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Environment—Salmon farming industry—Cooperative Research Centres Program grant award—Order of 29 March 2022 (1313)—Letter to the President of the Senate from the Minister for Science and Technology (Ms Price), dated 27 April 2022, responding to the order and raising public interest immunity claims, and attachments


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OFFICIAL

THE HON MELISSA PRICE MP MINISTER FOR DEFENCE INDUSTRY MINISTER FOR SCIENCE AND TECHNOLOGY

Parliament House Canberra ACT 2600 Telephone (02) 6277 7840

OFFICIAL

MC22-001391

Senator the Hon Slade Brockman

President of the Senate Parliament House CANBERRA ACT 2600

Dear Mr President

On 29 March 2022, Senator Whish-Wilson requested information through an Order for the Production of Documentation to be tabled by the Minister representing the Minister for Industry, Energy and Emissions Reduction, concerning producing documentation relating to the application made by Ridley Agriproducts Pty Ltd in respect of the Cooperative Research Centres Programme grant award GA72953 (‘Future-proofing the salmon farming industry in the face of climate change’). This request has been referred to me as the Minister for Science and Technology as the matter falls within my portfolio responsibilities.

Under Standing Order 166, this request has been prepared to be presented to you as the President of the Senate.

In preparing the requested information, Ridley Agriproducts Pty Ltd has identified instances within the requested material which are considered commercial-in-confidence. Due to the potential harm to the public interest in disclosing all information in this request, I have claimed public interest immunity on the grounds of disclosure of the information Ridley Agriproducts Pty Ltd has requested be redacted at this time would, on balance, be contrary to the public interest as:

• Disclosure of this information could be detrimental to Australia’s industry (by potentially giving commercial advantage to international competitors), and could undermine the objectives of the CRC grant program, therefore diminishing the impact of the Government’s investment in the program.

• Disclosure at this point of the Project would also cause significant prejudice to the participants:

o Commercially sensitive intellectual property that is still being developed would be disclosed publicly at a point where that intellectual property cannot yet be protected or commercialised, and Ridley’s methods of research for developing that intellectual property would also be disclosed.

26/09/2019 portal.business.gov.au

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Application CRCPEIGHT000074

Application Summary

Application ID CRCPEIGHT000074

Application Title CRCPEIGHT - RIDLEY AGRIPRODUCTS PTY LTD

Program Name Cooperative Research Centres Projects Round 8

Organisation RIDLEY AGRIPRODUCTS PTY LTD.

Research Organisation GENICS PTY LTD

Submitted Date 24/09/2019

Program selection

Are you a trustee on behalf of a trust?

No

Entity Details

Australian Business Number (ABN) 94006544145

Australian Company Number (ACN) 006544145

Legal name RIDLEY AGRIPRODUCTS PTY LTD.

Date of registration of ABN 1/04/2000

GST Registered Yes

Are you a charity registered with the Australian Charities and Not-for-prots Commission (ACNC)?

No

Are you a not-for-prot?

No

Australian and New Zealand Standard Industrial Classication (ANZSIC) Details

ANZSIC Division C - Manufacturing

ANZSIC Class 1192 - Prepared Animal and Bird Feed Manufacturing

Program Selection

Program Cooperative Research Centres Projects Round 8

Program Element Cooperative Research Centres Projects Round 8

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Eligibility

Is your organisation an industry entity where the majority of your revenue is not derived from government sources?

To be eligible as the lead applicant you must:

have an Australian Business Number (ABN) and be an entity incorporated in Australia and a trading corporation, where your trading activities form a suciently signicant proportion of the corporation’s overall activities as to merit it being described as a trading corporation or

are a substantial and not merely peripheral activity of the corporation.

Yes

Will your CRC-P project maintain amongst its project partners at least:

two Australian industry entities including at least one SME and one Australian research organisation?

Yes

Are you able to provide a declaration from each partner on the template provided on business.gov.au?

You must provide this evidence with your application.

Yes

Does your project involve eligible activities?

Eligible activities must directly relate to the project and can include:

new research proof of concept activities pre-commercialisation of research outcomes industry-focused education and training activities, such as internships and secondments between industry entities and research organisations conferences, workshops, symposia related to the joint research related information sharing and communication initiatives related to the joint research.

Yes

Does your project include partner contributions that together at least match the grant amount sought; and has at least $200,000 in total eligible project value?

Yes

Is your project a short term, industry-identied and industry-led collaborative research project to develop a product, service or process that will solve problems for industry and deliver tangible outcomes?

Yes

Will your project benet SMEs and increase their capacity to grow and adapt in changing markets?

Yes

Will your project include education and training activities?

Yes

Applicant address

Business Street Address L 4 565 Bourke St MELBOURNE VIC 3000 Australia

Business Postal Address L 4 565 Bourke St MELBOURNE VIC 3000 Australia

Applicant nancials

Latest Financial Year Figures

Has the applicant existed for a complete nancial year?

Yes

What was the latest complete nancial year?

2018/19

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Recent Trading Performance

Sales Revenue (Turnover) $1,002,583,000

Export Revenue $3,468,624

R&D Expenditure $22,000,000

Taxable Income $47,821,991

Number of employees (headcount) 700

Number of independent contractors (headcount) 30

Project partners

The CRC project partners

GENICS PTY LTD

Is the organisation based in Australia?

Yes

EntityType Incorporated Entity

Australian Business Number (ABN) 86623276586

Australian Company Number (ACN) 623276586

Legal name GENICS PTY LTD

Date of registration of ABN 12/12/2017

GST Registered Yes

Address Details

Is the address located in Australia?

Yes

Business Address Level 5 Building 60 Research Road St Lucia QLD 4067 Australia

Postal Address Level 5 Building 60 Research Road St Lucia QLD 4067 Australia

Contact Details

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Collaborator Primary Contact: Peter Blunt

Title Mr

Given Name Peter

Family Name Blunt

Position Title Chief Operating Ocer

Email Address peter.blunt@genics.com.au

Mobile Number 0467305467

Is the address located in Australia?

Yes

Collaborator Primary Contact: Peter Blunt Address Level 5 Building 60 Research Road St Lucia QLD 4067 Australia

Is the collaborator contributing to the project?

Yes

Contribution

Contribution Type Financial Year

Amount Description

 Cash $0

2019/20 $0

2020/21 $0

2021/22 $0

2022/23 $0

2023/24 $0

 FTE Value $263,580

2019/20 $21,965 Contribution of part FTEs for 2 research assistants to complete testing and analysis, Chief Operating Ocer for project administration and CEO to provide technical lead.

2020/21 $87,860 Contribution of part FTEs for 2 research assistants to complete testing and analysis, Chief Operating Ocer for project administration and CEO to provide technical lead.

2021/22 $87,860 Contribution of part FTEs for 2 research assistants to complete testing and analysis, Chief Operating Ocer for project administration and CEO to provide technical lead.

2022/23 $65,895 Contribution of part FTEs for 2 research assistants to complete testing and analysis, Chief Operating Ocer for project administration and CEO to provide technical lead.

2023/24 $0

 Non-sta-in-kind

$225,000

2019/20 $18,750 Contribution of salmon multipath testing in-kind

2020/21 $75,000 Contribution of salmon multipath testing in-kind

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Contribution Type Financial Year

Amount Description

2021/22 $75,000 Contribution of salmon multipath testing in-kind

2022/23 $56,250 Contribution of salmon multipath testing in-kind

2023/24 $0

Total $488,580

Financial Year Amount

2019/20 $40,715

2020/21 $162,860

2021/22 $162,860

2022/23 $122,145

2023/24 $0

Total $488,580

Project partner declaration form The declaration template must be completed by each project partner and is available at business.gov.au Cooperative Research Centres Project Participant Declaration Form.pdf

Please select the project partner type Small or medium industry entity

Project partner's involvement in the CRC-P:

Give details of how the project partner will provide the contributions above.

Describe the project partner’s involvement in the CRC-P.

Describe the project partner’s company structure and relationships with the other project partners (This may include related entities, entities with the same ultimate holding company, entities with common directorship, entities with common major shareholders.) The above contributions will be provided directly by Genics through the provision of with

additional analytical contribution in order to correlate the multipath results against other project data - therefore guiding the implimentation of project knowledge .

Genics is an SME. Genics is a Pty Ltd company. Genics technology is based on a patent with a licence from CSIRO.

DEAKIN UNIVERSITY

Is the organisation based in Australia?

Yes

EntityType Incorporated Entity

Australian Business Number (ABN) 56721584203

Australian Company Number (ACN)

Legal name DEAKIN UNIVERSITY

Business name DEAKIN UNIVERSITY

Date of registration of ABN 1/11/1999

Redacted PII

Redacted PII

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GST Registered Yes

Address Details

Is the address located in Australia?

Yes

Business Address The Nutrition and Seafood Laboratory Queenscli Marine Station 2A Bellarine Highway Queenscli VIC 3225 Australia

Postal Address The Nutrition and Seafood Laboratory Queenscli Marine Station 2A Bellarine Highway Queenscli VIC 3225 Australia

Contact Details

Collaborator Primary Contact: David Francis

Title Dr

Given Name David

Family Name Francis

Position Title Senior Lecturer in Aquaculture Nutrition

Email Address d.francis@deakin.edu.au

Phone Number 0355633083

Mobile Number 0416158795

Is the address located in Australia?

Yes

Collaborator Primary Contact: David Francis Address The Nutrition and Seafood Laboratory Queenscli Marine Station 2A Bellarine Highway Queenscli VIC 3225 Australia

Is the collaborator contributing to the project?

Yes

Contribution

Contribution Type Financial Year

Amount Description

 Cash $252,864

2019/20 $21,072 Provision of cash contribution for 3 PhD stipends

2020/21 $84,288 Provision of cash contribution for 3 PhD stipends

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Contribution Type Financial Year

Amount Description

2021/22 $84,288 Provision of cash contribution for 3 PhD stipends

2022/23 $63,216 Provision of cash contribution for 3 PhD stipends

2023/24 $0

 FTE Value $367,958

2019/20 $30,663 FTE related to part provision of trial facilities and analytical services in order to conduct project activities. Project management and ideation, and management of sta and students engaged through this project.

2020/21 $122,653 FTE related to part provision of trial facilities and analytical services in order to conduct project activities. Project management and ideation, and management of sta and students engaged through this project.

2021/22 $122,653 FTE related to part provision of trial facilities and analytical services in order to conduct project activities. Project management and ideation, and management of sta and students engaged through this project.

2022/23 $91,989 FTE related to part provision of trial facilities and analytical services in order to conduct project activities. Project management and ideation, and management of sta and students engaged through this project.

2023/24 $0

 Non-sta-in-kind

$999,180

2019/20 $83,265 Part provision of trial facilities and analytical services in order to conduct project activities.

2020/21 $333,060 Part provision of trial facilities and analytical services in order to conduct project activities.

2021/22 $333,060 Part provision of trial facilities and analytical services in order to conduct project activities.

2022/23 $249,795 Part provision of trial facilities and analytical services in order to conduct project activities.

2023/24 $0

Total $1,620,002

Financial Year Amount

2019/20 $135,000

2020/21 $540,001

2021/22 $540,001

2022/23 $405,000

2023/24 $0

Total $1,620,002

Project partner declaration form The declaration template must be completed by each project partner and is available at business.gov.au

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Cooperative Research Centres Project Participant Declaration Form - Deakin.pdf

Please select the project partner type Research organisation

Project partner's involvement in the CRC-P:

Give details of how the project partner will provide the contributions above.

Describe the project partner’s involvement in the CRC-P.

Describe the project partner’s company structure and relationships with the other project partners (This may include related entities, entities with the same ultimate holding company, entities with common directorship, entities with common major shareholders.) Deakin will provide cash contribution through the payment of PhD stipends. Other contributions will be provided through making 100% of the Warrnambool trial facilities available to the project, along with its Queenscli nutritional laboratory. Stang will also be provided through a direct contribution in the project lead team, as well as management of sta and students.

