Entrepreneurs’
Infrastructure
Programme
Programme Guidelines
January 2015
Version 4
ENTREPRENEURS’ INFRASTRUCTURE PROGRAMME
Purpose
1.
The purpose of these Programme Guidelines is to provide the framework
for the administration of the Entrepreneurs’ Infrastructure Programme
(the Programme).
2.
The Programme comprises three Elements:
3.
a.
Business Management
b.
Research Connections
c.
Accelerating Commercialisation
Parts 1, 2 and 3 of these Programme Guidelines apply to all three
Elements of the Programme. There is a separate Schedule for each
Element that contains clauses only relevant to that Element. Additional
Schedules may be added from time to time.
Commencement
4.
These Programme Guidelines commence on the date outlined in the
Schedule for each Element.
5.
The Programme Guidelines replace the Entrepreneurs’ Infrastructure
Programme Guidelines Version 3.
6.
These Programme Guidelines:
a. are approved by the Minister; and
b. may be amended by the Minister from time to time.
7.
The Programme Guidelines should be read in conjunction with the
relevant Customer Information Guides.
Interpretation
8.
The definitions outlined in Appendix 1 apply for the purpose of
interpreting these Programme Guidelines. These definitions are not
intended to substitute for the defined terms in any Funding Agreement.
9.
In the event of any inconsistency between these Programme Guidelines
and the Customer Information Guides, the Programme Guidelines
prevail.
Entrepreneurs’ Infrastructure Programme Guidelines: January 2015
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Part 1 - Programme Overview
Introduction
10.
The Entrepreneurs’ Infrastructure Programme is a $484.2 million
programme that was announced as part of the 2014-15 Budget and
includes an allocation of $92.4 million for the Single Business Service
initiative. As part of the Industry Innovation and Competitiveness Agenda
$60 million was announced to co-fund commercialisation opportunities
through the Programme.
11.
The Programme sets out a new policy direction to; provide strategic
support to business; bring research and business together to develop
and commercialise novel intellectual property; and equip small and
medium businesses with the management and business skills needed to
lead change and expansion.
12.
The Programme provides a framework through which the Government
will support small and medium businesses to improve business capability
and competitiveness, promote economic growth and support the
commercialisation of new products, processes and services.
13.
The Programme will improve the capability and collaborative capacity of
small and medium businesses in five Growth Sectors through links with
the Industry Growth Centres.
Programme Objective
14.
The objective of the Programme is to drive business growth and
competitiveness by supporting business improvement and promoting
economic growth through research connections and commercialisation of
new products, processes and services.
15.
In meeting the Programme objective, the Programme is expected to:
a.
increase sales, revenue and profit of small and medium
businesses;
b.
improve products, services and processes of small and medium
businesses;
c.
increase collaboration across business and researchers to build
capability in a business to develop new ideas with commercial
potential;
d.
assist small and medium businesses to grow, increase market
participation and export participation; and
e.
deliver high quality advice and facilitation services.
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Part 2 - Programme Governance
Roles and Responsibilities
Minister
16.
The Minister will appoint an Overarching Programme Delegate for the
Programme and a Programme Delegate for each Element.
Programme Delegate
17.
The Overarching Programme Delegate and Programme Delegate are
authorised to make decisions in relation to the administration of the
relevant Element and to give directions to the Department as to the
interpretation of these Programme Guidelines and other documents used
in relation to the Element.
18.
The Overarching Programme Delegate and Programme Delegate must
have regard to the policy objectives of the Programme when performing
any function or making any decision in relation to the Programme.
Commonwealth’s Rights
19.
Nothing in these Programme Guidelines should be construed to give rise
to any contractual obligations or rights, expressed or implied, by the issue
of these Programme Guidelines or the submission of an application for a
Grant under the Programme.
20.
No agreement will be created between a successful Applicant and the
Commonwealth, represented by the Department, until a Funding
Agreement or Service Agreement is formally executed.
21.
Notwithstanding the approval of an application for a Grant or Service, the
provision of a Grant or Service by the Commonwealth, and the amount of
a Grant, is subject to available Commonwealth funding and changes in
Commonwealth policy.
Announcements
22.
The Department will report on its website, information on individual
Grants as required by paragraph 5.3 of the Commonwealth Grants Rules
and Guidelines.
23.
In addition, the Minister or the Department may publicly announce
successful projects, and details of successful Applicants.
24.
Such public announcements may also include information provided by
successful Applicants or compiled or obtained during the assessment of
applications and negotiation of Funding Agreements that the
Commonwealth determines is not confidential (see clauses 29-35).
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Conflict of Interest and Bias
25.
The Department has processes for managing actual and perceived
conflicts of interest that are consistent with the requirements of the
Commonwealth Grants Rules and Guidelines. In addition:
a.
the Department has procedures for managing the disclosure of
interests by its staff which complement the APS Code of Conduct
(see subsection 13 (7) of the Public Service Act 1999) and are
published on the Departmental website; and
b.
the Department will require any Adviser, Facilitator or
Commercialisation Adviser who is not an employee of the
Department to disclose any actual, potential or perceived conflict
of interest and if an actual, potential or perceived conflict of
interest is identified, that person (or organisation) will be excluded
from engaging with the Applicant unless the Programme Delegate
determines that the conflict is not material. The conflict of interest
procedures are published on Business.gov.au.
Feedback and Complaints
26.
Information about feedback and complaints handling concerning the
Programme is included in the relevant Customer Information Guide and
the Customer Service Charter published on Business.gov.au. Complaints
concerning decisions will be directed to the Programme Delegate.
27.
The Applicant is also entitled to lodge a complaint with the
Commonwealth Ombudsman.
Programme Contact Details
28.
Any queries regarding these Programme Guidelines should be directed
to Business.gov.au or the contact centre on 13 28 46.
Protection of Information
29.
The use and disclosure of information provided to the Department,
Advisers, Facilitators and Commercialisation Advisers by Applicants
(including information provided as part of any application) is regulated by
the relevant provisions and penalties of the Public Service Act 1999
(Cth), the Public Service Regulations, the Privacy Act 1988 (Cth), the
Crimes Act 1914 (Cth), the Criminal Code Act 1995 (Cth) and general
law.
