Linkage Program Special Research Initiative for Australian Society, History and Culture

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Linkage Program

Special Research Initiative for Australian Society, History and Culture

 

Australian Research Council Act 2001

 

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

Dated 26 February 2020

 

 

Dan Tehan

Minister for Education

Contents

1. Linkage Program: Special Research Initiative for Australian Society, History and Culture processes

 Introduction

2. About the grant program

Objectives

Intended outcome

Scope and timeframes

Key performance indicators

Other relevant information

About the grant opportunity

Important dates

Description

Objectives

3. Grant amount and grant period

4. Eligibility criteria

What are the eligibility requirements for applications?

Who is eligible to apply for a grant?

Who is eligible to be an Other Organisation?

Who is eligible to be a named participant?

Chief Investigators

Partner Investigators

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

5. What the grant money can be used for

Eligible grant activities

Ineligible grant activities

What grant funds can be used for

What grant funds cannot be used for

6. The assessment criteria

7. How to apply

Attachments to the application

Timing of the grant opportunities

Questions during the application period

Withdrawing an application

8. The grant selection process

What is the grant assessment process?

Eligibility criteria assessment

The assessment process

National Interest Test

Requests not to assess process

Rejoinder process

Who will assess applications?

Who will approve grants?

9. Notification of application outcomes

Feedback on Your application

10. Successful grant applications

The grant agreement

Specific research policies and practices

Ethics and Research Practices

Intellectual Property

Publication and dissemination of research outputs and research data

How We pay the grant

Grant payments and GST

11. Announcement of grants

12. How We monitor Your grant activity

Keeping Us informed

Reporting

End of year report

Progress reporting by exception

Research highlights report

Final report

Grant agreement variations

Compliance visits and record keeping

Evaluation

13. Probity

Appeals process

Conflict of interest

Privacy and protection of personal information

Confidential information

Freedom of information

14. Consultation

15. Glossary

Acronyms

1. Linkage Program: Special Research Initiative for Australian Society, History and Culture processes

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

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

The following process flowchart applies to the Special Research Initiative for Australian Society, History and Culture grant opportunity.



The grant opportunity opens.

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



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



We manage the assessment of all applications.

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

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

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



We make grant recommendations.

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

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

In making recommendations to the Minister the CEO will consider the applicant’s response to the National Interest Test. The CEO will seek information from Administering Organisations on applications where there is concern about how they meet the National Interest Test based on the information provided in the application form. The CEO will make grant recommendations to the Minister that satisfy the National Interest Test and which are eligible for funding.



Grant decisions are made.

The Minister decides which applications are approved, and the level of funding and duration of funding for each approved project. The Minister may consider the National Interest Test in determining which applications to approve.



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



We enter into a grant agreement with You.

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



Delivery of the grant.

You undertake the grant activity and report to Us as set out in Your grant agreement. We manage the grant by monitoring Your progress and making payments.



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.

Introduction

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

1.2.                  These grant guidelines contain information on the Special Research Initiative for Australian Society, History and Culture grant opportunity.

1.3.                  You and the named participants must read these guidelines before filling out an application.

1.4.                  This document sets out:

1. the purpose of the grant opportunity;
2. the eligibility and assessment criteria;
3. how applications are considered and selected;
4. how grantees are notified and receive grant payments;
5. how grantees will be monitored and evaluated; and
6. responsibilities and expectations in relation to the grant opportunity.

1.5.                  These grant guidelines are a legislative instrument current as at the date of signing by the Minister and have been prepared in accordance with the requirements of the ARC Act in force at that date.

2.                     About the grant program

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

Objectives

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

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

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

2.5.                  The objectives of the Linkage Program are to deliver outcomes of benefit to Australia and build Australia’s research and innovation capacity through support for:

1. collaborative research between university-based researchers and researchers in other sectors;

b.              research training and career opportunities that enable Australian and international researchers and research students to work with industry and other end-users; and

c.              research in priority areas.

2.6.                  The grant opportunities currently available under the Linkage Program are:

1. Industrial Transformation Research Program (ITRP) comprising:

-       Industrial Transformation Research Hubs (Research Hubs);

-       Industrial Transformation Training Centres (Training Centres);

b.              Linkage Projects;

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

d.              ARC Centres of Excellence;

e.              Special Research Initiatives;

f.               Learned Academies Special Projects (LASP); and

g.              Supporting Responses to Commonwealth Science Council Priorities.

Intended outcome

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

Scope and timeframes

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

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

2.10.              These grant guidelines will be in effect from the date the Minister signs these grant guidelines.

Key performance indicators

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

2.12.              The KPIs focus on long-term outcomes as well as medium-term outcomes relating to building Australia’s research capacity, for example, research careers and training, contributions in areas of national need and research collaboration.