Deakin is a Univeristy in Victoria and receives funding from various government sources. Deakin is unrelated to any party in this project, however has a long collaborative R&D relationship with Ridley.

RIDLEY AGRIPRODUCTS PTY LTD.

Is the organisation based in Australia?

Yes

EntityType Incorporated Entity

Australian Business Number (ABN) 94006544145

Australian Company Number (ACN) 006544145

Legal name RIDLEY AGRIPRODUCTS PTY LTD.

Date of registration of ABN 1/04/2000

GST Registered Yes

Address Details

Is the address located in Australia?

Yes

Business Address Shed 4 31 Robart Ct NARANGBA QLD 4504 Australia

Postal Address Shed 4 31 Robart Ct NARANGBA QLD 4504 Australia

Contact Details

Collaborator Primary Contact: Richard Smullen

Title Dr

Given Name Richard

Family Name

26/09/2019 portal.business.gov.au

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Smullen

Position Title Group Technical and R&D Manager

Email Address richard.smullen@ridley.com.au

Phone Number 0738179812

Mobile Number 0428765717

Is the address located in Australia?

Yes

Collaborator Primary Contact: Richard Smullen Address Shed 4 31 Robart Ct NARANGBA QLD 4504 Australia

Is the collaborator contributing to the project?

Yes

Contribution

Contribution Type Financial Year

Amount Description

 Cash $1,200,000

2019/20 $100,000 Direct cash contribution

2020/21 $400,000 Direct cash contribution

2021/22 $400,000 Direct cash contribution

2022/23 $300,000 Direct cash contribution

2023/24 $0

 FTE Value $1,407,600

2019/20 $117,300 Provision of Ridley's R&D Manager to lead the management of this project. Further provision of technical experts in the areas of nutrition, animal physiology, feed manufacture and farming practices, as well as commercial application experts.

2020/21 $469,200 Provision of Ridley's R&D Manager to lead the management of this project. Further provision of technical experts in the areas of nutrition, animal physiology, feed manufacture and farming practices, as well as commercial application experts.

2021/22 $469,200 Provision of Ridley's R&D Manager to lead the management of this project. Further provision of technical experts in the areas of nutrition, animal physiology, feed manufacture and farming practices, as well as commercial application experts.

2022/23 $351,900 Provision of Ridley's R&D Manager to lead the management of this project. Further provision of technical experts in the areas of nutrition, animal physiology, feed manufacture and farming practices, as well as commercial application experts.

2023/24 $0

 Non-sta-in-kind

$480,000

2019/20 $40,000 Manufacture of feeds for use in project trials, as well as provision of Ridley's world class Westbury mill for manufacture based trials (such as pigment trials).

2020/21 $160,000 Manufacture of feeds for use in project trials, as well as provision of Ridley's world class Westbury mill for manufacture based trials (such as pigment trials).

26/09/2019 portal.business.gov.au

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Contribution Type Financial Year

Amount Description

2021/22 $160,000 Manufacture of feeds for use in project trials, as well as provision of Ridley's world class Westbury mill for manufacture based trials (such as pigment trials).

2022/23 $120,000 Manufacture of feeds for use in project trials, as well as provision of Ridley's world class Westbury mill for manufacture based trials (such as pigment trials).

2023/24 $0

Total $3,087,600

Financial Year Amount

2019/20 $257,300

2020/21 $1,029,200

2021/22 $1,029,200

2022/23 $771,900

2023/24 $0

Total $3,087,600

Project partner declaration form The declaration template must be completed by each project partner and is available at business.gov.au Cooperative Research Centres Project Participant Declaration Form PDF.pdf

Please select the project partner type Large industry entity

Project partner's involvement in the CRC-P:

Give details of how the project partner will provide the contributions above.

Describe the project partner’s involvement in the CRC-P.

Describe the project partner’s company structure and relationships with the other project partners (This may include related entities, entities with the same ultimate holding company, entities with common directorship, entities with common major shareholders.) Ridley to complete

COMMONWEALTH SCIENTIFIC AND INDUSTRIAL RESEARCH ORGANISATION

Is the organisation based in Australia?

Yes

EntityType Incorporated Entity

Australian Business Number (ABN) 41687119230

Australian Company Number (ACN)

Legal name COMMONWEALTH SCIENTIFIC AND INDUSTRIAL RESEARCH ORGANISATION

Date of registration of ABN 1/11/1999

GST Registered Yes

26/09/2019 portal.business.gov.au

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Address Details

Is the address located in Australia?

Yes

Business Address 144 North St WOORIM QLD 4507 Australia

Postal Address 144 North St WOORIM QLD 4507 Australia

Contact Details

Collaborator Primary Contact: Nicholas Wade

Title Dr

Given Name Nicholas

Family Name Wade

Position Title Research Scientist, CSIRO Agriculture and Food

Email Address Nick.Wade@csiro.au

Phone Number 0732142309

Mobile Number 0439137661

Is the address located in Australia?

Yes

Collaborator Primary Contact: Nicholas Wade Address Level 5 Csiro Cunningham Lab 306 Carmody Rd ST LUCIA QLD 4067 Australia

Is the collaborator contributing to the project?

Yes

Contribution

Contribution Type Financial Year

Amount Description

 Cash $0

2019/20 $0

2020/21 $0

2021/22 $0

2022/23 $0

2023/24 $0

 FTE Value $947,700

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Contribution Type Financial Year

Amount Description

2019/20 $78,975 FTE related to part provision of trial facilities and analytical services in order to conduct project activities. Project management and ideation, and management of sta and students engaged through this project.

2020/21 $315,900 FTE related to part provision of trial facilities and analytical services in order to conduct project activities. Project management and ideation, and management of sta and students engaged through this project.

2021/22 $315,900 FTE related to part provision of trial facilities and analytical services in order to conduct project activities. Project management and ideation, and management of sta and students engaged through this project.

2022/23 $236,925 FTE related to part provision of trial facilities and analytical services in order to conduct project activities. Project management and ideation, and management of sta and students engaged through this project.

2023/24 $0

 Non-sta-in-kind

$300,000

2019/20 $25,000 Part provision of trial facilities and analytical services in order to conduct project activities.

2020/21 $100,000 Part provision of trial facilities and analytical services in order to conduct project activities.

2021/22 $100,000 Part provision of trial facilities and analytical services in order to conduct project activities.

2022/23 $75,000 Part provision of trial facilities and analytical services in order to conduct project activities.

2023/24 $0

Total $1,247,700

Financial Year Amount

2019/20 $103,975

2020/21 $415,900

2021/22 $415,900

2022/23 $311,925

2023/24 $0

Total $1,247,700

Project partner declaration form The declaration template must be completed by each project partner and is available at business.gov.au Cooperative Research Centres Project Participant Declaration Form_MC.pdf

Please select the project partner type Research organisation

Project partner's involvement in the CRC-P:

Give details of how the project partner will provide the contributions above.

Describe the project partner’s involvement in the CRC-P.

Describe the project partner’s company structure and relationships with the other project partners (This may include related entities, entities with the same ultimate holding company, entities with common directorship, entities with common major shareholders.)

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Provision of stang to manage students and sta co-located at CSIRO. Contribution as a key research partner by representation on the project lead team. Facilitating and running animal based trials at the Bribie Island and Hobart Research Centres. Key knowledge contributor for development of bio-markers to indicate stress.

CSIRO is the Commonwealth's primary research body. As such, no cash contribution can be provided to this project from CSIRO.

THE UNIVERSITY OF QUEENSLAND

Is the organisation based in Australia?

Yes

EntityType Incorporated Entity

Australian Business Number (ABN) 63942912684

Australian Company Number (ACN)

Legal name THE UNIVERSITY OF QUEENSLAND

Date of registration of ABN 1/11/1999

GST Registered Yes

Address Details

Is the address located in Australia?

Yes

Business Address The Centre for Marine Science Building 69 The University of Queensland St Lucia QLD 4072 Australia

Postal Address The Centre for Marine Science Building 69 The University of Queensland St Lucia QLD 4072 Australia

Contact Details

Collaborator Primary Contact: Andrew Barnes

Title Dr

Given Name Andrew

Family Name Barnes

Position Title Associate Professor

Email Address a.barnes@uq.edu.au

Phone Number

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0733469416

Is the address located in Australia?

Yes

Collaborator Primary Contact: Andrew Barnes Address The Centre for Marine Science Building 69 The University of Queensland St Lucia QLD 4072 Australia

Is the collaborator contributing to the project?

Yes

Contribution

Contribution Type Financial Year Amount Description

 Cash $168,000

2019/20 $14,000 Direct cash contribution for 2 PhD stipends

2020/21 $56,000 Direct cash contribution for 2 PhD stipends

2021/22 $56,000 Direct cash contribution for 2 PhD stipends

2022/23 $42,000 Direct cash contribution for 2 PhD stipends

2023/24 $0

 FTE Value $311,547

2019/20 $50,981

2020/21 $102,212

2021/22 $104,792

2022/23 $53,562

2023/24 $0

 Non-sta-in-kind $0

2019/20 $0

2020/21 $0

2021/22 $0

2022/23 $0

2023/24 $0

Total $479,547

Financial Year Amount

2019/20 $64,981

2020/21 $158,212

2021/22 $160,792

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Financial Year Amount

2022/23 $95,562

2023/24 $0

Total $479,547

Project partner declaration form The declaration template must be completed by each project partner and is available at business.gov.au Participant Declaration Form_Franklin_signed_v2.pdf

Please select the project partner type Research organisation

Project partner's involvement in the CRC-P:

Give details of how the project partner will provide the contributions above.

Describe the project partner’s involvement in the CRC-P.

Describe the project partner’s company structure and relationships with the other project partners (This may include related entities, entities with the same ultimate holding company, entities with common directorship, entities with common major shareholders.) UQ will provide cash contribution through the payment of PhD stipends. Other contributions will be provided through making trial facilities at the St Lucia campus available to the project, along with its laboratories. Stang will also be provided through a direct contribution in the project lead team, as well as management of sta and students.

UQ is Queenslands leading and largest university, and receives funding from various government sources. UQs primary expertise for this project is in the eld of animal health (such as diseases and physiology). UQ is unrelated to any party in this project. While Genics resides on the UQ campus this is a purely commercial relationship.

Project information

Project title and description

Project title Future-proong the salmon farming industry in the face of climate warming

Provide a brief project description for publication.

Ensure your project description focuses on your project’s key problem to be solved or key market opportunity for the product, process or service to be commercialised. It may include the key target market and how CRC-P support will be used to assist in achieving commercial outcomes.

Salmon farming is Australia’s most valuable food aquaculture industry, worth >$750 million in 2018 and predicted to grow to >$1billion.

Tasmanian waters are the world’s warmest for salmon farming with summer temperature now routinely exceeding 19°C, pushing these cold-water sh to their thermal tolerance limit. This impacts feed intake and nutrient use with knock-on eects in growth, health and welfare that cost >$150 million p.a., and threaten growth. This project employs nutritional physiology to increase resilience of salmon at high temperature.

Field deployment of an innovative new platform for multi-pathogen quantication will measure the impact of dietary intervention at scale during summer, guiding future management.

Detailed project description and key activities

Provide a detailed description of your project including the project scope and key activities.

Provide a detailed outline of the Project for which CRC-P funding is sought. Include the industry problem to be solved, the scope of the Project, key activities and methodology to address the problem or opportunity. Describe any links or current engagement with growth sectors. This information will not be used for publication, but will be included in the grant agreement should the application be successful Industry problem:

Tasmania’s cold coastal waters have historically been prime for Atlantic salmon farming, however, summer mean surface seawater temperatures now regularly exceed 19°C, with diurnal uctuations during the late season up to 22 or 23°C.

