ARC Linkage 2013 – Tips, Hints and Pitfalls Rose Firkin Executive Officer - Grants Deakin Research – Grants.

ARC Linkage 2013 – Tips, Hints and Pitfalls

Rose Firkin Executive Officer - GrantsDeakin Research – Grants

Outline

1. Tips and Hints2. Common Mistakes & Issues3. Grants Website & Resources4. Questions

Selection Criteria - Tips

• Funding rules provide a list of what is measured under each selection criteria– Refer section 4.3– Ensure your project covers these points

• The Instructions to Applicants often provide additional information also– Check these once they are released

Selection Criteria - Tips

• Keep the selection criteria in mind as you draft your application

• Do not provide information in one section alone eg. The relevance and strength of your research environment should be evident throughout your application not just in any specific section titled “Research Environment”

Partner Organisation requirements

• Proposals must include details of the proposed collaborative arrangements:– How is each PO involved in the project?– How does the project fit with the PO’s

overall strategic plan?– How is the project of value to each PO?

• Each PO must provide a Partner Investigator for the project (new!)

Partner Investigator Requirements

• PIs must satisfy the relevant eligibility criteria:– Take significant intellectual

responsibility &/or– Have the experience & capacity to

provide supervision, support and mentoring of research personnel associated with the project &/or

– Have the skills and experience to manage a similar scale research project

Partner Investigators – Selection Criteria

• All investigators (including PIs) are assessed and merit ranked on the following basis (20%):– Research opportunity and performance

evidence (ROPE)– Potential to engage in collaborative

research with end-users (new!)– Time and capacity to undertake and

manage the proposed research in collaboration with the PO

Partner Organisation - Tips

• Make sure your PO is genuinely committed – The need to provide a PI may help

ascertain this• PO commitment should be evident

throughout the proposal - letter of support should strongly indicate this

• Limit your POs - do not add them for the sake of numbers, the strength of the collaboration is the key

Partner Organisation - Tips

• Ensure the PO has read the funding rules and FAQs so they have a true understanding of the scheme objectives and how it works

• Discuss and document the expectations of each party regarding tasks and roles

• Discuss how the partnership (ie all parties) will handle any budget cuts if the application is later successful

Partner Organisation - Tips

• Send POs a copy of DU’s standard agreement so that they can raise potential issues early

• Utilise the expertise of the Deakin Research – Commercial team – Business Development Managers can

help with:• relationship management• commercialisation discussions• agreement negotiations

Partner Investigator - Tips

• You may need to limit your Partner Organisations due to the requirement that each provide a Partner Investigator

• Keep in mind that the PIs must meet eligibility criteria and their track record will be assessed

Partner Investigator - Tips

• PI time commitment of 0.05 FTE – 0.1 FTE was common in previous rounds but NB:– The selection criteria specifically refers

to both an investigator’s “time and capacity” to undertake and manage the proposed research

– Eg. I would be wary of projects that suggest a PI will be spending a concentrated 1 month p.a. which equates to 0.05 over the life of the project

PO In-Kind Contributions - Requirements

• All in-kind contributions must be ESSENTIAL and CENTRAL to the project

• In-kind contributions MUST be specific to the project and cannot be part of a broader contribution to an Administering Organisation

PO In-Kind Contributions - Tips

• Ensure your PO can provide adequate documentation to substantiate their in-kind contributions

• Ensure your project description reflects the requirement for the stated in-kind contributions (ie not just the budget justification section)

Chief Investigator - Tips

• CIs must meet the relevant eligibility criteria at 1 July 2013 and for the duration of the project– 0.5 EFT employee of an eligible

organisation or– Holder of an Emeritus, Adjunct or

equivalent position but not be substantively employed elsewhere

• If a CI resides outside Australia they may be a PI

• NB new Conflict of Interest clause 9.5.3

Chief Investigator - Tips

• In general, CI in-kind time commitment is anywhere from 0.1 FTE to 0.4 FTE

• Usually a Project Leader would be at least 0.2 FTE

• CI’s must take significant intellectual responsibility for the conduct of the Project and any strategic decisions and the capacity to make a serious commitment

• Structure your team accordingly!