Other relevant information

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

About the grant opportunity

Important dates

2.14.              The grant commencement date for the Special Research Initiative for Australian Society, History and Culture is available on the ARC website.

Description

2.15.              The Special Research Initiative for Australian Society, History and Culture grant opportunity supports excellent research into all aspects of Australian society, history and culture from ancient Aboriginal and Torres Strait Islander beginnings to modern-day Australia. Research can be in a range of diverse areas of Australian life including community, institutions, literature, art, music, philosophy, language, media, politics and geography.

2.16.              Research funded under this grant opportunity is intended to give a greater understanding about modern Australia, including its origins and the events that have shaped it.

Objectives

2.17.              The objectives of the grant opportunity are to:

1. support excellent research into Australian society, history and culture as described in section 2.15; and
2. build Australian research capacity in this area by supporting researchers of the highest international standing as well as foster high-quality postdoctoral researchers.

2.18.              The intended outcomes of the grant opportunity are to:

1. advance understanding into the formation, development and standing of Australian society, history and culture; and
2. increase research capacity in Australia.

3.                     Grant amount and grant period

3.1.                  Applications for the levels of funding listed in Table 1 will be considered.

3.2.                  Table 1: Special Research Initiative for Australian Society, History and Culture funding and grant duration.

 

4.                     Eligibility criteria

What are the eligibility requirements for applications?

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

4.2.                  Applications under this grant opportunity must have:

1. one or more Chief Investigators;

b.              none, one or more Partner Investigators;

c.              one or more Eligible Organisations (including the Administering Organisation); and

d.              none, one or more Other Organisations.

Who is eligible to apply for a grant?

4.3.                  We will only accept applications from the Eligible Organisations in Table 2.

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

4.5.                  Table 2: Eligible Organisations:

 

Who is eligible to be an Other Organisation?

4.6.                  Organisations that are not Eligible Organisations that are named as organisational participants on an application will be Other Organisations.

4.7.                  Other Organisations are not required to make a cash or in-kind contribution to the project, but must be relevant to and involved with the project.

Who is eligible to be a named participant?

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

4.9.                  Roles that named participants may be nominated for under the Special Research Initiative for Australian Society, History and Culture grant opportunity are:

1. Chief Investigators (CIs); and
2. Partner Investigators (PIs).

4.10.              All named participants in an application must:

1. satisfy the eligibility criteria for the role they are to perform;

b.              take responsibility for the authorship and intellectual content of the application, appropriately citing sources and acknowledging significant contributions, including from third parties; and

c.              have met their obligations regarding previously funded projects, including submission of satisfactory final reports to the ARC at the date of application submission.

4.11.              A project cannot commence until all named participants meet the eligibility criteria in these grant guidelines.

Chief Investigators

4.12.              CIs are expected to:

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.              ensure effective supervision, support and mentoring at all times of research personnel, including Higher Degree by Research (HDR) candidates and postdoctoral researchers for whom they are responsible; and

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

4.13.              The CI who is also the Project Leader must have a demonstrated capacity to manage the project.

4.14.              CIs must meet at least one of the following criteria as at the grant commencement date, and for the project activity period:

1. be an employee for at least 20 per cent of Full Time Equivalent (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.

4.15.              CIs must reside predominantly in Australia for the project activity period. Any significant absences including fieldwork or study leave directly related to the project must have approval from You and must not total more than half the project activity period. In extraordinary circumstances, changes must be approved via a Variation.

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

Partner Investigators

4.17.              PIs are expected to:

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;
2. 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

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

4.18.              PIs must not meet the eligibility criteria for CIs at the grant commencement date or at any time during the project activity period.

4.19.              Researchers who do not meet all of the eligibility criteria for being a CI may be PIs. For example, a participant may be a PI, if they would otherwise be a CI but will not reside predominantly in Australia for the project activity period.

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

4.20.              There are no application or project limits for named participants on a Special Research Initiative for Australian Society, History and Culture grant.

4.21.              It is Your responsibility to determine if applying for, or holding, a project under these 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’.

5.2.                  Under the Special Research Initiative for Australian Society, History and Culture, research activities may include data collection, digitisation, and the development of networks.

Ineligible grant activities

5.3.                  The Linkage Program does not support applications that involve medical research as detailed in the ARC Medical Research Policy on the ARC website.

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

5.5.                  We will not consider applications for a grant 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. We consider such applications to be essentially contracted research or a consultancy arrangement and these are ineligible.