Thermal stress is a pervasive issue, threatening the future growth and survival of the Tasmanian Atlantic salmon farming industry.

Redacted PII

Redacted PII

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Scope of the project and key activities:

Industry context What is the national and international state of play in the research area that is contributing to solve the identied industry problem or opportunity? Provide a description of the research landscape relating to the identied industry problem and how this relates to or complements your proposed project.

Lead collaborator Ridley has a long history of investing in the advancement of the aquaculture industry, particularly salmon farming. This R&D focus has largely been undertaken in collaboration with key research partners CSIRO, Deakin University and the University of Queensland.

Much of this research, and indeed the research of the entire industry over the last 5 years, has aimed at building an understanding of the relationships between environmental change, sh health, performance parameters and nutritional intervention. This work has involved the collection of considerable environmental datasets and a bank of stored sh samples, providing insight into improved dietary resource utilisation and aspects of seasonal-specic sh performance. However, much of this research has been conducted independently through discrete project partnerships with a comparatively narrow scope and nancial restrictions. This proposal brings together Australia’s leading research groups in this area, to foster an unprecedented depth and coordinated approach to tackle this industry-wide problem. Ultimately, the impact on industry will be the direct reduction in the substantial economic losses which salmon farmers incur as a result of the eects of thermal stress, further demonstrating the commitment of the salmon farming industry towards improved salmon welfare. Such eciency gains and social license to operate will position the salmon industry to expand to a targeted $1 billion industry.

Technology Readiness Level Technology Readiness Levels (TRLs) track progress of the development of an innovation. There are nine TRL levels ranging from TRL 1 to TRL 9. The TRL for a project may be determined using a generalised TRL scale or a TRL scale aligned to a specic sector. For example, there are TRL scales specically designed for crop research, emerging renewables technologies and the development of software.

Indicate below the starting and target TRLs for your CRC Project. Note that dierent projects will move through the TRL scale at dierent rates and with dierent funding requirements. Depending on the complexity of your project, it may even be appropriate to nominate the same TRL for your starting and target levels.

What is the estimated TRL for your project at the commencement date?* 4

What is the expected TRL for your project at the completion date?

8

Project outcomes

Provide a summary of the expected project outcomes.

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The overarching outcome of this project will be to deliver a range of new technologies and disease management strategies that can alleviate the eects of thermal stress on farmed salmon. Specic outcomes of the project include:

Project duration

Estimated project commencement date 01/04/2020

Estimated project completion date 31/03/2023

Estimated project length (in months) 36

Project milestones

Milestone name Engage Post-docs, PhDs and RAs

Milestone description 4 x post doctoral sta, 5 PhD students and 2 research assistants will be engaged from 1 April 2020.

Submission of PhD theses will be due at the latest of 31 March 2023.

Estimated Start Date 1/04/2020

Estimated End Date 31/03/2023

Milestone name Annual project conferences

Milestone description Each year the entire collaboration research network will meet for a 2 day conference to review and report on the activities to date, as well as planning for future project activities. These conferences will be key milestone checkpoints, and will be lead by the project lead team who will meet at least monthly. This review will ensure that the project is meeting its objectives and can provide tangible commercial outcomes at the conclusion of the project.

Estimated Start Date 1/04/2020

Estimated End Date 30/03/2023

Milestone name Summer 1

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Milestone description Collection of baseline data on farm

Estimated Start Date 01/11/2020

Estimated End Date 28/02/2021

Milestone name Summer 2

Milestone description Commencement of on-farm application from knowledge gained through project research, with various options for thermal stress mitigation trialed.

Estimated Start Date 01/11/2021

Estimated End Date 28/02/2022

Milestone name Summer 3

Milestone description Commercial scale implementation of a new summer diet and farm management practices based on multi-path early warning health system testing.

Estimated Start Date 01/11/2022

Estimated End Date 28/02/2023

Milestone name Project Completion Conference

Milestone description Conference with all stakeholders including project partners, government, farms and industry bodies to report on the project outcomes (with the exception of PhD content, unless already published)

Estimated Start Date 23/03/2023

Estimated End Date 24/03/2023

Project location

Project Site 1

Shed 4 31 Robart Ct NARANGBA QLD 4504 Australia

Estimated % of project value expected to be undertaken at site 5

Project Site 2

17 Integrity Drive Westbury TAS 7303 Australia

Estimated % of project value expected to be undertaken at site 5

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Project Site 3

144 North St WOORIM QLD 4507 Australia

Estimated % of project value expected to be undertaken at site 10

Project Site 4

1 Castray Esp BATTERY POINT TAS 7004 Australia

Estimated % of project value expected to be undertaken at site 10

Project Site 5

The Centre for Marine Science Building 69 The University of Queensland St Lucia QLD 4072 Australia

Estimated % of project value expected to be undertaken at site 15

Project Site 6

Gehrmann Laboratories Level 5, Building 60 Research Road St Lucia QLD 4067 Australia

Estimated % of project value expected to be undertaken at site 10

Project Site 7

Deakin University Warrnambool Campus Princess Highway Warrnambool VIC 3280 Australia

Estimated % of project value expected to be undertaken at site 25

Project Site 8

Various salmon farm sites in water Strahan TAS 7468 Australia

Estimated % of project value expected to be undertaken at site 20

Government priorities

Science and research priorities

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Which science and research priorities does your project align with?

Primary alignment:

Food

Secondary alignment:

Environmental change

Growth sector

Which growth sector(s) does your project align with?

 Primary alignment:

Food and agribusiness

Secondary alignment:

None applicable

Critical minerals

Does your project include a focus on critical minerals?

No

Less waste, more resources, innovative solutions to plastic recycling and plastic waste reduction

Does your project include a focus on reducing plastic waste or boosting plastics recycling?

No

Other government priorities

There may be other government priorities that the CRC Project addresses. Please list up to three of these below.

This project addresses priorities - ‘Food’ via ‘enhanced food production through novel technologies’ and ‘Environmental change’ via the development of ‘options for responding and adapting to the impacts of environmental change on biological systems, urban and rural communities and industry’.

Basis for Government Priority (report, statement, etc.) Per the Australian Research Council - the Australian Government has identied nine Science and Research Priorities and associated Practical Research Challenges.

Other government assistance

Have any of the project partners received any Commonwealth, State and/or Territory government assistance during the past ve years that has assisted in the development of this project?

No

Intellectual property

If the project depends on access to protected IP, select the relevant category Applicant developed and owns IP

Conict of interest

Do you have any perceived or existing conicts of interest to declare?

No

Program feedback

How did you hear about the program?

Word of mouth

Indigenous organisations

Is your organisation Indigenous owned?

An organisation is considered Indigenous owned where at least 51% of the organisation’s members or proprietors are Indigenous.

No

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Is your organisation Indigenous controlled?

An organisation is considered Indigenous controlled where at least 51% of the organisation’s board or management committee is Indigenous.

No

Supporting documentation

Trust documents Where you have indicated your entity type is a trustee applying on behalf of a trust, you must attach trust documents showing the relationship of the incorporated trustee to the trust.

Project funding

Project budget summary

Project budget

Head of Expenditure Cost Type Financial Year Costs

Eligible expenditure $4,620,864

 Labour including on-costs $2,323,000

2019/20 $193,584

2020/21 $774,333

2021/22 $774,333

2022/23 $580,750

2023/24 $0

 Contract $0

2019/20 $0

2020/21 $0

2021/22 $0

2022/23 $0

2023/24 $0

 Travel and overseas $20,864

2019/20 $1,739

2020/21 $6,955

2021/22 $6,954

2022/23 $5,216

2023/24 $0

 Audit costs $0

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Head of Expenditure Cost Type Financial Year Costs

2019/20 $0

2020/21 $0

2021/22 $0

2022/23 $0

2023/24 $0

 Other eligible expenditure $2,277,000

2019/20 $189,750

2020/21 $759,000

2021/22 $759,000

2022/23 $569,250

2023/24 $0

 Capital expenditure $0

2019/20 $0

2020/21 $0

2021/22 $0

2022/23 $0

2023/24 $0

 IP & Technology expenditure $0

2019/20 $0

2020/21 $0

2021/22 $0

2022/23 $0

2023/24 $0

Eligible in-kind contributions $5,302,565

 Non-cash in-kind contributions $5,302,565

2019/20 $466,899

2020/21 $1,765,885

2021/22 $1,768,465

2022/23 $1,301,316

2023/24 $0

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Head of Expenditure Cost Type Financial Year Costs

Total Project Costs ($AUD and GST exclusive) $9,923,429

Financial Year Costs

2019/20 $851,972

2020/21 $3,306,173

2021/22 $3,308,752

2022/23 $2,456,532

2023/24 $0

Total Project Costs ($AUD and GST exclusive) $9,923,429

Total Commonwealth Funding Sought ($AUD and GST exclusive) $3,000,000

Merit criteria

Merit Criterion 1 Project alignment with the program objectives You should demonstrate this by describing:

a. How your project will address an industry-identied problem and improve the competitiveness, productivity and sustainability of Australian industries in line with Government priorities (refer to Appendix F) (10 points) b. How your project will foster high quality research through industry-led and outcome-focused collaborative industry-research partnerships (8 points)

c. How your project will encourage and facilitate SME participation (7 points).

The Tasmanian salmon industry is currently valued at $750m, representing the biggest agricultural segment of the Tasmanian economy. This contributes signicantly to Australia’s agricultural output, and its clean food reputation. Tasmania’s Minister for Primary Industries and Water, anticipates growth to $2b by 2030. Industry also recognise this potential, with the Ridley Corporation recently investing $50m in a new feed manufacturing facility to service the Tasmanian salmon industry, with $2m funding support from the Tasmanian Government.

This nationally important sector is dwarfed by the international market, where global production reaches ~3 million tonnes per annum (Tasmania contributes ~0.1 million tonnes). So there is great scope for increased market share, driven by the recognised high quality of Australian salmon products. However, this is jeopardised by environmental and animal welfare related factors, which are limiting stocking density in prime water sites, and forcing the industry to use warmer water areas.

Industry, government and research bodies share the view, that increasing water temperature is the biggest threat to the industry. With climate warming, this is expected to escalate. If this issue is not mitigated, then the industry will not grow, impacting the Tasmanian economy, it’s image as a supplier of world-class quality produce. Through this project, Australian salmon farmers, service providers and researchers will enhance their positions as world leaders in thermal tolerant salmon research, providing a denite competitive advantage.

As Australia’s most valuable seafood industry and a signicant regional employer, the development of safeguarding technology is paramount.

This project approach has the potential to save farms millions of dollars per annum in lost productivity, Commercial benets will be obtained by sh farmers and feed

manufacturers who will be able to maintain their production of high-quality farmed products, with an enhanced capacity to buer the impacts of climate induced production issues. This will assist with the proposed expansion of the Australian salmonid industry and create new markets globally. Social benets will be realised via the increased economic viability and wealth generated by the sector, and by the facilitation of healthier eating habits in Australians. Benets will be realised by farm managers, farm sta and feed mill operators exposed to research activities, thus generating stronger links between industry and research organisations.

Quality research will be fostered by 1) strengthening collaborations, through pooling expertise and jointly managing projects; 2) better elucidating the physiological mechanisms associated with nutrition-derived performance and health interactions; 3) developing innovative approaches for implementation across a variety of farming sectors here in Australia and abroad; and 4) showcasing how research-driven innovation can impact the productivity and competitiveness of industry.

This project pulls together a unique consortium, including a major manufacturer and R&D-driven innovator (Ridley), a pioneering early stage venture (Genics), two leading research universities (Deakin and UQ) and CSIRO. This combines expertise in aquaculture nutrition, with chemists, biotechnologists, physiologists, histologists, sh immunologists, feed extrusion experts and commercial aquaculture operators to develop and test the ecacy of diagnostic platforms and next-generation aquaculture feed formulations. These multidisciplinary collaborators are committed to delivering transformational change that enables sector growth through innovation and adaptation.