30.
The relevant parties will use and disclose the information provided by
Applicants for the purposes of discharging their respective functions
under these Programme Guidelines and otherwise for the purposes of
the Programme and related uses. The Department may also:
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a.
use information received in applications in any other departmental
business;
b.
use information received in applications, and during the
performance of Services or activities under a Funding Agreement
for reporting and consultation with other Commonwealth, State or
Territory government agencies; and
c.
during the assessment of applications, and in the course of
administering the Programme, consult with other Commonwealth,
State and Territory Departments and Agencies about an
Applicant's claims and disclose information about Applicants as
needed. The Department may also engage third parties (including
auditors) to review applications to provide technical or financial
advice on a contract basis.
31.
This information may be disclosed to Department staff, the Minister and
staff members of the Minister’s Office for the purposes of administering
and informing the development of the Programme.
32.
Any information obtained will be stored and held in accordance with the
Department’s obligations under the Archives Act 1983 (Cth).
33.
In addition to the above, the Department may disclose information,
whether it be personal information (as defined by the Privacy Act 1988)
or other information, to:
a.
the Auditor-General, Ombudsman or Privacy Commissioner;
b.
a House or a Committee of the Parliament of the Commonwealth
of Australia;
c.
a third party contractor engaged by the Commonwealth for
audit-related purposes;
d.
other Commonwealth agencies for law enforcement purposes,
where the disclosure will serve the Commonwealth’s legitimate
interests and, if necessary, to substantiate an Applicant’s claims; or
e.
a technical, financial, economic and/or industry expert (including
auditors) from whom the Department wishes to seek advice in
relation to the administration of the Programme.
34.
Information obtained will only be used and disclosed for the purposes
outlined above, or as otherwise authorised or required by law.
35.
For further information as to how the Department handles personal
information, please refer to the Department’s Privacy Policy.
Freedom of information
36.
All documents created or held by the Department with regard to the
Programme are subject to the Freedom of Information Act 1982. Unless a
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document falls under an exemption provision, it will be made available to
the general public if relevant to a request under the Freedom of
Information Act 1982.
37.
All Freedom of Information (FOI) requests are to be referred to the FOI
Coordinator in the Department. Decisions regarding requests for access
will be made by an authorised officer in accordance with the
requirements of the Freedom of Information Act 1982.
Programme Evaluation
38.
The Department will monitor and evaluate the performance of the
Programme. This includes successful Participants being asked to provide
information and data to the Department for the purposes of preparing
periodic performance reports which are analysed and compared to
industry standards.
39.
The Department will analyse performance and evaluation data at various
times to evaluate changes to a business following the commencement of
the Service or Grant.
40.
The Overarching Programme Delegate and Programme Delegate must:
a.
ensure that data from applications and service delivery is
maintained in a form that is available for Programme monitoring
and evaluation; and
b.
in collaboration with relevant policy partners, facilitate and
cooperate with an independent evaluation of the Programme.
Tax Obligations
41.
Grants under the Programme may attract the Goods and Services Tax
(GST). Grant funds are calculated to compensate for any GST that the
Participant may be liable to pay.
42.
Grants under the Programme may be treated as assessable income for
taxation purposes. On this basis, Applicants are recommended to seek
their own independent professional advice on their taxation obligations.
Part 3 - Programme Delivery
Eligibility for Business Management and Research Connections
43.
To be eligible, an Applicant must be an Eligible Corporation that is non
tax exempt and is registered for GST.
44.
In addition to any precondition specified in clause 43, to be eligible to
receive Services and Grants, Applicants must meet the following
eligibility criteria:
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45.
a.
operate in one of the specified industry sectors outlined in clause
45 or satisfy clause 46; and
b.
meet the relevant turnover or expenditure thresholds outlined at
clause 47; and
c.
be Solvent; and
d.
have operated in Australia and filed business activity statements
showing ongoing trading in at least three consecutive years; and
e.
not be named by the Workplace Gender Equality Agency as an
organisation that has not complied with the Workplace Gender
Equality Act 2012 (Cth).
Elements will be available to small and medium businesses in the
following Sectors:
a.
Advanced Manufacturing;
b.
Food and Agribusiness;
c.
Medical Technologies and Pharmaceuticals;
d.
Mining Equipment, Technology and Services;
e.
Oil, Gas and Energy Resources; or
f.
Enabling Technologies and Services of the Growth Sectors.
46.
Businesses that can demonstrate they are committed to, and have the
skills, capability, intellectual property or expertise to operate in, one of the
Growth Sectors in the future may also be eligible.
47.
The annual turnover or operating expenditure thresholds for eligibility
under Business Management and Research Connections are:
48.
a.
Between $1.5 million and $100 million; or
b.
Between $750,000 and $100 million – for Applicants from Remote
Australia.
The following are ineligible to apply for services under Business
Management and Research Connections:
a. individuals;
b. partnerships;
c.
trusts, except for trusts with trustees that are Eligible Corporations;
and
d. Commonwealth, State and Local Government agencies and bodies
(including government business enterprises).
Eligibility for Accelerating Commercialisation
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49.
To be eligible for Accelerating Commercialisation, Applicants must meet
the following criteria:
a. clause 43, or
b. be a Commercialisation Office or Eligible Partner Entity, or
c.
50.
be an individual, partnership or trustee; that warrants at the time of
submitting an Eligible Application that he/she will be or will form a
non-tax exempt Eligible Corporation under the Corporations Act
2001 before signing a Funding agreement.
In addition, Applicants for Accelerating Commercialisation must:
a. Meet the criteria specified at clause 44(e);
b. have a novel product, process or service they wish to
commercialise and trade to customers external to the state or
territory of the Applicant’s place of business;
c.
have a combined annual turnover of less than the $20 million
turnover limit for each of the three years prior to the lodgement of
the application; and
d. have ownership, access to, or the beneficial use of, any intellectual
property that is the subject of, or is necessary to carry out the
Eligible Project.
51.
