress reports;
3. End of year reports;
4. Final reports; and
5. Post-project reporting.

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

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

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

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

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

8.30.              Reviews may inform whether there is satisfactory progress of the project. Outcomes and feedback arising from reviews as outlined above may inform any evaluations and continuation of the Research Hub or Training Centre.

8.31.              We may evaluate the project to measure how well the outcomes and objectives were achieved. We may use information from Your application and reports or may contact You after grant completion to assist evaluation. 

9.           Probity

9.1.                  The Australian Government will make sure that the grant opportunity process is fair, according to the published guidelines, incorporates appropriate safeguards against fraud, unlawful activities and other inappropriate conduct and is consistent with the CGRGs and the ARC Act.

Appeals process

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

9.3.                  You must submit an appeal using the Form on the ARC website and have it authorised by the Administering Organisation’s Deputy Vice-Chancellor (Research) or equivalent.

9.4.                  The appeals process is set out on the ARC website.

Conflict of interest

9.5.                  You will be asked to certify, as part of Your application, any perceived or existing conflicts of interest have been declared to You or that, to the best of Your knowledge, there is no conflict of interest in Your application. Each individual or organisation named in an application must make this declaration about any aspect of the application or project to You at the date of submission.

9.6.                  If a conflict of interest exists or arises, You must have documented processes in place to manage the conflict of interest for the duration of the project. Such processes must comply with the Australian Code for the Responsible Conduct of Research (2018), the ARC Conflict of Interest and Confidentiality Policy and any relevant successor documents.

9.7.                  We will handle any conflicts of interest as set out in Australian Government policies and procedures. Refer to the Conflict of Interest and Confidentiality Policy on the ARC website.

Privacy and protection of personal information

9.8.                  We treat your personal information according to the Australian Privacy Principles and the Privacy Act 1988 (Cth).

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

Confidential information

9.10.              The Australian Government may use and disclose confidential information about grant applicants and grant recipients to any other Australian Government business or function.

9.11.              We will treat the information You give Us as confidential if:

1. You clearly identify the information as confidential and explain why We should treat it as confidential;
2. the information is commercial in confidence;
3. revealing the information would cause unreasonable harm to You or someone else; or
4. You provide the information with an understanding that it will stay confidential.

Freedom of information

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

 

Part A                Industrial Transformation Research Hubs (Research Hubs)

A1.              About the scheme

A1.1               This part of the document sets out the specific requirements for the Industrial Transformation Research Hubs (Research Hubs) scheme. This part must be read together with the ITRP requirements in Sections 1-9 of these grant guidelines.

Description

A1.2               Research Hubs engage Australia's best researchers to develop collaborative solutions to the Industrial Transformation Priorities. The focus is on the creation of industry and academic partnerships working together on research and development projects to create innovative and transformative solutions for industry.

Objectives

A1.3          The Research Hubs scheme objectives are to:

1. support collaborative research projects between universities and organisations outside the Australian higher education sector that involve cutting-edge research on new technologies; and
2. leverage national and international investment in targeted industry sectors, including from industry and other research end-users.

A1.4          The intended outcomes of the Research Hubs scheme are:

1. growth, productivity and competitiveness within the Industrial Transformation Priorities; and

b.              economic, commercial and social transformation.

A2.             Grant amount and grant period

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

A2.2               Table 1: Research Hubs funding and grant duration.

The figures in this section are based on the 2023 price levels of funding and may be subject to variation (for example, due to annual indexation).

A3.             Eligibility criteria

Applications

A3.1               Your Research Hub application must include the following named participants:

1. Research Hub Director, who is an eligible CI from Your organisation;
2. at least one other CI from Your organisation;
3. at least one CI from each Other Eligible Organisation; and
4. at least one PI from each Partner Organisation.

A3.2               Your application must include a commitment of combined Partner Organisation(s) contributions (i.e. the total of the cash and in-kind contributions of the Partner Organisations) that matches or exceeds the total funding requested from Us.

A3.3               The combined Partner Organisation(s) cash contribution:

1. must be at least 75% of the total funding requested from Us where any Partner Organisation has more than 100 employees;
2. has no minimum contribution where the Partner Organisation or the largest Partner Organisation in a consortium in the application has 100 employees or less; and
3. has no upper limit.

A4.             What the grant money can be used for

A4.1               Eligible expenditure items for Research Hubs may include:

1. items in Section 5.3 of these grant guidelines; and
2. teaching relief for CIs up to a total value of $50,000 per CI per year where it is demonstrated that it will enhance engagement with the Partner Organisation(s).