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

5.7.                  The Linkage Program does not support 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.

What grant funds can be used for

5.8.                  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.

5.9.                  Eligible expenditure items are:

1. personnel, which may include:
2. salary support for personnel, for example research associates and assistants, technicians and laboratory attendants at an appropriate salary level, including 30 per cent on-costs, at the employing organisation;
3. stipends for HDR students, in whole or in part, at an appropriate level for the Administering Organisation or the relevant industry sector;
4. teaching relief for CIs up to a total of $50,000 per CI per year;
5. travel costs essential to the project, including economy travel costs for domestic and/or international travel and accommodation, up to $20,000 over the project activity period. Travel and accommodation costs related to carrying out field research or any carers’ costs are not included in this $20,000 limit;
6. expenditure on field research (including access to museums or interviews with relevant groups) essential to the project, including technical and logistical support, and travel expenses (including accommodation, meals and incidental costs);
7. equipment (and its maintenance) and consumables essential for the project. Funding will not be provided for equipment or consumables that are considered to be for broad general use; and

f.               other, which may include:

1. expert services of a third party if the services are directly related to and essential for the project. Such services include, but are not limited to:

-            language translation services, transcribing services;

-            purchase of bibliographical or archival material (electronic or hard copy);

-            data collection and analysis services; and

-            digitisation services.

ii.              access to national and international research and infrastructure facilities including specialist archives, collections and databases;

iii.            access to technical workshop services linked to and justified explicitly against the project (for example, machine tools and qualified technicians);

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

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

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

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

viii.         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.

What grant funds cannot be used for

5.10.              Unless the following activities meet the definition of ‘research’, the Linkage Program does not support production of:

1. computer programs, research aids and tools;

b.              data warehouses, catalogues or bibliographies; or

c.              teaching materials.

5.11.              You cannot request or use grant funds for the following activities:

1. basic facilities that should normally be funded by an Administering Organisation, Eligible Organisation and/or Other Organisation (including standard refurbishment costs of an office or a laboratory);

b.              capital works and general infrastructure costs;

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

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

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

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

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

1. bench fees or similar laboratory access fees;

b.              access to a basic library collection;

c.              access to film or music editing facilities;

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

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

f.               standard reference materials or funds for abstracting services.

6.                     The assessment criteria

6.1.                  You must address all of the relevant assessment criteria in Your application. We will assess your application based on the weighting given to each criterion. Different weightings are assigned to individual criterion.

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

6.3.                  The Special Research Initiative for Australian Society, History and Culture assessment criteria are:

1. Project quality and innovation 40%

Describe the:

-             extent to which the proposed research addresses the objectives of this grant opportunity;

-             contribution to addressing an important gap in knowledge of Australian and Aboriginal and Torres Strait Islander society, history and culture;

-             novelty/originality and innovation of the proposed research (including any new methods, technologies, theories or ideas that will be developed);

-             hypotheses, theories and/or research questions; and

-             cohesiveness of the project design and implementation plan (including the appropriateness of the aim, conceptual framework, method, data and/or analyses).

b.             Investigator(s)/Capability 35%

Describe:

-             Research Opportunity and Performance Evidence (ROPE);

-             time and capacity to undertake the research;

-             evidence of experience in research training, mentoring and supervision (where appropriate); and

-             the capability of the investigator or team to build collaborations.

c.              Benefit 10%

Describe the potential benefits including the:

-             new or advanced knowledge resulting from outcomes of the research; and

-             social or cultural benefits for Australia.

d.             Feasibility 15%

Describe the:

-             cost-effectiveness of the research and its value for money;

-             availability of the necessary facilities to complete the project; and

-             extent to which the project’s design, participants and requested budget create confidence in the timely and successful completion of the project.

If the project involves Aboriginal and Torres Strait Islander research describe:

-             the strategies for enabling collaboration with Aboriginal and Torres Strait Islander communities where appropriate (for example, dialogue/collaboration with an Indigenous cultural mentor); and

-             any existing or developing relationships with communities necessary to deliver high quality research outcomes.

7.                     How to apply

7.1.                  Before You submit an application, You and the named participants must read these grant guidelines, the Instructions to Applicants, and the draft grant agreement. These documents may be found on GrantConnect. Any alterations and addenda will be published on GrantConnect and by registering on this website you will be automatically notified of any changes.

7.2.                  To apply, You must:

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

b.              address all of the eligibility and assessment criteria;

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

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

e.              submit Your application through Your Research Office; and

f.               ensure that the person assigned the Research Office Delegate role in RMS is authorised to certify and submit applications.