Common Mistakes & Issues

• Applicants have not read and/or understood the funding rules

• Application– does not meet scheme objectives– breaches either funding restrictions or

duration requirements– lacks preparation and project

description is poorly written and/or argued and lacks flow

Common Mistakes & Issues

• Application is based on– A previous Linkage application and

contains outdated headings or references

– an alternate application with different focus

• Selection Criteria not addressed adequately– Use the space and make sure CIs and

PIs use the “Personnel” sections to demonstrate their credentials (without repetition or waffling)

Common Mistakes & Issues

• NRPs are selected but not mentioned in the proposal– Provide information in the Significance

& Innovation • Research Environment Section– Contains an old standard statement – Is not written specifically for the project

(use our Guidance Sheet)

Common Mistakes & Issues

• Under developed partner relationship– POs lack a true understanding of the

research proposal– POs and lead CI lack understanding of

how the project will work in practice and their obligations

– Evidence of collaboration and/or ability to manage the partner relationship lacking

Common Mistakes & Issues

• PO letter – gives an incorrect title or ARC reference

number– does not substantiate the claims within

the project description– Lists different anticipated outcomes to

those provided in the proposal– provides different figures to those

listed in the budget table

Common Mistakes & Issues

• Contributions do not meet required funding formula

• In-kind contributions appear over inflated

• In-kind contributions listed in the budget do not appear in the project description

• In-kind contributions inadequately justified

Other Common Mistakes & Issues

• Ineligible Chief or Partner Investigators– Designation & nomenclature is

important• Incorrectly designated organisations• Number of proposals exceeded for one

or more investigator/s

Common Mistakes & Issues

• “In press” publications without an “acceptance date” or DOI #

• Publications outside specified date range

• Publication lists refer to ERA rankings– Use impact factors and citations or

other measures to indicate the prestige and impact of your work

Common Mistakes & Issues

• The application does not appear 1st in the Research Support table

• Research Support table figures do not match final budget

• ARC projects not listed or incorrectly referenced

• Relevant ARC reports missing

Common Mistakes & Issues

• Failure to advise the Faculty / Institute / SRC– No approval, no submission

• Missing internal deadlines– Thorough compliance checks take time – 1.5 hours to 5.5 hours

A MAJOR UNIVERSITY CONCERN - COI

• Deakin has had 2 recent cases which have called into question our staff member’s understanding of the scheme’s conflict of interest requirements

• These have jeopardised our relationship with the ARC

• Each related to non-disclosure of potential or perceived conflict of interest

A MAJOR UNIVERSITY CONCERN - COI

• Read Section 9.5• “Each party involved in a Proposal

must declare at the date of submission and describe in the application any Conflict of Interest that exists or is likely to arise in relation to any aspect of the proposal”

• Non declaration may represent a breach of the Australian Code for the Responsible Conduct of Research (2007)

A MAJOR UNIVERSITY CONCERN - COI

• “A researcher cannot participate as a CI if they hold a position as a Director, Board Member or have a financial interest (salary, contract or equity) in a proposed PO for a project. This exclusion does not confer PI eligibility..”– This has the potential to affect those

with conjoint appointments– Liaise with your Case Manager

A MAJOR UNIVERSITY CONCERN - COI

• If a researcher has a COI with a PO exempt from the Cash Contribution requirements it does not prevent them from participating as a CI

• Answer the question regarding COI in the Personnel Section honestly

Tips & Hints - Budgets

• Come to the next information session on Linkage budgets

Tips & Hints

• Treat your application as a Memorandum of Understanding (MoU)– Biggest issue we have during contract

negotiation is sorting out misunderstandings regarding how the project will work in practice

– In these instances we refer back to the original application – keep in mind it provides evidence of any discussions

Final Tips

• Bookmark and use our dedicated Linkage page http://www.deakin.edu.au/research/grants/opportunities/arc-linkage-projects.php

• Get an RMS profile immediately– Get your co CIs and PIs to do the same

• Work directly with your Case Manager– Do not approach the ARC

Important Note

• Deakin Research – Grants works with Faculties / SRCs / Institutes and will refer applications back to them if

• Aims are unclear• Application is poorly written or

structured• There are concerns re an

application’s readiness for submission

Questions?

• Information Session #3 will cover:– Linkage budgets