A5.             The assessment criteria

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

1. Investigator(s)/Capability 20%

Describe the:

–          demonstrated Research Opportunity and Performance Evidence (ROPE) of the proposed team including:

–          evidence of experience in managing distributed and/or collaborative industrial and end-user focussed research;

–          evidence of significant outcomes on industry related projects; and

–          evidence of experience in and capacity to provide effective supervision, support and mentoring for HDR candidates and postdoctoral researchers over the life of the Research Hub.

–          appropriateness of the team research track record to achieve the Research Hub’s goals; and

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

b.         Project Quality and Innovation 30%

Describe the extent to which the:

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

–          conceptual/theoretical framework is genuinely integrated, cross-disciplinary, innovative and original; and

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

c.         Feasibility and Commitment 20%

Describe the:

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

–          appropriateness of the design of the Research Hub and the expertise of the participants to ensure the project can be completed within the proposed budget and timeframe (including identified risks and mitigation strategies);

–          proposed level of collaboration to support the research project, including national and international networks and linkages;

–          high-quality intellectual support provided for the Research Hub by the research environment of the participating organisations;

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

–          commitment by each Partner Organisation(s) to collaboration in the Research Hub;

–          adequacy of the budget, including cash and in-kind Contributions pledged by participating organisations; and

–          extent to which the proposed Research Hub engages, and will continue to engage, meaningfully with the relevant industry experts.

If the project involves Aboriginal and/or Torres Strait Islander research, additional criteria include:

               The project’s level of collaboration, engagement, relationship building and benefit sharing with Aboriginal and Torres Strait Islander Peoples, and First Nations Organisations and Communities;

               The project’s strategy and mechanisms for Indigenous research capacity building within the project;

               The project’s level of internal leadership of Indigenous research;

               The project’s adherence to the Australian Indigenous Data Sovereignty Principles; and

               The project’s understanding of, and proposed strategies to adhere to, the AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research and NHMRC’s guidelines on Ethical conduct in research with Aboriginal and Torres Strait Islander Peoples and communities.

d.         Benefit  30%

Describe:

–          the extent to which the research clearly addresses one or more of the Industrial Transformation Priorities;

–          the economic, commercial, environmental, social and/or cultural benefits for relevant Australian research end-users (including relevant industry and manufacturing sectors);

–          the extent to which the proposed Research Hub supports clearly identified market opportunity(ies) and intended transformation for Australian industry or other end users;

–          the extent to which the proposed Research Hub will build research capacity in the Partner Organisation(s);

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

–          the potential contribution of the proposed research to addressing the needs of industries and communities as articulated in Australia’s Industrial Transformation Priorities; and

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

Part B                Industrial Transformation Training Centres (Training Centres)

B1.              About the scheme

B1.1                This Part of the document sets out the specific requirements for the Industrial Transformation Training Centres (Training Centres) scheme. This part must be read together with the general ITRP requirements in Sections 1-9 of these grant guidelines.

Description

B1.2                Training Centres foster close partnerships between university-based researchers and industry, through creating and delivering innovative Higher Degree by Research (HDR) and postdoctoral training. Training Centres are to develop researchers with capability in end user research that is vital to Australia's future. In delivering this training, the Training Centre focuses its researchers on developing solutions relevant to the Industrial Transformation Priorities.

Objectives

B1.3                The Training Centres scheme objectives are to:

1. support HDR candidates and postdoctoral researchers to undertake industrial training;
2. support research collaboration between universities and organisations outside the Australian higher education sector; and
3. strengthen the capabilities of industry and research end-users in identified Industrial Transformation Priority areas.

B1.4                The intended outcomes of the Training Centres scheme are:

1. growth, productivity and competitiveness within Industrial Transformation Priorities; and

b.              economic, commercial and social transformation.

B2.             Grant amount and grant period

B2.1                The ARC may provide project funding, which includes salary funding and stipend funding as detailed in Table 2.

B2.2                Table 2: Training Centres funding and grant duration.

The figures in this section are based on the 2023 price levels of funding and may be subject to variation (for example, due to annual indexation). Updated levels will be available on the salaries and stipends page of the ARC website.

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

B3.             Eligibility criteria

Applications

B3.1                To be eligible, Your application must include:

1. at least 10 ICHDRs; and
2.  at least one ICPD.

B3.2                Your application must nominate the following named participants:

1. Training Centre Director, who is an eligible CI from Your organisation;
2. At least one other CI from Your organisation;
3. At least one CI from each Other Eligible Organisation; and
4. At least one PI from each Partner Organisation.

B3.3                Your application must include a commitment of combined cash and in-kind contributions to the Training Centre that, along with the ARC contribution, are sufficient to support all the research projects described in the application and particularly that of the ICHDRs and ICPDs in the Training Centre.