In clause 50(c) the combined annual turnover must include the turnover
of the Applicant and of each related body corporate (if any) at the time
the Programme Delegate receives the application, except where the
applicant is controlled by a Publicly Funded Research Organisation, in
which case the turnover of the Applicant in isolation must be less than
$20 million for each of the three years prior to the lodgement of the
Application.
52.
For the avoidance of doubt, clauses 44(a-d), 45 – 47do not apply to
Applicants of Accelerating Commercialisation.
53.
Consistent with the objectives of the Programme, and Elements, the
Overarching Programme Delegate and Programme Delegates may agree
on a case by case basis to provide services from other Elements to
Participants of Accelerating Commercialisation.
Applications
54.
Applications for the Programme, unless advised otherwise, must be
completed and submitted electronically through Business.gov.au
(Applicants are encouraged to review the relevant Customer Information
Guide prior to completing the application form.)
55.
An application for the Programme must:
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a.
be completed by the Applicant or an authorised representative of
the Applicant; and
b.
provide all the information required by, and specified in, the
application form.
Application assessment
56.
The Programme uses a demand-driven process whereby applications
that satisfy stated eligibility criteria receive funding, up to the limit of
available appropriations and subject to revision, suspension or abolition
of the granting activity. With the following exclusions:
a. Business Growth Services which operates on a merit basis as
outlined in Schedule A; and
b. Accelerating Commercialisation which operates on a merit basis as
outlined in Schedule C.
57.
The Programme Delegate will determine whether an application is
eligible under the Programme Guidelines.
58.
Subject to available funding, the Programme Delegate will approve
Eligible Applications.
Application approval
59.
Applicants are advised formally of the outcome of their application in
writing.
Funding Agreement
60.
The Programme Delegate, on behalf of the Commonwealth, and the
successful Applicant must enter into a Funding Agreement before Grant
funds are provided to the Participant.
61.
Among other things, a Funding Agreement will:
a. ensure that the Commonwealth is empowered to recover Grant
funds in circumstances where the Participant has not complied with
the terms and conditions set out in the Funding Agreement;
b. specify the maximum amount of Grant funding for the project and
the timing, method and conditions of delivery of the Grant;
c.
require that the Participant conduct the project to which the
application relates, including evidence of expenditure claimed;
d. provide for variation and termination of the Funding Agreement and
set out dispute resolution procedures; and
e. include any other matters that the Programme Delegate considers
necessary for the administration of an Element; and
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f.
not be inconsistent with the laws and policies of the
Commonwealth, a State or Territory or these Programme
Guidelines.
Variations
62.
The Programme Delegate may, at his/her discretion, agree with a
Participant to vary the Funding Agreement from time to time.
63.
A variation to a Funding Agreement will only be considered by the
Programme Delegate if it:
a. is consistent with the Programme’s and/or Element’s objective; and
b. is appropriate in all circumstances.
64.
Approved variations to the Funding Agreement must be made in writing
prior to the Funding Agreement end date.
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Schedule A
Entrepreneurs’ Infrastructure Programme
Business Management
Introduction
65.
Business Management will focus on addressing the challenges facing
small and medium businesses through the provision of advice and
facilitation to build management and business capabilities and networks,
ensuring competitive businesses for the future.
66.
Business Management is delivered through a national network of
experienced Advisers and Facilitators and supported by Industry
Partners.
67.
Applicants who meet the relevant eligibility and merit criteria will be
eligible to receive Services subject to available resources and funding.
Commencement
68.
Business Management commenced on 1 July 2014 and will be ongoing.
Transition Arrangements
69.
These Programme Guidelines apply for the purposes of the Business
Management Element of the Programme from 1 November 2014 and are
not a replacement of existing services or offerings provided by the
Department before then.
70.
Applicants applying for a Business Growth Grant to implement a
recommendation(s) identified in a Business Review Report or Continuous
Improvement Report or Continuous Sustainable Improvement Plan under
the Enterprise Connect programme do not need to satisfy the eligibility
criteria listed in clauses 44(a-b) and 45 – 47.
Objective
71.
Business Management will help to achieve the overall Programme
objective by:
a. improving business capability;
b. increasing sales, revenue and profit of small and medium
businesses;
c.
improving products, services and processes of small and medium
businesses; and
d. assisting small and medium businesses to grow, increase market
participation and export participation.
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72.
The key outcomes from Business Management may include the
following:
a. Participants to improve business performance and capability;
b. Participants extend their networks and increase their capacity to
collaborate;
c.
Participants achieve growth in revenue and profitability;
d. Participants access supply chain opportunities;
e. Participants identify and leverage growth opportunities; and
f.
Participants improve global market awareness and engagement.
Activities
73.
Business Management comprises the following activities:
a. Business Evaluation – a holistic analysis of the eligible business
carried out on-site by skilled and experienced Advisers. At the
conclusion of a Business Evaluation, the business will be provided
with a Business Evaluation Report accompanied by a range of
recommendations for improvement.
b. Supply Chain Facilitation – services delivered to small and medium
businesses to facilitate individual business access to supply chain
opportunities in the five Growth Sectors and to facilitate capability
development for businesses to meet supply requirements through
an Information Service, Supplier Improvement Plan or Customer
Connections.
c.
Business Growth Services – supports an eligible High Growth
Potential Business over an Extended Engagement of up to two
years, to embed strategic business improvements targeting growth
capability. The Adviser will conduct an initial growth capability
assessment, develop a customised and agreed Growth Plan,
provide access to Services delivered by specialist Advisers and/or
Facilitators, and broker connections to expert networks to embed
change and accelerate growth.
d. Business Growth Grant - reimburses Applicants after completion of
the project for up to half of the cost of engaging a consultant (up to
a maximum of $20,000) to make business improvements that were
recommended in the Business Evaluation Report or Supplier
Improvement Plan or Growth Plan under the Programme or
Business Review Report or Continuous Improvement Report or
Continuous Sustainable Improvement Plan under the Enterprise
Connect programme.
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Eligibility
74.
To be eligible for Business Evaluation, Supply Chain Facilitation, or
Business Growth Services, businesses must meet the eligibility criteria
set out in Part 3 of the Programme Guidelines and the following criteria.