The impact of this initiative will be promoted through publications and presentations in industry, research and community forums.

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At the end of this project, 5 PhD students and 4 Post-Doctoral sta will be world leaders in the area of thermal stress in salmon, which will enable them to continue their research or apply their skills directly to the industry through various employment opportunities created by the project.

In addition to the overall industry benets, the project will take SME Genics from its current development phase,

Without this project, Genics will have a technology which may not have industry uptake due to an inability to understand and apply the technology. Genics will be vital in every trial and subsection of the project, This will showcase how SME’s can be key enabling

contributors to major industry-research initiatives.

Merit Criterion 2 The quality of your project  

You should demonstrate this by describing:

a. The research you will do and the methodologies you will use, including describing the role of your partners in the project (10 points) b. How the research will address the identied problem, build on the current body of knowledge and enhance the adoption of new technologies (8 points)

c. The education and training opportunities your project will provide to build capability and capacity in the industry and research sectors (7 points).

Merit Criterion 3 Capacity, capability and resources to deliver the project You should demonstrate this by describing:

a. How you will manage and monitor your project, explaining the governance and planning arrangements (8 points) b. How you will manage risks, including but not limited to involvement of international partners, intellectual property protection, data security, protection of nationally signicant information and cyber security (7 points)

c. Your access to required resources including personnel with the right skills and experience, funding, infrastructure, technology and intellectual property (10 points).

The lead applicant, Ridley, is an ASX listed company employing over 700 people and with a turnover exceeding $1b. As a result of being ASX listed, Ridley meets the strict corporate governance requirements set by the ASX including nancial, data protection and business governance standards. As Ridley’s commitment as the lead applicant the project will fall within Ridley’s audit process both internally and externally by KPMG. In regards to auditing for the project, Ridley proposes to cover this cost with the audit to be conducted as part of KPMGs scope of work.

Redacted PII

Redacted PII

Redacted PII

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The other collaborators include two leading universities (Deakin and UQ) and a Commonwealth body (CSIRO), all of whom have strict governance standards. SME Genics have their own internal governance procedures which are guided by the fact that they have a licencing relationship with CSIRO for the multipath technology.

The IP terms have been agreed to up-front by each of the parties. IP security will be of paramount importance given that much of the work will be published as part of PhD theses at the conclusion of the project.

A Project Steering Committee will be established upon commencement, comprised of senior representatives nominated by each collaborator.

The Project Steering Committee responsibility’s will include project oversight and governance, and the development and implementation of plans including for Risk Identifcation and Management, Research Data & Reporting, and Budget & Resource Allocation. The committee will meet quarterly or as required. This will include a review of progress reports from the Research Management Team and consideration of IP protection requirements.

The research and development aspects of project will be managed by a lead team comprising representatives of each collaborator. This Research Management Team will meet at minimum once per month. Prior to or soon after project commencement Research Plans, with detailed timelines, deliverable and resources will be compiled by responsible teams. These will be updated periodically, based on outcomes, and presented along with progress summaries, to the Research Management Team The wider collaboration team will meet for regular conferences to allow for presentations, wider data sharing, network development, project planning, and progress reporting.

The Risk Identication and Management plan will draw on the comprehensive systems in place in the collaborator organisations including bespoke systems and on-going training. In particular this will include 1. Intellectual property protection, to be an integral part of project and data management and reporting; and 2. Implementation of data management and security measures including cyber security, for protection of nationally and commercially signicant information.

The Budget & Resource Allocation plan and oversight by the Project Steering Committee will ensure resources are available on time. In developing this application, each collaborator has sought support from senior executive within their organisations. As part of this, commitment has been given by the collaborators to provide physical infrastructure, Background IP, and signicant stang resources of senior researchers and experts to ensure the ultimate success of the project.

Merit Criterion 4 Impact of the grant funding on your project You should demonstrate this by describing:

a. The likelihood that the project would proceed without the grant and how the grant will impact the project in terms of scale and timing (5 points) b. The total investment the grant will leverage and why the Australian Government should invest in the project (10 points) c. The commercial potential of the project, including the expected commercial outputs such as new products, processes or

services, and/or any expected spill over benets (10 points).

Lead collaborator Ridley has a long history of investing in the advancement of the aquaculture industry, particularly with respect to salmon farming. This R&D focus has largely been undertaken in collaboration with key research partners CSIRO, Deakin University and the University of Queensland. Much of this research, and indeed the research of the entire industry over the last 5 years, has aimed at building an understanding of the relationships between environmental change, sh health, performance parameters and nutritional intervention. This work has involved the collection of considerable environmental datasets and a bank of stored sh samples, providing insight into improved dietary resource utilisation and aspects of seasonal-specic sh performance. However, much of this research has been conducted independently through discrete project partnerships with a comparatively narrow scope and nancial restrictions.

While the project would still go ahead without the grant funding, the project will take roughly 10 years to complete due to nancial restrictions, and likely at a much smaller scale. However, in 10 years’ time it is anticipated that the problem of rising seawater temperatures and resulting thermal stress will be worse, with the industry incurring a cumulative economic impact exceeding $1.5b over the duration of the period.

However, by using the grant funding to leverage large cash and in-kind commitments from the project partners it is anticipated that a signicant portion of this $1.5b in economic losses will be mitigated within 3 years. As a result, the project will enable the Tasmanian salmon industry to both meet and exceed their growth targets and become globally competitive. With this industry growth comes signicant job creation and overall economic benet.

Primary application contact

Title Mr

Given Name Nicholas

Family Name Tomkins

Position Title

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R&D Co-Ordinator

Email Address nick.tomkins@ridley.com.au

Phone Number 0738179835

Mobile Number 0429362142

Business postal address of the primary contact Shed 4 31 Robart Ct NARANGBA QLD 4504 Australia

Applicant declaration

CRCP application declaration

Privacy and condentiality provisions

I acknowledge that this is an Australian Government program and that the department will use the information I provide in accordance with the following:

Australian Government Public Data Policy Statement, Commonwealth Grants Rules and Guidelines, Program or Grant Opportunity Guidelines, and applicable Australian laws.

Accordingly, I understand that the department may share my personal information provided in this application within this department and other government agencies:

a. for purposes directly related to administering the program, including governance, research and the distribution of funds to successful applicants and b. to facilitate research, assessment, monitoring and analysis of other programs and activities

unless otherwise prohibited by law.

I understand that where I am successful in obtaining a grant, the nancial information that I provide for the purposes of payment will be accessible to departmental sta to enable payments to be made through the department’s accounts payable software system.

I understand that information that is deemed ‘condential’ in accordance with the Program Guidelines may also be shared for a relevant Commonwealth purpose.

The Department will publish information on individual grants in the public domain, including on the department’s website, unless otherwise prohibited by law.

 

Applicant declaration

I declare that I have read and understood the grant opportunity guidelines, including the privacy, condentiality and disclosure provisions.

I declare that the proposed project outlined in this application and any associated expenditure has been endorsed by the applicant’s Board or person with authority to commit the applicant to this project.

I declare that the applicant will comply with, and require that its subcontractors and independent contractors comply with, all applicable laws.

I declare that the information contained in this application together with any statement provided is, to the best of my knowledge, accurate, complete and not misleading and that I understand that giving of false or misleading information is a serious oence under the  (Cth)

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I acknowledge that I may be requested to provide further clarication or documentation to verify the information supplied in this form and that the Department of Industry, Innovation and Science (the department) may, during the application process, consult with other government agencies, including state and territory government agencies, about the applicant’s claims and may also engage external technical or nancial advisors to advise on information provided in the application.

I acknowledge that if the department is satised that any statement made in an application is incorrect, incomplete, false or misleading the department may, at its absolute discretion, take appropriate action. I note such action may include excluding an application from further consideration; withdrawing an oer of funding; using the information contained in the application for a fraud investigation that would be consistent with the Australian Government’s Investigations Standard and Commonwealth fraud control framework and for management purposes and/or terminating any grant agreement between the Commonwealth and the recipient including recovering funds already paid.

I agree to participate in the periodic evaluation of the services undertaken by the department.

I declare that I am authorised to complete this form and acknowledge that by including my name in this application I am deemed to have signed this application

I approve the information in this application being communicated to the department in electronic form.

By checking this box I agree to all of the above declarations and conrm all of the above statements to be true Yes

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Redaction PII

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Cooperative Research Centres Projects (CRC-P) Program

External Review Template

1

Agency: Department of Industry, Innovation & Science

Branch: Business Facilitation and Food Policy

Application number: CRCPEIGHT000074

Project title: Future-proofing the salmon farming industry in the face of climate warming

Please provide a ‘yes’ or ‘no’ answer to the following questions and further comments as appropriate to assist the CRC Advisory Committee in the assessment process.

1. Has your agency been approached to participate, support or endorse the project? Yes / No

Comments:

2. Is the project and associated industry problem worth pursuing? Yes / No

Comments: The proposed project will help to safeguard the future of Australian salmon farming, our largest aquaculture industry, and one that is forecast to soon grow to $1bn.

3. Does the project demonstrate a realistic method for achieving the outcomes? Yes / No

Comments:

4. Are the project partners and key personnel the most appropriate to undertake this work? Yes / No

Comments:

5. Is the proposed research appropriate and focussed on government priorities and relevant policy objectives? Yes / No

Comments: The proposed project addresses two Australian Government Science and Research Priorities: Food via enhanced food production through novel technologies and Environmental change via the development of options for responding and adapting to the impacts of environmental change on biological systems, urban and rural communities and industry. The applicant notes that the Food and Agribusiness Growth Centre has been engaged on this work and is fully supportive.

6. Does the project demonstrate significant national benefits? Yes / No

Comments: The project will help address the adverse impacts of climate change on one of Australia’s key agriculture industries. Furthermore, as climate change starts to impact other sectors of Australia’s aquaculture industry the knowledge developed from this project will be largely transferable to other subsectors, to help mitigate these impacts.

7. Are you aware of any duplicated or related research being undertaken elsewhere in Australia or overseas? Yes / No

Comments:

8. How would you rate the CRC-P proposal overall? Very suitable

Suitable Unsuitable

Comments:

Cooperative Research Centres Projects (CRC-P) Program

Industry Growth Centres Review

1

Industry Growth Centre: FIAL

Application number: CRCPEIGHT000074

Project title: Future-proofing the salmon farming industry in the face of climate warming

Please provide a ‘yes’ or ‘no’ answer to the following questions and further comments as appropriate to assist the CRC Advisory Committee in the assessment process.

1. Is the project and associated industry problem worth pursuing? Yes

Comments: The proportionately large drop off in value from changing climactic influences is an important issue to address for future production sustainability.

2. Does the project demonstrate a realistic method for achieving the outcomes? Yes

Comments: Growth time frames are a challenge within the funding period but the feeding options in multiple locations is an appropriate option to mitigate this challenge

3. Are the project partners and key personnel the most appropriate to undertake this work? Yes

Comments: many of the known key players in this space are involved and have good previous experience to bring to the project

4. Does the project align with the priorities described in your sector competitiveness plan? Yes

Comments: The proposal aligns well with at least 2 priority areas

5. Does the project demonstrate significant national benefits? Yes

Comments: Given the size of the organisations involved within the Salmon industry the partners are able to provide national benefits should the outcomes be successful. Additionally, Ridley as a feed provide to the whole industry is well placed to provide new capabilities to a wider range of producers.

6. Are you aware of any duplicated or related research being undertaken elsewhere in Australia or overseas? No

Comments: Specific salmon feeding regime research is outside the knowledge of FIAL

7. How would you rate the CRC-P proposal overall? Very suitable

Comments: Given the size of the challenge, the ongoing climate impacts and the partners this is a good collaborative approach to a key emerging issue.