B4.             What the grant money can be used for

B4.1                Eligible expenditure items for Training Centres may include:

1. items in Section 5.3 of these grant guidelines;
2. stipends for ICHDRs enrolled at an Eligible Organisation at no less than the level indicated on the salaries and stipends page of the ARC website; and
3. salary support for ICPDs at no less than the level indicated on the salaries and stipends page of the ARC website and appointed for at least 0.5 FTE at an Eligible Organisation for the duration of their role on the Project.

B5.             The assessment criteria

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

1. Investigator(s)/Capability 20%

Describe the:

–          demonstrated Research Opportunity and Performance Evidence (ROPE) of the proposed team including:

–          evidence of experience in managing distributed and/or collaborative industrial and end-user focussed research;

–          Evidence of significant outcomes on industry related projects;

–          Evidence of experience in and capacity to provide effective supervision, support and mentoring for HDR candidates and postdoctoral researchers over the life of the Training Centre;

–          appropriateness of team research track record to achieve the Training Centre’s goals; and

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

b.         Project Quality and Innovation 30%

Describe the extent to which:

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

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

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

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

c.         Feasibility and Commitment 20%

Describe the:

–          extent to which the proposed Training Centre represents value for money;

–          practicality of the proposed project objectives, budget and timeframe (including identified risks and mitigation strategies);

–          proposed level of collaboration to support the research project;

–          high quality intellectual support provided for the Training Centre by the research environment of the participating organisations;

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

–          capacity of each Partner Organisation(s) to support the Training Centre (including the plan for student placements);

–          extent to which the proposed Training Centre will engage , and will continue to engage, meaningfully with the relevant industry experts;

–          commitment by each Partner Organisation(s) to collaboration in the Training Centre; and

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

If the project involves Aboriginal and/or Torres Strait Islander research, additional criteria include:

               The project’s level of collaboration, engagement, relationship building and benefit sharing with Aboriginal and Torres Strait Islander Peoples, and First Nations Organisations and Communities;

               The project’s strategy and mechanisms for Indigenous research capacity building within the project;

               The project’s level of internal leadership of Indigenous research;

               The project’s adherence to the Australian Indigenous Data Sovereignty Principles; and

               The project’s understanding of, and proposed strategies to adhere to, the AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research and NHMRC’s guidelines on Ethical conduct in research with Aboriginal and Torres Strait Islander Peoples and communities.

d.         Benefit 30%

Describe:

–          the extent to which the research clearly addresses one or more of the Industrial Transformation Priorities;

–          the economic, commercial, environmental, social and/or cultural benefits for relevant Australian research end-users (including relevant industry and manufacturing sectors);

–          the extent to which the proposed Training Centre supports clearly identified market opportunity(ies) and intended transformation for Australian industry or other end users;

–          the extent to which the proposed Training Centre will build the ability to exploit research outcomes in the Partner Organisations;

–          the extent to which there are adequate strategies to encourage disseminations and promotion of research outcomes;

–          the potential contribution of the proposed research to addressing the needs of industries and communities as articulated in Australia’s Industrial Transformation Priorities; and

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

B6.             Successful grant applications

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

Your responsibilities

B6.2                You must undertake a process of competitive national and international recruitment for ICHDRs and ICPDs to be appointed to the Training Centre once the grant has been approved and announced. The recruitment and selection processes must:

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

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

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

B6.3                You will be responsible for ensuring that:

1. ICHDRs recruited to and funded through Your Training Centre are enrolled in a HDR at an Eligible Organisation;
2. ICPDs recruited to and funded through Your Training Centre must be an employee for at least 0.5 FTE at an Eligible Organisation;
3. ICHDRs funded through the Training Centre grant conduct research for a minimum total of one year full-time placement with a Partner Organisation(s) (outside the higher education sector) over the project activity period;
4. ICPDs funded through the Training Centre grant are encouraged to spend significant time conducting research with a Partner Organisation(s);
5. ICHDRs and ICPDs do not commence another Commonwealth Fellowship or award while they are employed with funds from the project; and
6. details of the selection and recruitment process for ICHDRs and ICPDs are made available for audit purposes if requested.

B6.4                Contributions from participating organisations may be used to top-up the stipends of the ICHDRs and salaries of the ICPDs where appropriate. A project may include additional HDR and postdoctoral roles fully funded by participating organisation contributions; however these roles are not considered to be ICHDRs and ICPDs.

Appendix A – Glossary

Acronyms

9.13.              In these Grant Guidelines, the following acronyms are used.

Definitions

9.14.              For the purposes of these grant guidelines, terms have the meanings defined below.

 

Appendix B: Eligible Organisations