75.
Applicants for the Business Evaluation must have not previously received
a Business Evaluation under the Programme or Business Review under
the Enterprise Connect programme, in the last five years.
76.
To be eligible to participate in a Customer Connections event, individual
small and medium businesses must have completed, or be engaged in, a
Business Evaluation or Supplier Improvement Plan, or Growth Plan
under the Programme, or a Business Review under the Enterprise
Connect programme.
77.
To be eligible for the Business Growth Services, businesses must also be
assessed as being a High Growth Potential Business against the merit
criteria in the Business Growth Services Gateway Assessment.
78.
To be eligible for Business Growth Grants, Applicants must:
a. have received a Business Evaluation Report or Supplier
Improvement Plan or Growth Plan under the Programme, or
Business Review Report or Continuous Improvement Report or
Continuous Sustainable Improvement Plan under the Enterprise
Connect programme;
b. be implementing a recommendation(s) identified in the Business
Evaluation Report or Supplier Improvement Plan or Growth Plan
under the Programme, or Business Review Report or Continuous
Improvement Report or Continuous Sustainable Improvement Plan
under the Enterprise Connect programme; and
c.
79.
be able to fund the total value of the costs of engaging a consultant
to implement the recommendation(s) before claiming payment of
the Grant funds (which are worth half of the total value up to a
maximum Grant of $20,000).
An Eligible Application for a Business Growth Grant, must:
a. provide a quote from two different consultants to implement part or
all of the recommendations in the report or plan identified in clause
80;
b. demonstrate the preferred consultant is bringing new areas of
expertise to the business;
c.
demonstrate the work involved is not part of the ordinary
operations of the business; and
d. demonstrate how the project will build identified capabilities.
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80.
Applicants must apply for a Business Growth Grant within six months of
receipt of the Business Evaluation Report or Supplier Improvement Plan,
or Business Review Report, Continuous Improvement Report or
Continuous Sustainable Improvement Plan under the Enterprise Connect
programme, or within two years of receipt of the Growth Plan, unless
otherwise agreed by the Programme Delegate.
81.
A Business Growth Grant can only fund activities directly related to the
implementation of recommendations identified in the Business Evaluation
Report, or Supplier Improvement Plan or Growth Plan, or Business
Review Report, or Continuous Improvement Report, or Sustainable
Improvement Plan under the Enterprise Connect programme.
Merit Criteria for Business Growth Services
82.
In order to access Business Growth Services, Eligible Applicants must be
assessed by an Adviser as being a High Growth Potential Business
against the merit criteria in the Business Growth Services Gateway
Assessment.
83.
Merit criteria in the Business Growth Services Gateway Assessment
measure the extent to which the business has:
a. market expansion opportunities;
b. management commitment to innovation and growth;
c.
sound business operations and systems that can be scaled; and
d. financial capacity to fund growth.
Applications
84.
Applications for Business Evaluations, Supply Chain Facilitation and
Business Growth Services may be lodged at any time during the life of
the Programme.
85.
Applications for Business Growth Grants must be made within the time
period set out in clause 80, and are subject to available funding. If
funding is no longer available, information will be published on
Business.gov.au to advise that the Programme is closed to new
applications.
Payment of grant funds
86.
Grant funds will be paid in arrears following the completion of the
Business Growth Grant project and acquittal of associated costs.
Programme Delegate
87.
The Programme Delegate will occupy the position of General Manager,
AusIndustry.
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88.
The Programme Delegate is responsible for:
a. determining the eligibility of applications;
b. ensuring overall efficient and effective administration of the
Programme;
c.
approving applications for Business Evaluations, Supply Chain
Facilitation, Business Growth Services and Business Growth
Grants;
d. entering into Funding Agreements on behalf of the Commonwealth;
e. authorising payments of Grant funds by the Commonwealth to
Participants; and
f.
approval of all customer documentation.
89.
The Programme Delegate will carry out other functions as authorised by
the Minister.
90.
The Programme Delegate’s decision is otherwise final in all matters.
Advisers and Facilitators
91.
The Commonwealth may engage Industry Partners to provide Advisers
and Facilitators to assist in the delivery of Business Management. The
role of these Advisers and Facilitators includes, but is not limited to:
a. providing advice and mentoring to Participants;
b. assisting Participants in developing their professional networks and
providing connections;
c.
fostering innovation, productivity, and continuous improvement in
Participants;
d. alliance building between Participants;
e. mapping capability and connections for Participants;
f.
providing recommendations to Participants to embed
improvements in their business;
g. engaging specialists for provision of specialist services and advice;
h. understanding and drawing on knowledge from the Industry Growth
Centres;
i.
providing the Commonwealth with industry intelligence; and
j.
undertaking other activities agreed by the Commonwealth.
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Schedule B
Entrepreneurs’ Infrastructure Programme
Research Connections
Introduction
92.
Research Connections will focus on helping small and medium
businesses to collaborate with the research sector to develop new ideas
with commercial potential.
93.
Research Connections will operate as a facilitation Service, with
Facilitators assessing business’ knowledge gaps and providing specialist
support. The Service will include identifying critical and strategic research
needs and opportunities for the business; supporting the business to
connect with sources of expertise, technology and advice; and providing
pathways to engage and collaborate with the research sector, which may
include a matched funding Grant that provides direct access to research
capability.
94.
Applicants who meet the relevant eligibility criteria will be eligible to
receive the relevant Service subject to available resources and funding.
Commencement
95.
Research Connections commenced on 1 September 2014 and will be
ongoing.
Objective
96.
Research Connections will help achieve the overall Programme objective
by:
a. increasing collaboration across business and Researchers to build
capability in a business to develop new ideas with commercial
potential;
b. supporting individual small and medium businesses to address
systemic challenges to competitiveness e.g. accessing information,
obtaining external advice, and finding the time and resources
needed for effective innovation; and
c.
97.
increasing understanding and awareness at the individual business
level of the benefits of developing relationships with the research
sector.