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 1 of 58

Commonwealth Standard Grant Agreement between the Commonwealth represented by

Department of Industry, Innovation and Science

and

RIDLEY AGRIPRODUCTS PTY LTD.

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 2 of 58

Contents Grant Agreement CRCPEIGHT000074 ..........................................................................................3

Parties to this Agreement ...............................................................................................................3

Background....................................................................................................................................3

Scope of this Agreement ................................................................................................................4

Grant Details CRCPEIGHT000074 .................................................................................................5

A. Purpose of the Grant ...........................................................................................................5

B. Activity .................................................................................................................................5

C. Duration of the Grant ...........................................................................................................8

D. Payment of the Grant ...........................................................................................................9

E. Reporting........................................................................................................................... 10

F. Party representatives and address for notices .................................................................... 11

G. Activity Material ................................................................................................................. 12

Supplementary Terms .................................................................................................................. 13

Schedule 1: Commonwealth Standard Grant Conditions............................................................... 24

Signatures ................................................................................................................................... 34

Commonwealth ............................................................................................................................ 34

Grantee ....................................................................................................................................... 34

Schedule 2 Reporting requirements ............................................................................................. 35

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 3 of 58

Grant Agreement CRCPEIGHT000074

Once completed, this document, together with the Grant Details and the Commonwealth Standard Grant Conditions (Schedule 1), forms an Agreement between the Commonwealth and the Grantee.

Parties to this Agreement

The Grantee

Full legal name of Grantee RIDLEY AGRIPRODUCTS PTY LTD.

Legal entity type (e.g. individual, incorporated association, company, partnership, etc)

Australian Private Company

Trading or business name

Any relevant licence, registration or provider number Not applicable

Australian Business Number (ABN) or other entity identifiers 94006544145

Australian Company Number (ACN) 006544145

Registered for Goods and Services Tax (GST)? Yes

Date from which GST registration was effective? 1/07/2000

Registered office address LEVEL 4

565 BOORKE STREET MELBOURNE VIC 3000 Australia

Relevant business place L 4 565 Bourke St

MELBOURNE VIC 3000

Australia

The Commonwealth

The Commonwealth of Australia represented by the Department of Industry, Innovation and Science of 10 Binara Street CANBERRA ACT 2600 ABN 74 599 608 295

Background

The Commonwealth has agreed to enter this Agreement under which the Commonwealth will provide the Grantee with a Grant for the purpose of assisting the Grantee to undertake the associated Activity.

The Grantee agrees to use the Grant and undertake the Activity in accordance with this Agreement and the relevant Grant Details.

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 4 of 58

Scope of this Agreement This Agreement comprises:

(a) this document;

(b) the Supplementary Terms (if any);

(c) the Standard Grant Conditions (Schedule 1);

(d) the Grant Details;

(e) any other document referenced or incorporated in the Grant Details.

If there is any ambiguity or inconsistency between the documents comprising this Agreement in relation to a Grant, the document appearing higher in the list will have precedence to the extent of the ambiguity or inconsistency.

This Agreement represents the Parties' entire agreement in relation to the Grant provided under it and the relevant Activity and supersedes all prior representations, communications, agreements, statements and understandings, whether oral or in writing.

Certain information contained in or provided under this Agreement may be used for public reporting purposes.

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 5 of 58

Grant Details CRCPEIGHT000074

A. Purpose of the Grant

The Grant is being provided as part of the Cooperative Research Centres Projects Round 8 grant opportunity.

The objectives of the program are to: • improve the competitiveness, productivity and sustainability of Australian industries, especially where Australia has a competitive strength, and in line with government priorities • foster high quality research to solve industry-identified problems through industry-led and outcome-focused collaborative research partnerships between industry entities and research organisations • encourage and facilitate small and medium enterprise (SME) participation in collaborative research.

The intended outcomes of the program are: • establishing industry-research sector collaborations • SME participation in collaborative research • collaborative research results • research results relevant to government priorities • increased research skills in industry and increased industry capability in research • improved competitiveness and productivity for industry participating in CRCs and CRC-Ps • industry, research and other users valuing the program.

B. Activity

The Activity is made up of the Grantee’s project and all eligible project activities as specified in these Grant Details.

Project title

Future-proofing the salmon farming industry in the face of climate warming

Project scope and description

Salmon farming is Australia’s most valuable food aquaculture industry, worth >$750 million in 2018 and predicted to grow to >$1billion. Tasmanian waters are the world’s warmest for salmon farming with summer temperature now routinely exceeding 19°C, pushing these cold-water fish to their thermal tolerance limit. This impacts feed intake and nutrient use with knock-on effects in growth, health and welfare that cost >$150 million p.a., and threaten growth. This project employs nutritional physiology to increase resilience of salmon at high temperature. Field deployment of an innovative new platform for multi-pathogen quantification will measure the impact of dietary intervention at scale during summer, guiding future management.

Project outcomes

Redacted PII

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 6 of 58

In undertaking the Activity, the Grantee must comply with the requirements of the grant opportunity guidelines (as in force at the time of application).

The Grantee must notify the Commonwealth about events relating to the project and provide an opportunity for the Minister or their representative to attend.

Project partners

Project partners include the lead partner and all other partners contributing to the project and included at ST1 of the Supplementary Terms. Under this Agreement the lead partner is the Grantee.

The Grantee must ensure that at all times it has among the project partners, and approved by the Commonwealth, at least:

- two industry entities (as defined in the Cooperative Research Centres Projects Round 8 Grant Opportunity Guidelines), including at least one SME; and

- one research organisation (as defined in the Cooperative Research Centres Projects Round 8 Grant Opportunity Guidelines).

The Grantee may substitute or change project partners during the Agreement period, with the Commonwealth's prior written approval.

Redacted PII

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 7 of 58

The Grantee must notify the Commonwealth 30 days prior to any proposed substitution or change of a project partner. This notice must include:

- the details of the exiting project partner and their reason for leaving, and details of any incoming project partner and a breakdown comparison of their contributions to enable side by side comparison of component parts;

- the amount of any shortfall in contributions for that financial year, or any future financial years that is anticipated to arise from the substitution or change in project partner, and any steps the Grantee proposes to take to resolve or otherwise deal with the shortfall;

- an assessment as to the degree to which the viability or capacity to undertake the project and achieve the milestones is likely to be affected.

If after receiving a notice of a change of project partners, the Commonwealth is reasonably satisfied that the proposed substitution or change of a project partner is likely to impact on the Grantee’s capacity to undertake the project or achieve the milestones, the Commonwealth, at its sole discretion and on 10 business days’ notice to the Grantee, may without limiting any of its other rights under this Agreement, reduce or suspend payment of the Grant until the Commonwealth is satisfied that a suitable substitute or replacement project partner is proposed.

Partner Agreement and obligations

The Grantee must ensure that all project partners enter into an agreement (the Partner Agreement) to undertake the project within 60 days of the commencement of the Grant Agreement. For the entire term of this Agreement, the Partner Agreement will require the partners to:

- undertake the project at the times and in the manner specified in this Agreement;

- make their contributions to the project which are specified at ST1 Other Contributions of this Agreement;

- cooperate with and provide to the Grantee any information about the partner contributions and other activities reasonably required by the Grantee;

- make clear the ownership arrangements for Intellectual Property associated with the project;

- be bound to equivalent terms and conditions to those of this Agreement, except where due to the context it is not relevant to do so; and

- where terms of this Agreement are expressed to survive termination or expiry of this Agreement, the equivalent terms used in the Partner Agreement will also be expressed to survive termination or expiry of the Partner Agreement.

The Grantee must:

(a) ensure the Partner Agreement and any other contractual arrangements allow the Grantee to meet its obligations under this Agreement, and ensure the Partner Agreement requires the project partners to comply with obligations consistent with those in this Agreement relating to:

i. Breach of the Partner Agreement (below);

ii. Intellectual property (Schedule 1 clause 17);

iii. Access/monitoring/inspection (ST4);

iv. Fraud (ST13);

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 8 of 58

v. Compliance with legislation (ST20, including ST20.4)

vi. Work health and safety (ST21);

vii. Acknowledgements (Schedule 1 clause 3)

viii. Relationship between the Parties (Schedule 1 clause 5);

ix. Conflict of interest (Schedule 1 clause 7);

x. Record keeping (Schedule 1 clause 12)

xi. Reporting and liaison (Schedule 1, clause 13)

xii. Privacy (Schedule 1 clause 14);

xiii. Confidentiality (Schedule 1 clause 15);

xiv. Insurance (Schedule 1 clause 16); and

xv. Survival (Schedule 1 clause 21)

(b) ensure no variation or alteration is made to the Partner Agreement that is, or may be, inconsistent with this Agreement without the prior written consent of the Commonwealth; and

(c) provide the Commonwealth with a copy of any variation to the Partner Agreement within 10 business days of completion of the change.

Breach of the Partner Agreement

The Grantee must, within 5 business days of becoming aware of a breach or suspected breach of the Partner Agreement that would affect the Grantee's ability to comply with its obligations under this Agreement:

(a) provide notice to the Commonwealth of that breach or suspected breach;

(b) provide all information reasonably required by the Commonwealth in relation to the breach or suspected breach;

(c) identify to the Commonwealth the steps the Grantee intends to take to remedy the matter;

(d) keep the Commonwealth informed of any action it takes to remedy the breach; and

(e) provide notice to the Commonwealth once the breach is remedied.

C. Duration of the Grant

The Activity starts on 01 September 2020 and ends on 31 August 2023, which is the Activity Completion Date.

The Agreement ends on 07 February 2024 which is the Agreement End Date.

Activity Schedule

In undertaking the Activity, the Grantee will meet the following milestones by the due dates.

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 9 of 58

Milestone number Milestone name and desciption Due date

001 Summer 1

Collection of baseline data.

30/04/2021

002 Summer 2

Commencement of application from knowledge gained through project research, with various options for thermal stress mitigation trialled.

30/04/2022

003 Summer 3

Commercial scale implementation of a new summer diet and farm management practices based on multi-path early warning health system testing.

30/04/2023

004 Project Completion Conference Conference with all stakeholders including project partners, government, farms and industry bodies to report on the project outcomes (with the exception of PhD content, unless already published)

29/08/2023

005 Annual project conferences Each year the entire collaboration research network will meet for a 2 day conference to review and report on the activities to date, as well as planning for future project activities. These conferences will be key milestone checkpoints, and will be lead by the project lead team who will meet at least monthly. This review will ensure that the project is meeting its objectives and can provide tangible commercial outcomes at the conclusion of the project.

30/08/2023

006 Engage Post-docs, PhDs and RAs 4 x post doctoral staff, 5 PhD students and 2 research assistants will be engaged from 1 September 2020.

Submission of PhD theses will be due at the latest of 31 August 2023.

31/08/2023

D. Payment of the Grant

The total amount of the Grant is $3,000,000 (plus GST if applicable).

The Grant will be provided at up to 30.23 per cent of eligible expenditure as defined in the grant opportunity guidelines subject to availability of Program funds.

The Grant will be paid in accordance with clause ST2.

The Grant will be paid according to the following schedule. Payments are subject to satisfactory progress on the project and compliance by the Grantee with its obligations under this Agreement.

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 10 of 58

Payment event Anticipated payment date Payment amount

(GST excl)

Initial payment 21 September 2020 $83,333

Progress payment 19 November 2020 $250,000

Progress payment 19 February 2021 $250,000

Progress payment 20 May 2021 $250,000

Progress payment 19 August 2021 $250,000

Progress payment 19 November 2021 $250,000

Progress payment 19 February 2022 $250,000

Progress payment 20 May 2022 $250,000

Progress payment 19 August 2022 $250,000

Progress payment 19 November 2022 $250,000

Progress payment 19 February 2023 $250,000

Progress payment 20 May 2023 $250,000

Progress payment 19 August 2023 $16,667

Final payment 20 December 2023 $150,000

Total $3,000,000

Invoicing

The Grantee agrees to allow the Commonwealth to issue it with a Recipient Created Tax Invoice (RCTI) for any taxable supplies it makes in relation to the Activity.