7.3.                  In-kind contributions must be essential and central to the application. It is Your responsibility to establish the merit of the case for recognition of in-kind contributions.

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

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

7.6.                  You are responsible for ensuring that Your application is complete and all details in the application are accurate and current at the time of submission.

7.7.                  You cannot change Your application (additions, deletions or modifications) after the application submission date and time.

7.8.                  We reserve the right at any point in the process to seek evidence from You to support the certification of applications.

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

Attachments to the application

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

Timing of the grant opportunities

7.11.              We publish open and closing times for submission on GrantConnect.

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

7.13.              If You are successful, a grant will commence on the grant commencement date, after Ministerial announcement, or in line with other arrangements that are approved by Us.

Questions during the application period

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

Withdrawing an application

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

8.                     The grant selection process

8.1.                  All applications will be considered through a competitive peer review process.

8.2.                  We manage the assessment of applications. Further information about the assessment process is available on the ARC website.

What is the grant assessment process?

Eligibility criteria assessment

8.3.                  We will review Your application against the eligibility criteria.

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

8.5.                  If an application is ineligible, the application may not be progressed through the assessment process and We must not recommend the application for funding.

The assessment process

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

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

8.8.                  If We consider that an application is inaccurate or contains false or misleading information, or is otherwise a breach of the Australian Code for the Responsible Conduct of Research, We will in Our absolute discretion decide to recommend that the application not be approved for a grant.

8.9.                  Your application will be considered on its merits, 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).

8.10.              We may request additional information during the assessment process.

8.11.              The process that We will undertake includes the following steps.

1. We assign applications to General Assessors.

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

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

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

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

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

g.              The SAC makes recommendations to the CEO on which applications should be approved for funding, which applications should not be approved for funding, and the level of funding and duration of each grant.

National Interest Test

8.12.              On the application form, applicants must provide a separate response on the national interest of the research proposal.

8.13.              In making recommendations to the Minister, the CEO will:

1. consider the recommendations from the SAC;
2. consider the applicant’s response to the National Interest Test;
3. seek information from Administering Organisations on applications where there is concern about how they meet the National Interest Test based on the information provided in the application form; and
4. make grant recommendations to the Minister that satisfy the National Interest Test and which are eligible for funding.

Requests not to assess process

8.14.              You may name up to three persons whom You do not wish to assess an application by submitting a Request Not to Assess (RNTA) form as detailed on GrantConnect and the ARC website. For this grant opportunity, the form must be received by Us two weeks before the application submission date.

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

8.16.              If a request includes the name of a current ARC College of Experts member, as listed on the ARC website 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.

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

Rejoinder process

8.18.              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.

Who will assess applications?

8.19.              Applications will be assessed by Detailed Assessors and a SAC comprising General Assessors.

8.20.              Any Detailed Assessors or General Assessors must adhere to and uphold the Australian Code for the Responsible Conduct of Research (2018).

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

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

Who will approve grants?

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

8.24.              The CEO will make recommendations for funding to the Minister based on any number of assessments.

8.25.              Under the ARC Act, the Minister may (but is not required to) rely solely on recommendations made by the CEO.

8.26.              The Minister will determine which grants to approve. In addition to the assessment criteria set out in Section 6, the Minister may consider the National Interest Test in determining which applications to approve.

8.27.              The Minister’s decision is final in all matters, including:

1.            the approval of the grant;

b.              the grant funding amount to be awarded;

c.               the duration of the grant; and

d.              the terms and conditions of the grant.

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

1. meet the eligibility criteria;
2. comply with the assessment process; and
3. satisfy the requirements for financial assistance.

9.                     Notification of application outcomes

9.1.                  We will advise You of the outcome of Your application via RMS, following a decision by the Minister.

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

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

Feedback on Your application

9.4.                  Feedback will be provided on eligible applications through RMS.

10.               Successful grant applications

The grant agreement

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

10.2.              We use the ARC Linkage Program 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.

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

10.4.              We must execute a grant agreement with You before We can make any payments. We are not responsible for any of Your project expenditure until a grant agreement is executed.

Specific research policies and practices

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

Ethics and Research Practices

10.6.              All applications and ARC-funded research projects must comply with the requirements specified in the ethics and research codes, practices and policies on the ARC website.

Intellectual Property

10.7.              We do not claim ownership of any intellectual property in an application or in any research arising from a project. All research projects funded by Us must comply with practices and policies on the ARC website.