The key outcomes from Research Connections may include increases in
the:
a. number of businesses accessing Research Connections;
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b. number of businesses that report establishing a new or ongoing
relationship with a Publicly Funded Research Organisation(s) as a
result of involvement in Research Connections;
c.
number of businesses that report an improved understanding or
awareness of the benefits of developing relationships with the
research sector, as a result of involvement in Research
Connections; and
d. number of businesses that report organisational change as a result
of their involvement in Research Connections i.e. to support their
ability to address systemic challenges to competitiveness
e. number of businesses that report business growth as a result of
their involvement in Research Connections e.g. an increase in
staff.
98.
It is expected that over time, Research Connections may also deliver the
following outcomes:
a. new goods or services that assist a business to more effectively
compete;
b. increased understanding and awareness by business of the
process and benefits of undertaking research and development
and developing a positive attitude in embracing and engaging with
the research sector and other external advice;
c.
an increase in the number of businesses collaborating with Publicly
Funded Research Organisations and establishing a new and
ongoing relationship with a Publicly Funded Research
Organisation;
d. an increase in the capacity of individual businesses to leverage the
Research Connections project to secure additional funding from
other sources once the project is completed; and
e. better links between Publicly Funded Research Organisations and
industry which enable Publicly Funded Research Organisations to
better align their research strategies to the needs of industry.
Activities
99.
Research Connections will be delivered as a facilitation Service that
provides expert advice on solutions for business to knowledge-related
issues, and a brokering service to link businesses with appropriate
knowledge providers and research organisations.
100. Following a business research needs assessment by Research
Connections, businesses will have access to a facilitated one-on-one
Service where Facilitators will work with businesses to:
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a. diagnose knowledge-related issues and/or opportunities (i.e.
technology, information technology, testing and prototyping
facilities, new market opportunities, advanced materials);
b. identify critical research areas for improvement (products,
processes and/or services);
c.
identify strategic research opportunities into new or existing
markets;
d. connect to the most appropriate source of expertise, suppliers of
technology and technical knowledge advice;
e. provide pathways for research sector engagement and
collaboration; and/or
f.
accelerate business access to Science, Technology, Engineering
and Mathematics (STEM) expertise, including by promoting
research organisations’ work integrated learning initiatives.
101. Following the facilitated Service, Facilitators may also work with
Participants to provide access to up to 12 months of financial assistance
in the form of a matched funding Grant worth up to $50,000 to support:
a. engagement of a Publicly Funded Research Organisation to
undertake research activities on the business’ behalf;
b. the placement of a Researcher in the business in order to develop
and implement a new idea with commercial potential;
c.
access to research infrastructure; and/or
d. access to other forms of research capability, as determined by the
business research needs assessment.
102. A Recipient may apply for a second Research Connections Grant at the
end of the first so as to continue the research relationship. Applications
will be accepted within six weeks of the completion of the first granting
period. This will mean that businesses will, in effect, be eligible to apply
for $100,000 of funding support over 24 months.
103. Research Connections will be delivered by a national network of
Facilitators. Facilitators will have first-hand business experience, can
empathise with local industry and will have the networks to enable
appropriate linkages between both sectors. They will be specialists in
technology, industry research and relationship building.
Eligibility
104. To be eligible for Research Connections, businesses must meet the
eligibility criteria set out in Part 3 of the Programme Guidelines.
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105. Businesses may only access the facilitated Service following completion
of a business research needs assessment.
106. In addition to clause 104, in order to access a Grant under Research
Connections, businesses will be required to:
a. undergo an application process following the facilitated Service;
b. be able to fund the total value of the cost of the Research
Connections project before claiming payment of the Grant funds
(which are worth 50 per cent of the total value);
c.
demonstrate a need for Commonwealth funding (including that they
are unable to access funding through another means, such as from
state or territory governments or existing business development
support services through research organisations); and
d. demonstrate that the research will support a project of commercial
relevance to the business.
107. Applicants must apply for a Research Connections Grant within
12 months of completion of the Research Connections facilitated Service
unless otherwise agreed by the Programme Delegate.
108. A Research Connections Grant can only fund activities directly related to
the outcomes of the facilitated Service.
Applications
109. Applications for Research Connections may be lodged at any time during
the life of the Programme.
110. The Programme Delegate may agree that a Publicly Funded Research
Organisation can enter into a Funding Agreement with the
Commonwealth for a Research Connections Grant at the request of an
Applicant for the purposes of providing research capability to that
Applicant.
Payment of grant funds
111. Grant funds will be paid in arrears following the completion of the
Research Connections project and acquittal of associated costs for the
total value of the project (including matched funding).
Programme Delegate
112. The Programme Delegate will occupy the position of General Manager,
AusIndustry.
113. The Programme Delegate is responsible for:
a. determining the eligibility of applications;
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b. ensuring overall efficient and effective administration of the
Research Connections of the Programme;
c.
approving applications for Research Connections Grants;
d. entering into Funding Agreements on behalf of the Commonwealth;
e. authorising payments of Grant funds by the Commonwealth to
Participants; and
f.
approval of all customer documentation.
114. The Programme Delegate will carry out other functions as authorised by
the Minister.
115. The Programme Delegate’s decision is otherwise final in all matters.
Research Facilitators
116. The Commonwealth may engage Industry Partners to provide Advisers
and Facilitators to assist in the delivery of Research Connections. The
role of these Advisers and Facilitators includes, but is not limited to:
a. providing advice and mentoring to Participants, including
knowledge-related issues and/or opportunities
b. fostering innovation, productivity, and continuous improvement in
Participants;
c.
identify strategic research opportunities;
d. alliance building between Participants;
e. mapping capability and connections for Participants;
f.
providing recommendations to Participants;
g. understanding and drawing on knowledge from the Industry Growth
Centres; and
h. undertaking other activities agreed by the Commonwealth.
Schedule C
Entrepreneurs’ Infrastructure Programme
Accelerating Commercialisation
Introduction
117. Accelerating Commercialisation will focus on helping Australian
entrepreneurs, researchers, inventors, start-ups, commercialisation
offices and small and medium sized enterprises address the challenges
associated with commercialising novel intellectual property in the form of
new products, processes and/or services.