E. Reporting

The Grantee agrees to provide the following reports to the Commonwealth representative in accordance with the reporting requirements (Schedule 2).

Report type Period start date Period end date

Agreed evidence Due date

Progress report

1/09/2020 30/09/2020

30/10/2020

Progress report

1/10/2020 31/12/2020

30/01/2021

Progress report

1/01/2021 31/03/2021

30/04/2021

End of financial year report

1/04/2021 30/06/2021

30/07/2021

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 11 of 58

Report type Period start date Period end date

Agreed evidence Due date

Progress report

1/07/2021 30/09/2021

30/10/2021

Progress report

1/10/2021 31/12/2021

30/01/2022

Progress report

1/01/2022 31/03/2022

30/04/2022

End of financial year report

1/04/2022 30/06/2022

30/07/2022

Progress report

1/07/2022 30/09/2022

30/10/2022

Progress report

1/10/2022 31/12/2022

30/01/2023

Progress report

1/01/2023 31/03/2023

30/04/2023

End of financial year report

1/04/2023 30/06/2023

30/07/2023

End of project report 1/07/2023 31/08/2023 Independent Audit Report

29/11/2023

Post project report 31/08/2023 31/08/2024

30/09/2024

During the Agreement period, the Commonwealth may ask the Grantee for ad-hoc reports on the project. The Grantee must provide these reports in the timeframes notified by the Commonwealth.

F. Party representatives and address for notices

Grantee's representative and address

Grantee’s representative name Mr Nicholas Tomkins

Position R&D Co-Ordinator

Address Shed 4 31 Robart Ct

NARANGBA QLD 4504

Business hours telephone 0738179835

Mobile 0429362142

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 12 of 58

Email nick.tomkins@ridley.com.au

Commonwealth representative and address

Name of representative Harvey Perkins

Position

Postal address GPO Box 2013

CANBERRA ACT 2601

Physical address 10 Binara Street

CANBERRA ACT 2600

Business hours telephone 02 6213 7472

Email CRCProjects@industry.gov.au

The Parties' representatives will be responsible for liaison and the day-to-day management of the Grant, as well as accepting and issuing any written notices in relation to the Grant.

G. Activity Material

Not applicable

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 13 of 58

Supplementary Terms ST1. Other Contributions

ST1.1 In this Agreement, Other Contributions means the financial or in-kind contributions other than the Grant set out in the following table:

Contributor Nature of Contribution Amount (GST

exclusive)

Timing

COMMONWEALTH SCIENTIFIC AND INDUSTRIAL RESEARCH ORGANISATION

FTE Value $263,250 2020/21

FTE Value $315,900 2021/22

FTE Value $315,900 2022/23

FTE Value $52,650 2023/24

Non-staff-in-kind $83,333 2020/21

Non-staff-in-kind $100,000 2021/22

Non-staff-in-kind $100,000 2022/23

Non-staff-in-kind $16,667 2023/24

DEAKIN UNIVERSITY

Cash $70,240 2020/21

Cash $84,288 2021/22

Cash $84,288 2022/23

Cash $14,048 2023/24

FTE Value $102,211 2020/21

FTE Value $122,653 2021/22

FTE Value $122,652 2022/23

FTE Value $20,442 2023/24

Non-staff-in-kind $277,550 2020/21

Non-staff-in-kind $333,060 2021/22

Non-staff-in-kind $333,060 2022/23

Non-staff-in-kind $55,510 2023/24

GENICS PTY LTD

FTE Value $73,217 2020/21

FTE Value $87,860 2021/22

FTE Value $87,860 2022/23

FTE Value $14,643 2023/24

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 14 of 58

Non-staff-in-kind $62,500 2020/21

Non-staff-in-kind $75,000 2021/22

Non-staff-in-kind $75,000 2022/23

Non-staff-in-kind $12,500 2023/24

RIDLEY AGRIPRODUCTS PTY LTD.

Cash $416,667 2020/21

Cash $500,000 2021/22

Cash $500,000 2022/23

Cash $83,333 2023/24

FTE Value $391,000 2020/21

FTE Value $469,200 2021/22

FTE Value $469,200 2022/23

FTE Value $78,200 2023/24

Non-staff-in-kind $133,333 2020/21

Non-staff-in-kind $160,000 2021/22

Non-staff-in-kind $160,000 2022/23

Non-staff-in-kind $26,667 2023/24

THE UNIVERSITY OF QUEENSLAND

Cash $46,667 2020/21

Cash $56,000 2021/22

Cash $56,000 2022/23

Cash $9,333 2023/24

FTE Value $84,968 2020/21

FTE Value $102,379 2021/22

FTE Value $106,346 2022/23

FTE Value $17,854 2023/24

Non-staff-in-kind $175,545 2020/21

Non-staff-in-kind $221,038 2021/22

Non-staff-in-kind $231,763 2022/23

Non-staff-in-kind $35,109 2023/24

ST1.2 The Grantee agrees to provide, or to ensure the provision of, the Other Contributions and to use them to undertake the Activity. If the Other Contributions are not provided in accordance with this clause, then the Commonwealth may:

(a) suspend payment of the Grant until the Other Contributions are provided; or

(b) terminate this Agreement in accordance with clause 19 of this Agreement.

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 15 of 58

ST2. Activity Budget

ST2.1 In this Agreement, Appropriation means money drawn from the Consolidated Revenue Fund.

ST2.2 The Grantee agrees to use the Grant and any Other Contributions and undertake the Activity consistently with the Activity Budget in the following table:

Financial year 2019/20

Head of expenditure Breakdown of expenditure Agreed project cost

Eligible expenditure Travel and overseas $0

Eligible expenditure Contract $0

Eligible expenditure IP & Technology expenditure $0

Eligible expenditure Other eligible expenditure $0

Eligible expenditure Capital expenditure $0

Eligible in-kind contributions

Non-cash in-kind contributions $0

Eligible expenditure Audit costs $0

Eligible expenditure Labour including on-costs $0

Financial year total $000

Financial year 2020/21

Head of expenditure Breakdown of expenditure Agreed project cost

Eligible expenditure Capital expenditure $0

Eligible in-kind contributions

Non-cash in-kind contributions $1,471,362

Eligible expenditure Audit costs $0

Eligible expenditure Travel and overseas $5,796

Eligible expenditure Labour including on-costs $645,277

Eligible expenditure Contract $0

Eligible expenditure IP & Technology expenditure $0

Eligible expenditure Other eligible expenditure $632,500

Financial year total $2,754,935

Financial year 2021/22

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 16 of 58

Head of expenditure Breakdown of expenditure Agreed project cost

Eligible expenditure Travel and overseas $6,955

Eligible expenditure Contract $0

Eligible expenditure Capital expenditure $0

Eligible expenditure Other eligible expenditure $759,000

Eligible expenditure Audit costs $0

Eligible in-kind contributions

Non-cash in-kind contributions $1,766,052

Eligible expenditure Labour including on-costs $774,333

Eligible expenditure IP & Technology expenditure $0

Financial year total $3,306,340

Financial year 2022/23

Head of expenditure Breakdown of expenditure Agreed project cost

Eligible expenditure Travel and overseas $6,954

Eligible expenditure Other eligible expenditure $759,000

Eligible expenditure IP & Technology expenditure $0

Eligible expenditure Contract $0

Eligible in-kind contributions

Non-cash in-kind contributions $1,770,018

Eligible expenditure Capital expenditure $0

Eligible expenditure Labour including on-costs $774,334

Eligible expenditure Audit costs $0

Financial year total $3,310,306

Financial year 2023/24

Head of expenditure Breakdown of expenditure Agreed project cost

Eligible expenditure Audit costs $0

Eligible expenditure Capital expenditure $0

Eligible expenditure Contract $0

Eligible expenditure IP & Technology expenditure $0

Eligible expenditure Labour including on-costs $129,056

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 17 of 58

Eligible expenditure Other eligible expenditure $126,500

Eligible expenditure Travel and overseas $1,159

Eligible in-kind contributions

Non-cash in-kind contributions $295,133

Financial year total $551,848

All financial years

Head of expenditure Breakdown of expenditure Agreed project cost

Eligible expenditure Audit costs $0

Eligible expenditure Capital expenditure $0

Eligible expenditure Contract $0

Eligible expenditure IP & Technology expenditure $0

Eligible expenditure Labour including on-costs $2,323,000

Eligible expenditure Other eligible expenditure $2,277,000

Eligible expenditure Travel and overseas $20,864

Eligible in-kind contributions

Non-cash in-kind contributions $5,302,565

All financial years total $9,923,429

Figures in the above table are GST inclusive amounts less GST credits that can be claimed in relation to the expenditure.

ST2.3 Subject to sufficient appropriation being available, the Grant will be paid up to the Annual Capped Amounts over the financial years specified in the following table.

Annual Capped Amounts

Financial Year Annual capped amount (GST excl)

2019/20 $0

2020/21 $833,333

2021/22 $1,000,000

2022/23 $1,000,000

2023/24 $166,667

Total $3,000,000

ST2.4 The Commonwealth is not required to make a payment if it would result in the amount paid in a financial year exceeding the Annual Capped Amount for that financial year specified in the table under clause ST2.3.

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ST2.5 In accordance with the Activity Budget under clause ST2.2, the Annual Capped Amounts may not be exceeded unless the Commonwealth specifically approves an increase of that amount under clause ST2.8.

ST2.6 Subject to this clause, the Grantee may reallocate expenditure in respect of categories of expenditure in the Activity Budget, provided it does not materially change the Activity, any Milestone(s) set out in this Agreement, or cause the Grantee to be in breach of any of its obligations under this Agreement.

ST2.7 The Grantee must give the Commonwealth:

(a) at any time the Grantee wishes to request a variation to any one or more of the Annual Capped Amounts; or

(b) if otherwise requested by the Commonwealth,

a revised Activity Budget in a form acceptable to the Commonwealth. The revised Activity Budget must clearly identify any proposed changes, including of any proposed changes to the Annual Capped Amounts, and explain the reasons for the proposed changes.

ST2.8 The Commonwealth may, at its discretion, approve or reject a revised Activity Budget provided under clause ST2.7 and/or any proposed changes to the Annual Capped Amounts. The Commonwealth’s approval may be granted subject to conditions.

ST2.9 If a revised Activity Budget and any proposed changes to the Annual Capped Amounts are approved by the Commonwealth, then it will become the Activity Budget and, if relevant, the Annual Capped Amounts will be adjusted accordingly.

ST3. Intellectual property in Activity Material Not applicable

ST4. Access/monitoring/inspection

ST4.1 The Grantee agrees to give the Commonwealth, or any persons authorised in writing by the Commonwealth:

(a) access to premises where the Activity is being performed and/or where Material relating to the Activity is kept within the time period specified in a Commonwealth notice; and

(b) permission to inspect and take copies of any Material relevant to the Activity.

ST4.2 The Auditor-General and any Information Officer under the Australian Information Commissioner Act 2010 (Cth) (including their delegates) are persons authorised for the purposes of clause ST4.1.

ST4.3 This clause ST4 does not detract from the statutory powers of the Auditor-General or an Information Officer (including their delegates).

ST5. Equipment and Assets Not applicable

ST6. Specified Personnel Not applicable

ST7. Relevant qualifications, licences, permits, approvals or skills Not applicable

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ST8. Vulnerable Persons Not applicable

ST9. Child safety Not applicable

ST10. Commonwealth Material, facilities and assistance Not applicable

ST11. Jurisdiction ST11.1 This Agreement is governed by the law of the Australian Capital Territory.

ST12. Grantee trustee of trust (if applicable) ST12.1 In this Agreement, Trust means the trust specified in the Parties to the Agreement section of this Agreement.