Publication and dissemination of research outputs and research data

10.8.              All research projects funded by Us must comply with the ARC Open Access Policy on the dissemination of research findings, which is on the ARC website. We strongly encourage:

1. the depositing of data arising from a project in an appropriate publicly accessible discipline and/or institutional repository; and

b.              all participants applying for grants to have a Persistent Identifier such as an Open Researcher and Contributor Identifier (ORCID ID) in their RMS Profile.

How We pay the grant

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

10.10.          The grant offer will specify the approved grant amount to be paid.

10.11.          We will not pay more than the approved grant amount under any circumstances. If You incur extra costs, You must meet them.

10.12.          Grant funding may be indexed.

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

10.14.          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 payments and GST

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

10.16.          You are responsible for any and all financial and taxation implications associated with receiving funds.

11.               Announcement of grants

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

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

1. 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 response to the National Interest Test;

e.              classifications and international collaboration country names; and

f.               the ARC grant funding amount.

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

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

12.               How We monitor Your grant activity

Keeping Us informed

12.1.              You must let Us know if anything is likely to affect Your project.

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

1. name;

b.              address(es);

c.              nominated contact details; and

d.              bank account details.

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

Reporting

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

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

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

End of year report

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

Progress reporting by exception

12.8.              A progress report by exception must be completed as part of the end of year report only if significant issues are affecting the progress of the project.

12.9.              If We are not satisfied with the progress of any project, further payment of grant funds will not be made until satisfactory progress has been made on the project. If satisfactory progress is not achieved within a reasonable period of time, the grant will be terminated and all outstanding grant funds will be recovered by Us.

Research highlights report

12.10.          You must submit a research highlights report within 2 months of the final ARC approved project end date. We will make the form for this report available in RMS, with instructions on the ARC website.

12.11.          The research highlights report must describe the achievements and findings made through the research project.

12.12.          The research highlights report must be written in such a way as to be understandable by a non-expert audience. The report may be shared publicly by the ARC.

Final report

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

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

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

Grant agreement variations

12.16.          We recognise that unexpected events may affect the progress of a project. In these circumstances, You can request a variation to Your grant agreement by submitting a Variation to Us in RMS.

12.17.          You cannot request an increase to the approved grant amount.

12.18.          You should not assume that a variation request will be successful. We will consider your request based on provisions in the grant agreement and the likely impact on achieving outcomes.

Compliance visits and record keeping

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

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

Evaluation

12.21.          We may evaluate the grant opportunity under the Linkage Program to measure how well the outcomes and objectives have been achieved. We may use information from your application and reports for this purpose. We may also interview you, or ask you for more information to help us understand how the grant impacted you and to evaluate how effective the program was in achieving its outcomes.

12.22.          We may contact you up to five years after You finish Your grant for more information to assist with this evaluation.

13.               Probity

13.1.              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

13.2.              The appeals process is designed to ensure that the application has been treated fairly and consistently in the context of selection processes.

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

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

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

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

Phone (Toll free): 1300 362 072

Email: ombudsman@ombudsman.gov.au

Website: ombudsman.gov.au

13.7.              Applicants may at any time seek to appeal Our decisions using available external appeal options. Regarding available options for external appeal, the Administrative Appeals Tribunal does not have general power to review Our decisions.

Conflict of interest

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

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

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

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

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

13.10.          You will be asked to certify, as part of Your application, any perceived or existing conflicts of interests or that, to the best of Your knowledge, there is no conflict of interest. Each individual or organisation named in an application must declare any conflict of interest that exists or is likely to arise in relation to any aspect of the application or project to You at the date of submission.

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

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

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

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

Privacy and protection of personal information

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

1. what personal information We collect;

b.              why We collect Your personal information; and

c.              who We give Your personal information to.

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

13.17.          Your personal information can only be disclosed to someone else:

1. if You are given reasonable notice of the disclosure;

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

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

d.              if You have consented to the disclosure.

Confidential information

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

13.19.          We may reveal confidential information to:

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

b.              the Minister and their staff;

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

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

e.              other funding bodies for the purpose of obtaining funding from that body;

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

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

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

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

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.

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

Freedom of information

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

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

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

13.25.          By mail: Freedom of Information Coordinator

Australian Research Council

GPO Box 2702

CANBERRA ACT 2601

By email: foi@arc.gov.au

 

14.               Consultation

14.1.              We have undertaken consultation with the Australian Academy of the Humanities and the Academy of the Social Sciences in Australia in the development of this grant opportunity.

14.2.              We may conduct a survey of Eligible Organisations after the outcomes of each grant opportunity are announced.

15.               Glossary

Acronyms

15.1.              For the purposes of the Special Research Initiative for Australian Society, History and Culture grant guidelines, terms have the meanings defined below.