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118. Accelerating Commercialisation will operate as an advisory Service, with
Commercialisation Advisers providing expert guidance and connections
to assist Applicants find the right commercialisation solutions for their
new product, process or service, which may include a matched funding
Grant that provides support for commercialisation activities.
119. Applicants who meet the relevant eligibility and merit criteria will be
eligible to receive Services subject to available resources and funding.
Commencement
120. Accelerating Commercialisation commenced on 1 November 2014 and
will be ongoing.
Transitional Arrangements
121. Participants under the Commercialisation Australia programme will
continue to receive the services outlined in their current funding
agreements. These Commercialisation Australia participants will be
included in the Portfolio (see clause 126) for the duration of the funding
agreement.
Objective
122. Accelerating Commercialisation will help achieve the overall Programme
objective by:
a. accelerating the commercialisation of novel intellectual property in
the form of new products, processes and services;
b. creating new businesses based on novel intellectual property with
high growth potential; and
c.
facilitating greater commercial and economic returns from both
public and private research and development investment to drive
business growth and competitiveness.
123. The key outcomes for Accelerating Commercialisation may include the
following:
a. Applicants and Participants improve their skills and experience
relevant to commercialising their product, process or service;
b. Participants extend their networks to accelerate their
commercialisation process;
c.
Participants attract private investment;
d. Participants expand their intellectual property portfolio;
e. Participants attain and grow export sales;
f.
Participants achieve growth in revenue and profitability; and
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g. Participants increase their number of employees.
Activities
124. Following an expression of interest process, services available may
include access to:
a. Commercialisation Advisers who may provide initial guidance and
feedback on the expression of interest; and/or
b. referrals to other Federal and State Government programmes, if
applicable.
125. Additional support and funding assistance may also be available
following a competitive application process under Accelerating
Commercialisation. This could include one or more of the following:
a. support from a Commercialisation Adviser who may provide some
of the services listed in clause 153;
b. opportunity to access the Expert Network (via a Commercialisation
Adviser) to help make important business connections, create
opportunities to raise capital and/or enter new markets;
c.
exposure to investors and multi-national corporations through
domestic and international roadshows;
d. Grants to assist in bringing new products, processes or services to
market of up to:
i. $250,000 for Commercialisation Offices and Eligible
Partner Entities; or
ii. $1 million for all other Applicants.
e. potential opportunities to access other Element offerings under the
Programme.
126. If an Applicant is successful in entering Accelerating Commercialisation
they will automatically join the Portfolio. If the Applicant:
a. has succeeded without receiving Grant assistance, services will
be available for a period of up to 24 months, or
b. has succeeded in receiving Grant assistance, services will be
available for a period of up to 24 months. Grant assistance is
available to support Eligible Projects up to 50 per cent of the
Eligible Expenditure up to a maximum of $1 million.
Eligibility
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Eligible Applicants
127. To be eligible for Accelerating Commercialisation, Applicants must meet
the eligibility criteria set out in Part 3 of these Programme Guidelines.
128. To be eligible to apply for Grant funding, in addition to meeting clause
127, the Applicant must also be able to demonstrate an ability to fund at
least 50 per cent of the Eligible Expenditure of the Eligible Project, other
than from Government Grant Sources.
Eligible Projects
129. An Eligible Project under Accelerating Commercialisation must aim to
achieve at least one of the following:
a. complete the development of a novel product, process or
service;
b. prove commercial viability of a novel product, process or service;
c. make the first sales of a novel product, process or service in
Australia or overseas; or
d. drive the business towards commercialisation of its novel
product, process or service.
Eligible Applications
130. An Eligible Application under Accelerating Commercialisation must:
a. be from an Eligible Applicant;
b. involve an Eligible Project;
c.
be complete and contain sufficient information to undertake a merit
assessment; and
d. be in the form required.
131. For applications to be eligible for Grant funding they must also include
the following:
a. Eligible Expenditure;
b. a project period not exceeding a maximum of two years. There is
no minimum project duration;
Applications
132. Applications for Accelerating Commercialisation may be lodged at any
time during the life of the Programme, and may not necessarily be
preceded by an Expression of Interest.
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133. Information relating to the application process will be provided in the
Customer Information Guide.
Merit Criteria
134. Eligible Applications will be assessed on a competitive basis against the
merit criteria listed below.
a. Need for funding
b. Market opportunity
c. Value proposition
d. Execution plan
e. Management capability
f. National benefits
135. Eligible Applications that are not for Grant funding will be assessed on all
the criteria except for ‘need for funding’.
136. Eligible Applications for Grant funding will be assessed first against the
merit criterion at clause 134(a). Only applications that demonstrate a
‘need for funding’ may receive a merit ranking.
a. Commercialisation Offices and Eligible Partner Entities are not
required to satisfy the ‘need for funding’ criteria.
137. The merit criteria at clauses 134(b-f inclusive) are equally weighted.
138. In assessing the merit criteria, priority will be given through additional
credit under clause 134(f) to those Applicants that have Eligible Projects
within the Growth Sectors listed in clause 45(a-e).
Assessment process and merit ranking
139. Only applications deemed eligible by the Programme Delegate under
clauses 129–131 will proceed to the merit assessment stage.
140. Where an application is deemed to be an Eligible Application, the
Programme Delegate:
a. may seek advice from Commercialisation Advisers and/or
departmental officers in conducting a merit assessment for Services
applications; and
b. may refer Grant applications to an advisory committee for merit
assessment.
i. the advisory committee will assess eligible Grant applications
and provide a merit ranking advice to the Programme
Delegate.
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Decision
141. The Programme Delegate may approve applications and enter into a
Services Agreement or Funding Agreement with the Applicant.
142. Where merit rankings have been provided by an advisory committee to
the Programme Delegate, he/she must take the merit rankings into
account in deciding whether to approve an application.
143. The Programme Delegate must not approve an application for Grant
funding if he/she reasonably considers that the application cannot be
accommodated within the Programme Funds available for the financial
years to which the application relates, following an assessment of:
a. existing commitments of Programme Funds in the current financial
year;
b. existing commitments in future years; and
c. Programme Funds currently available.