ST12.2 The Grantee warrants that:

(a) it is the sole trustee of the Trust; and

(b) it has full and valid power and authority to enter into this Agreement and perform the obligations under it on behalf of the Trust; and

(c) it has entered into this Agreement for the proper administration of the Trust; and

(d) all necessary resolutions, consents, approvals and procedures have been obtained or duly satisfied to enter into this Agreement and perform the obligations under it; and

(e) it has the right to be indemnified out of the assets of the Trust for all liabilities incurred by it under this Agreement.

ST13. Fraud ST13.1 In this Agreement, Fraud means dishonestly obtaining a benefit, or causing a loss, by deception or other means, and includes alleged, attempted, suspected or detected fraud.

ST13.2 The Grantee must ensure its personnel and subcontractors do not engage in any Fraud in relation to the Activity.

ST13.3 If the Grantee becomes aware of:

(a) any Fraud in relation to the performance of the Activity; or

(b) any other Fraud that has had or may have an effect on the performance of the Activity;

then it must within 5 business days report the matter to the Commonwealth and all appropriate law enforcement and regulatory agencies.

ST13.4 The Grantee must, at its own cost, investigate any Fraud referred to in clause ST11.3 in accordance with the Australian Government Investigations Standards available at www.ag.gov.au.

ST13.5 The Commonwealth may, at its discretion, investigate any Fraud in relation to the Activity. The Grantee agrees to co-operate and provide all reasonable assistance at its own cost with any such investigation.

ST13.6 This clause survives the termination or expiry of the Agreement.

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ST14. Prohibited dealings ST14.1 In this Agreement

Listed Terrorist Organisation

means an organisation listed as a terrorist organisation pursuant to Division 102 of the Criminal Code Act 1995 (Cth). This list is available at: https://www.nationalsecurity.gov.au/Listedterroristorganisations/Pages/default.aspx;

Consolidated List means the list of all individuals and entities subject to targeted financial sanctions pursuant to the Charter of the United Nations Act 1945 (Cth) and the Autonomous

Sanctions Act 2011 (Cth). This list is available at: https://dfat.gov.au/international-relations/security/sanctions/Pages/consolidated-list.aspx;

World Bank Listing of Ineligible Firms and Individuals

means the list of firms and individuals ineligible to be awarded a World Bank-financed contract. This list is available at: http://web.worldbank.org/external/default/main?theSitePK=84266&content MDK=64069844&menuPK=116730&pagePK=64148989&piPK=64148984 &sort_on=SUPP_CTRY_NAME&sort_order=ascending&sort_data=text.

ST14.2 The Grantee agrees to take all reasonable steps to ensure that all individuals or entities involved in carrying out the Activity, including the Grantee itself and its officers, employees, contractors and agents:

(a) are not directly or indirectly engaged in preparing, planning, assisting in or the doing of a terrorist act;

(b) are not, and do not become a Listed Terrorist Organisation;

(c) are not, and do not become listed on the Consolidated List;

(d) are not, and to do not become listed on the World Bank Listing of Ineligible Firms and Individuals;

(e) are not owned or controlled by any individual or entity mentioned in the lists referred to in ST14.2 (b) to (d); and

(f) do not provide direct or indirect support, resources or assets (including any Commonwealth funding) to any individual or entity associated with terrorism or mentioned in the lists referred to in ST14.2 (b) to (d).

ST14.3 The Grantee agrees to inform the Commonwealth immediately if the Grantee discovers that the Grantee itself or any of its officers, employees, contractors or agents or any other individual or entity involved in carrying out the Activity may have contravened this clause ST14.

ST15. Anti-corruption ST15.1 In this Agreement:

Illegal or Corrupt Practice means directly or indirectly:

(a) making or causing to be made, any offer, gift, payment, consideration or benefit of any kind to any party, or

(b) receiving or seeking to receive, any offer, gift, payment, consideration or benefit of any kind from any party, as an inducement or reward in relation to the performance of the Activity, which would or could be construed as an illegal or corrupt practice;

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ST15.2 The Grantee warrants that the Grantee, its officers, employees, contractors, agents and any other individual or entity involved in carrying out the Activity have not, engaged in an Illegal or Corrupt Practice.

ST15.3 The Grantee agrees not to, and to take all reasonable steps to ensure that its officers, employees, contractors, agents and any other individual or entity involved in carrying out the Activity do not:

(a) engage in an Illegal or Corrupt Practice; or

(b) engage in any practice that could constitute the offence of bribing a foreign public official contained in section 70.2 of the Criminal Code Act 1995 (Cth).

ST15.4 The Grantee agrees to inform the Commonwealth within five business days if the Grantee becomes aware of any activity as described in ST15.3 in relation to the performance of the Activity.

ST16. Step‐in rights

Not applicable

ST17. Grant administrator Not applicable

ST18. Management Adviser

Not applicable

ST19. Indemnities ST19.1 The Grantee indemnifies the Commonwealth, its officers, employees and contractors against any claim, loss or damage arising in connection with the Activity.

ST19.2 The Grantee's obligation to indemnify the Commonwealth will reduce proportionally to the extent any act or omission involving fault on the part of the Commonwealth contributed to the claim, loss or damage.

ST20. Compliance with Legislation and Policies ST20.1 In this Agreement:

Legislation means a provision of a statute or subordinate legislation of the Commonwealth, or of a State, Territory or local authority.

ST20.2 The Grantee agrees to comply with all Legislation applicable to its performance of this Agreement.

ST20.3 The Grantee agrees, in carrying out its obligations under this Agreement, to comply with any of the Commonwealth’s policies as notified, referred or made available by the Commonwealth to the Grantee (including by reference to an internet site).

ST20.4 In carrying out the Activity, the Grantee must comply with the following applicable policies/laws:

(a) All State, Territory or Commonwealth law relating to the employment or engagement of people who work or volunteer with children in relation to the Activity including mandatory reporting and working with children checks however described and, if requested, provide the Commonwealth, at the Grantee’s cost, with an annual statement of compliance with these requirements in such form as may be specified by the Commonwealth

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(b) all relevant ethics codes and guidelines adopted by the National Health and Medical Research Council, the Office of the Gene Technology Regulator, and all other relevant regulatory agencies operating in Australia and in any place in which the research is being conducted

(c) the NHMRC/ARC/UA Australian Code for the Responsible Conduct of Research (2018 or subsequent updates), and, if applicable, the NHMRC/ARC/AVCC National Statement on Ethical Conduct in Human Research (2007 or subsequent updates).

ST21. Work health and safety

ST21.1 The Grantee agrees to ensure that it complies at all times with all applicable work health and safety legislative and regulatory requirements and any additional work health and safety requirements set out in the Grant Details.

ST21.2 If requested by the Commonwealth, the Grantee agrees to provide copies of its work health and safety management plans and processes and such other details of the arrangements it has in place to meet the requirements referred to in clause ST21.1.

ST21.3 When using the Commonwealth’s premises or facilities, the Grantee agrees to comply with all reasonable directions and procedures relating to work health and safety and security in effect at those premises or those facilities, as notified by the Commonwealth or as might reasonably be inferred from the use to which the premises or facilities are being put.

ST22. Transition Not applicable

ST23. Corporate Governance ST23.1 In this Agreement:

Constitution means (depending on the context):

(a) a company’s, body corporate’s or incorporated association’s constitution, or equivalent documents, which (where relevant) includes rules and any amendments that are part of the constitution;

(b) in relation to any other kind of body:

(i) the body’s charter or memorandum; or

(ii) any instrument or law constituting or defining the constitution of the body or governing the activities of the body or its members.

ST23.2 The Grantee warrants that nothing in its constitution conflicts with its obligations under this Agreement.

ST23.3 The Grantee agrees to provide a copy of its constitution to the Commonwealth upon request and inform the Commonwealth whenever there is a change in the Grantee’s constitution, structure or management.

ST24. Counterparts

ST24.1 This Agreement may be executed in any number of counterparts. All counterparts, taken together, constitute one instrument. A Party may execute this Agreement by signing any counterpart.

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ST25. Secret and Sacred Indigenous Material Not applicable

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Schedule 1: Commonwealth Standard Grant Conditions

1. Undertaking the Activity

1.1 The Grantee agrees to undertake the Activity for the purpose of the Grant in accordance with this Agreement.

1.2 The Grantee is fully responsible for the Activity and for ensuring the performance of all its obligations under this Agreement in accordance with all relevant laws. The Grantee will not be relieved of that responsibility because of:

(a) the grant or withholding of any approval or the exercise or non‐exercise of any right by the Commonwealth; or

(b) any payment to, or withholding of any payment from, the Grantee under this Agreement.

2. Payment of the Grant 2.1 The Commonwealth agrees to pay the Grant to the Grantee in accordance with the Grant Details.

2.2 Notwithstanding any other provision of this Agreement, the Commonwealth may by notice withhold payment of any amount of the Grant and/or take any other action specified in the Supplementary Terms if it reasonably believes that:

(a) the Grantee has not complied with this Agreement;

(b) the Grantee is unlikely to be able to perform the Activity or manage the Grant in accordance with this Agreement; or

(c) there is a serious concern relating to this Agreement that requires investigation.

2.3 A notice under clause 2.2 will contain the reasons any action taken under clause 2.2 and, where relevant, the steps the Grantee can take to address those reasons.

2.4 The Commonwealth will only be obliged to pay the withheld amount once the Grantee has addressed the reasons contained in a notice under clause 2.2 to the Commonwealth’s reasonable satisfaction.

3. Acknowledgements 3.1 The Grantee agrees not to make any public announcement, including by social media, in connection with the awarding of the Grant without the Commonwealth’s prior written approval.

3.2 The Grantee agrees to acknowledge the Commonwealth’s support in all Material, publications and promotional and advertising materials published in connection with this Agreement. The Commonwealth may notify the Grantee of the form of acknowledgement that the Grantee is to use.

4. Notices

4.1 Each Party agrees to promptly notify the other Party of anything reasonably likely to adversely affect the undertaking of the Activity, management of the Grant or its performance of any of its other requirements under this Agreement.

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4.2 A notice given by a Party under this Agreement must be in writing and addressed to the other Party’s representative as set out in the Grant Details or as most recently updated by notice given in accordance with this clause.

5. Relationship between the Parties 5.1 A Party is not by virtue of this Agreement the employee, agent or partner of the other Party and is not authorised to bind or represent the other Party.

6. Subcontracting

6.1 The Grantee is responsible for the performance of its obligations under this Agreement, including in relation to any tasks undertaken by subcontractors.

6.2 The Grantee agrees to make available to the Commonwealth the details of any of its subcontractors engaged to perform any tasks in relation to this Agreement upon request.

7. Conflict of interest 7.1 Other than those which have already been disclosed to the Commonwealth, the Grantee warrants that, to the best of its knowledge, at the date of this Agreement, neither it nor its officers have any actual, perceived or potential conflicts of interest in relation to the Activity.

7.2 If during the term of the Agreement, any actual, perceived or potential conflict arises or there is any material change to a previously disclosed conflict of interest, the Grantee agrees to:

(a) notify the Commonwealth promptly and make full disclosure of all relevant information relating to the conflict; and

(b) take any steps the Commonwealth reasonably requires to resolve or otherwise deal with that conflict.

8. Variation, assignment and waiver 8.1 This Agreement may be varied in writing only, signed by both Parties.

8.2 The Grantee cannot assign its obligations, and agrees not to assign its rights, under this Agreement without the Commonwealth’s prior approval.

8.3 The Grantee agrees not to enter into negotiations with any other person for the purposes of entering into an arrangement that will require novation of, or involve any assignment of rights under, this Agreement without first consulting the Commonwealth.

8.4 A waiver by a Party of any of its rights under this Agreement is only effective if it is in a signed written notice to the other Party and then only to the extent specified in that notice.