144. The Programme Delegate’s decision is otherwise final in all matters.
Agreements
145. In addition to the requirements under Part 3 of the Programme
Guidelines, the:
a. Services Agreement must specify the type of support for the
project to which the application relates, the timing, method and
conditions of delivery of support;
b. Funding Agreement must specify the type of support and any
amount of Grant funding, for the Eligible Project to which the
application relates, the timing, method and conditions of delivery of
support and financial assistance; and
c. must not be inconsistent with the laws or policies of the
Commonwealth, a State or Territory or these Programme
Guidelines.
146. For any Services Agreement or Funding Agreement, the Programme
Delegate may include other matters considered necessary for the
administration of Accelerating Commercialisation.
Submission of a new application
147. The Programme Delegate may refuse to accept a new application if
he/she deems that it is substantially the same as a previous ineligible or
unsuccessful application.
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Programme Delegate
148. In addition to the matters specified at clauses 17 and 18 of the
Programme Guidelines, the Programme Delegate:
a. is responsible for:
i. ensuring the overall efficient and effective administration
of Accelerating Commercialisation;
ii. determining the eligibility of applications for merit
assessment;
iii. entering into Services Agreements and Funding
Agreements on behalf of the Commonwealth with
Participants;
iv. authorising payments of Grant funds by the
Commonwealth to Participants;
v. engaging private sector consultants as Commercialisation
Advisers with appropriate skills and expertise in
commercialisation to assist in the delivery of the
Programme;
vi. monitoring the performance of Commercialisation
Advisers;
vii. determining whether an entity qualifies as an Eligible
Partner Entity and
viii. engaging, to act as volunteer members of the Expert
Network, experienced people able to offer knowledge,
skills and insights to assist Participants to commercialise
novel intellectual property in the form of new products,
processes and/or services.
b. may carry out other functions as authorised by the Minister.
149. The Programme Delegate may make a Customer Information Guide and
amend them from time to time which may include:
a. the indicators of merit for some or all of the merit criteria;
b. the types of expenditure that are eligible and ineligible and when
such Eligible Expenditure may be incurred;
c. the scope of Eligible Projects and any exceptions of eligibility to
avoid duplication with other government programmes;
d. the general conditions an entity must satisfy in order to qualify as a
Commercialisation Office or an Eligible Partner Entity; and
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e. a definition of Government Grant Sources for the purposes of
Accelerating Commercialisation.
150. The Programme Delegate may make other guidelines necessary for the
benefit of potential applicants, participants and other interested parties.
151. The Programme Delegate may consider requests that extend the Eligible
Project duration and/or Grant amount after a Participant has entered into
an Agreement with the Commonwealth if the Programme Delegate
reasonably considers the request:
a. satisfies the conditions set out in clauses 63;
b. the maximum project duration in clause 131(b) is not exceeded;
and
c. the maximum grant amount in clause 125 (d) is not exceeded.
Advisory Committee
152. An advisory committee of up to five members appointed by the Minister
will provide merit assessments and merit rankings (of referred
applications) to the Programme Delegate in relation to Accelerating
Commercialisation applications
Commercialisation Advisers
153. The role of the Commercialisation Adviser may include, but is not limited
to:
a. providing guidance to Participants with respect to Accelerating
Commercialisation;
b. the assessment of applications;
c. developing and maintaining links with the Industry Growth Centres;
d. consulting with the relevant Industry Growth Centre on relevant
applications and other matters as required;
e. guiding and assisting Participants through the commercialisation
process including facilitating access to expertise, specialist advice
and professional networks;
f. assisting Applicants in exploring alternative means of financing
their project; and
g. undertaking other activities agreed by the Commonwealth.
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Appendix 1: Definitions of Key Terms
The following definitions apply for the purpose of interpreting these Programme
Guidelines. It is not intended to be a substitution for the defined terms in any Funding
Agreement.
Accelerating
Commercialisation
The Programme Element described in Schedule C of these Programme
Guidelines.
Adviser
Skilled adviser with private sector experience and access to an array of
industry resources engaged by Industry Partners to assist in the delivery
of Business Management and Research Connections.
Advisory
Committee
The committee described in clause 152.
Applicant
An entity that submits an application for a Service or Grant under the
Programme.
Business
Evaluation
The activities described in clause 73(a) of Schedule A of these
Programme Guidelines.
Business
Evaluation Report
A report provided to the business at the completion of a Business
Evaluation that documents the findings and recommendations.
Business Growth
Grant
The activities described in clause 73(d) of Schedule A of these
Programme Guidelines
Business Growth
Services
The activities described in clause 73(c) of Schedule A of these
Programme Guidelines
Business Growth
Services Gateway
Assessment
A process to assess whether an eligible business has sufficient growth
potential and growth orientation to be considered as a High Growth
Potential Business.
Business
Management
The Programme Element described in Schedule A of these Programme
Guidelines.
Business Review
Report
A report provided to the business at the completion of a Business
Review under the Enterprise Connect programme that documents the
findings and recommendations.
Commercialisation
Adviser
Skilled adviser with private sector experience and access to an array of
industry resources engaged by the Commonwealth to assist in the
delivery of Accelerating Commercialisation as described in clause 153 of
Schedule C.
Commercialisation
Office
An entity of a Publicly Funded Research Organisation that assists
researchers in commercialising their intellectual property and is a
corporation.
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Continuous
Improvement
Report
A report provided to the business following the facilitation of services
under the Enterprise Connect programme that documents the findings
and the agreed prioritised action plan.
Continuous
Sustainable
Improvement Plan
A report provided to the business following the facilitation of services
under the Enterprise Connect programme that documents the findings
and the agreed prioritised action plan for continuous improvement.
Customer
Connections
A Service provided under Supply Chain Facilitation which provides
engagement events for small and medium businesses to connect with
supply chain partners.
Customer
Information Guide
A document that provides prospective Applicants with information on a
Service or Grant including:

what is provided within the Service or Grant;

eligibility;

how to apply; and

the obligations of successful Applicants.
Department
The Commonwealth Department of Industry and Science.
Entrepreneurs’
Infrastructure
Programme
The Programme in which a framework of elements are designed to
support small and medium businesses to drive business growth and
competitiveness.
Element
As defined in clause 2.
Eligible Applicant
An Applicant that meets the requirements of clauses 43 – 47, or clause
49 – 51 for Accelerating Commercialisation.
Eligible
Application
An application that meets the requirements of clauses 54 – 55, or
clauses 130 – 131 for Accelerating Commercialisation.
Eligible
Corporation
A corporation incorporated under the Corporations Act 2001 (Cth) will be
an ‘eligible corporation’ for the purposes of the Programme if its trading
activities:
a.
form a sufficiently significant proportion of its overall activities as
to merit it being described as a trading corporation; or
b.
are a substantial and not merely peripheral activity of the
corporation.
Eligible
Expenditure
Eligible Expenditure is restricted to expenditure incurred directly on the
Eligible Project as detailed in the Funding Agreement. Detailed guidance
on Eligible Expenditure is outlined in the Customer Information Guide.
Eligible Partner
Entity
An entity that assists individuals in commercialising novel intellectual
property and is an Eligible Corporation.
Eligible Project
A project which aims to commercialise novel intellectual property in the
form of new products, processes and/or services.
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Extended
Engagement
A period of up to two years over which the Business Growth Services
will be provided.
Expert Network
A network of experienced people able to offer knowledge, skills and
insights on an honorary basis to commercialise novel intellectual
property in the form of new products, processes and/or services.
Facilitator
An industry skilled professional who works with business, and are
engaged by Industry Partners to provide practical advice and then
facilitate access to the most appropriate research, knowledge or
technical expertise under Business Management and Research
Connections.
Funding
Agreement
A legally binding contract between the Commonwealth and a Recipient.
GST
Has the same meaning as in the A New Tax System (Goods and
Services Tax) Act 1999. Unless otherwise stated, amounts are GST
exclusive.
Government Grant
Sources
Sources that include, but are not limited to, grants from federal, state,
local and international government programmes.
Grant
The funds provided by the Commonwealth to the Recipient as set out in
a Funding Agreement under the Programme.
Growth Plan
A report provided to the business following the facilitation of Business
Growth Services that documents the findings and the agreed prioritised
action plan for growth.
Growth Sectors
Advanced Manufacturing; Food and Agribusiness; Medical Technologies
and Pharmaceuticals; Mining Equipment, Technology and Services; and
Oil, Gas and Energy Resources. Detailed guidance on the Growth
Sectors is outlined in the Customer Information Guides.
High Growth
Potential Business
A business that has the demonstrated appetite and opportunity for rapid
growth which benefits the economy through increased revenue and jobs,
as assessed during the Business Growth Services Gateway
Assessment.
Industry Growth
Centre
A not for profit organisation operating in one of the five Growth Sectors
funded by the government.
Industry Partner
An organisation engaged by the Commonwealth under a contract for
services to deliver Services under Business Management and Research
Connections.
Information
Service
A Service under Supply Chain Facilitation that provides information to
raise small and medium business’ awareness of specific supply chain
opportunities and tendering requirements and processes.
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Minister
The Minister with portfolio responsibility for the Programme.
Overarching
Programme
Delegate
An employee of the Department, who has been empowered by the
Minister or otherwise duly authorised person to administer the
Programme. This employee will have seniority over the Programme
Delegates.
Participant
An Eligible Applicant whose Eligible Application has been approved in
accordance with these Guidelines.
Portfolio
An aggregation of Accelerating Commercialisation Participants brought
together for global visibility to investors, other entrepreneurs, domain
experts, supply chains and strategic corporations.
Programme
The Entrepreneurs’ Infrastructure Programme.
Programme
Delegate
An employee of the Department, who has been empowered by the
Minister or otherwise duly authorised person to administer the
Programme.
Programme Funds
or Programme
Funding
The funding made available by the Commonwealth for Accelerating
Commercialisation in any given financial year, being the funding
specified in the Portfolio Budget Statement (as varied by any Portfolio
Additional Estimates Statement or by the Minister) for that year.
Programme
Guidelines
The Entrepreneurs’ Infrastructure Programme Programme Guidelines
issued by the Commonwealth, and as amended by the Commonwealth
from time to time.
Publicly Funded
Research
Organisation
All higher education providers listed at Table A and Table B of the
Higher Education Support Act 2003 as well as Australian Government
departments or agencies which undertake publicly funded research. This
includes, but is not limited to, Commonwealth Scientific and Industrial
Research Organisation, Defence Science and Technology Organisation,
Australian Institute of Marine Science and Australian Nuclear Science
and Technology Organisation.
Related Body
Corporate
Has the same meaning as in section 50 of the Corporations Act 2001
(Cth)
Remote Australia
As defined by the Australian Bureau of Statistics Remoteness
Classification 2006, see the ABS Remoteness Structure for more
information.
Research
Connections
The Programme element described in Schedule B of these Programme
Guidelines.
Researcher
An employee of a Publicly Funded Research Organisation employed as
a researcher or enrolled as a Higher Degree by Research student.
Schedule
Any schedule of these Programme Guidelines.
Sector
A group of organisations undertaking economic activities similar with the
Division level of the Australian and New Zealand Standard Industrial
Classification 2006.
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Services
Includes the services and activities described in any Schedule.
Services
Agreement
An agreement entered into by a Participant and the Commonwealth in
relation to Service under the Accelerating Commercialisation (excluding
Funding Agreements).
Solvent
The business is able to pay all debts when they fall due for payment.
Supply Chain
Facilitation
The activities described in clause 73(b) of Schedule A of these
Programme Guidelines
Supplier
Improvement Plan
A tailored plan for individual small and medium businesses receiving
Supply Chain Facilitation that identifies and addresses key capability
and skills gaps and provides a series of practical recommendations to
help improve access to domestic and international supply chains.
In these Guidelines:

'may' is permissive and not mandatory;

a reference to the singular includes the plural and vice versa; and

if a word or phrase is defined its other grammatical forms have corresponding
meanings.
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