9. Taxes, duties and government charges 9.1 The Grantee agrees to pay all taxes, duties and government charges imposed or levied in Australia or overseas in connection with the performance of this Agreement, except as provided by this Agreement.

9.2 If Goods and Services Tax (GST) is payable by a supplier on any supply made under this Agreement, the recipient of the supply will pay to the supplier an amount equal to the GST payable on the supply, in addition to and at the same time that the consideration for the supply is to be provided under this Agreement.

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9.3 The Parties acknowledge and agree that they each:

(a) are registered for GST purposes;

(b) have quoted their Australian Business Number to the other; and

(c) must notify the other of any changes to the matters covered by this clause.

9.4 The Grantee agrees that the Commonwealth will issue it with a recipient created tax invoices for any taxable supplies it makes under this Agreement.

9.5 The Grantee agrees not to issue tax invoices in respect of any taxable supplies.

9.6 If the Grantee is not, or not required to be, registered for GST, then:

(a) clauses 9.3(a), 9.4 and 9.5 do not apply; and

(b) the Grantee agrees to notify the Commonwealth in writing within 7 days of becoming registered for GST if during the term of the Agreement it becomes, or is required to become, registered for GST.

10. Spending the Grant 10.1 The Grantee agrees to spend the Grant for the purpose of performing the Activity and otherwise in accordance with this Agreement.

10.2 Within 90 days after the Activity Completion, the Grantee agrees to provide the Commonwealth with an independently audited financial acquittal report verifying that the Grant has been spent in accordance with this Agreement.

10.3 The reports under clause 10.2 must be audited by:

(a) a Registered Company Auditor registered under the Corporations Act 2001 (Cth); or

(b) a certified Practising Accountant; or

(c) a member of the Institute of Public Accountants; or

(d) a member of Chartered Accountants Australia and New Zealand;

who is not a principal member, shareholder, officer or employee of the Grantee or a related body corporate.

11. Repayment 11.1 If any amount of the Grant:

(a) has been spent other than in accordance with this Agreement; or

(b) is additional to the requirements of the Activity

then the Commonwealth may, by written notice:

(c) require the Grantee to repay that amount to the Commonwealth;

(d) require the Grantee to deal with that amount as directed by the Commonwealth; or

(e) deduct the amount from subsequent payments of the Grant or amounts payable under another agreement between the Grantee and the Commonwealth.

11.2 If the Commonwealth issues a notice under this Agreement requiring the Grantee to repay a Grant amount:

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(a) the Grantee must do so within the time period specified in the notice;

(b) the Grantee must pay interest on any part of the amount that is outstanding at the end of the time period specified in the notice until the outstanding amount is repaid in full; and

(c) the Commonwealth may recover the amount and any interest under this Agreement as a debt due to the Commonwealth without further proof of the debt being required.

12. Record keeping

12.1 The Grantee agrees to keep financial accounts and other records that:

(a) detail and document the conduct and management of the Activity;

(b) identify the receipt and expenditure of the Grant and any Other Contributions separately within the Grantee's accounts and records so that at all times the Grant is identifiable;

(c) enable all receipts and payments related to the Activity to be identified and reported.

12.2 The Grantee agrees to keep the records for five years after the Activity Completion Date or such other time specified in the Grant Details and provide copies of the records to the Commonwealth upon request.

13. Reporting and liaison

13.1 The Grantee agrees to provide the Reporting Material specified in the Grant Details to the Commonwealth.

13.2 In addition to the obligations in clause 13.1, the Grantee agrees to:

(a) liaise with and provide information to the Commonwealth as reasonably required by the Commonwealth; and

(b) comply with the Commonwealth’s reasonable requests, directions, or monitoring requirements,

in relation to the Activity.

13.3 If the Commonwealth acting reasonably has concerns regarding the performance of the Activity or the management of the Grant, the Commonwealth may by written notice require the Grantee to provide one or more additional reports, containing the information and by the date(s) specified in the notice.

13.4 The Grantee acknowledges that the giving of false or misleading information to the Commonwealth is a serious offence under the Criminal Code Act 1995 (Cth).

14. Privacy 14.1 When dealing with Personal Information in carrying out the Activity, the Grantee agrees:

(a) to comply with the requirements of the Privacy Act 1988 (Cth);

(b) not to do anything which, if done by the Commonwealth, would be a breach of an Australian Privacy Principle;

(c) to ensure that any of the Grantee’s subcontractors or personnel who deal with Personal Information for the purposes of this Agreement are aware of the

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requirements of the Privacy Act 1988 (Cth) and the Grantee’s obligations under this clause;

(d) to immediately notify the Commonwealth if the Grantee becomes aware of an actual or possible breach of this clause by the Grantee or any of the Grantee’s subcontractors or personnel.

14.2 In carrying out the Activity, the Grantee agrees not to send any Personal Information outside of Australia without the Commonwealth’s prior written approval. The Commonwealth may impose any conditions it considers appropriate when giving its approval.

15. Confidentiality 15.1 The Parties agree not to disclose each other’s confidential information without the other Party’s prior written consent unless required or authorised by law or Parliament to disclose.

15.2 The Commonwealth may disclose the Grantee’s confidential information where;

(a) the Commonwealth is providing information about the Activity or Grant in accordance with Commonwealth accountability and reporting requirements;

(b) the Commonwealth is disclosing the information to a Minister of the Australian Government, a House or Committee of the Commonwealth Parliament; or

(c) the Commonwealth is disclosing the information to its personnel or another Commonwealth agency where this serves the Commonwealth's legitimate interests.

16. Insurance 16.1 The Grantee agrees to maintain adequate insurance for as long as any obligations remain in connection with this Agreement and provide proof of insurance to the Commonwealth upon request.

17. Intellectual property 17.1 Subject to clause 17.2 the Grantee owns the Intellectual Property Rights in Activity Material created and Reporting Material.

17.2 This Agreement does not affect the ownership of Intellectual Property Rights in Existing Material.

17.3 The Grantee provides the Commonwealth a permanent, non‐exclusive, irrevocable, royalty‐free licence to use, modify, communicate, reproduce, publish, adapt and sub-license the Reporting Material for Commonwealth Purposes.

17.4 The licence in clause 17.3 does not apply to Activity Material.

18. Dispute resolution 18.1 The Parties agree not to initiate legal proceedings in relation to a dispute arising under this Agreement unless they have first tried and failed to resolve the dispute by negotiation.

18.2 Unless clause 18.3 applies, the Parties agree to continue to perform their respective obligations under this Agreement when a dispute exists.

18.3 The Parties may agree to suspend performance of the Agreement pending resolution of the dispute.

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18.4 Failing settlement by negotiation in accordance with clause 18.1, the Parties may agree to refer the dispute to an independent third person with power to intervene and direct some form of resolution, in which case the Parties will be bound by that resolution. If the Parties do not agree to refer the dispute to an independent third person, either Party may initiate legal proceedings.

18.5 Each Party will bear their own costs in complying with this clause 18, and the Parties will share equally the cost of any third person engaged under clause 18.4.

18.6 The procedure for dispute resolution under this clause does not apply to any action relating to termination, cancellation or urgent interlocutory relief.

19. Reduction, Suspension and Termination 19.1 Reduction in scope of agreement for fault

19.1.1 If the Grantee does not comply with an obligation under this Agreement and the Commonwealth believes that the non‐compliance is incapable of remedy, or if the Grantee has failed to comply with a notice to remedy, the Commonwealth may by written notice reduce the scope of the Agreement.

19.1.2 The Grantee agrees, on receipt of the notice of reduction, to:

(a) stop or reduce the performance of the Grantee’s obligations as specified in the notice;

(b) take all available steps to minimise loss resulting from the reduction;

(c) continue performing any part of the Activity or the Agreement not affected by the notice if requested to do so by the Commonwealth;

(d) report on, and return any part of the Grant to the Commonwealth, or otherwise deal with the Grant, as directed by the Commonwealth.

19.1.3 In the event of reduction under clause 19.1.1, the amount of the Grant will be reduced in proportion to the reduction in the scope of the Agreement.

19.2 Suspension

19.2.1 If:

(a) the Grantee does not comply with an obligation under this Agreement and the Commonwealth believes that the non‐compliance is capable of remedy;

(b) the Commonwealth reasonably believes that the Grantee is unlikely to be able to perform the Activity or manage the Grant in accordance with this Agreement; or

(c) the Commonwealth reasonably believes that there is a serious concern relating to this Agreement that requires investigation;

the Commonwealth may by written notice:

(d) immediately suspend the Grantee from further performance of the Agreement (including expenditure of the Grant); and/or

(e) require that the non‐compliance or inability be remedied, or the investigation be completed, within the time specified in the notice.

19.2.2 If the Grantee:

(a) remedies the non‐compliance or inability specified in the notice to the Commonwealth’s reasonable satisfaction, or the Commonwealth reasonably

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concludes that the concern is unsubstantiated, the Commonwealth may direct the Grantee to recommence performing the Activity; or

(b) fails to remedy the non‐compliance or inability within the time specified, or the Commonwealth reasonably concludes that the concern is likely to be substantiated, the Commonwealth may reduce the scope of the Agreement in accordance with clause 19.1 or terminate the Agreement immediately by giving a second notice in accordance with clause 19.3.

19.3 Termination for fault

19.3.1 The Commonwealth may terminate this Agreement by notice where the Grantee has:

(a) failed to comply with an obligation under this Agreement and the Commonwealth believes that the non‐compliance is incapable of remedy or where clause 19.2.2(b) applies;

(b) provided false or misleading statements in relation to the Grant; or

(c) become bankrupt or insolvent, entered into a scheme of arrangement with creditors, or come under any form of external administration.

19.3.2 The Grantee agrees, on receipt of the notice of termination, to:

(a) stop the performance of the Grantee’s obligations;

(b) take all available steps to minimise loss resulting from the termination; and

(c) report on, and return any part of the Grant to the Commonwealth, or otherwise deal with the Grant, as directed by the Commonwealth.

20. Cancellation or reduction for convenience

20.1 The Commonwealth may cancel or reduce the scope of this Agreement by notice, due to:

(a) a change in government policy; or

(b) a Change in the Control of the Grantee which the Commonwealth reasonably believes will negatively affect the Grantee’s ability to comply with this Agreement.

20.2 On receipt of a notice of reduction or cancellation under this clause, the Grantee agrees to:

(a) stop or reduce the performance of the Grantee's obligations as specified in the notice; and

(b) take all available steps to minimise loss resulting from that reduction or cancellation; and

(c) continue performing any part of the Activity or the Agreement not affected by the notice if requested to do so by the Commonwealth;

(d) report on, and return any part of the Grant to the Commonwealth, or otherwise deal with the Grant, as directed by the Commonwealth.

20.3 In the event of reduction or cancellation under this clause, the Commonwealth will be liable only to:

(a) pay any part of the Grant due and owing to the Grantee under this Agreement at the date of the notice; and

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(b) reimburse any reasonable and substantiated expenses the Grantee unavoidably incurs that relate directly and entirely to the reduction in scope or cancellation of the Agreement.

20.4 In the event of reduction, the amount of the Grant will be reduced in proportion to the reduction in the scope of the Agreement.

20.5 The Commonwealth’s liability to pay any amount under this clause is:

(a) subject to the Grantee's compliance with this Agreement; and

(b) limited to an amount that when added to all other amounts already paid under the Agreement will not exceed the total amount of the Grant.

20.6 The Grantee will not be entitled to compensation for loss of prospective profits or benefits that would have been conferred on the Grantee but for the cancellation or reduction in scope of the Agreement under clause 20.1.

20.7 The Commonwealth will act reasonably in exercising its rights under this clause.

21. Survival 21.1 The following clauses survive termination, cancellation or expiry of this Agreement:

 clause 10 (Spending the Grant);

 clause 11 (Repayment);

 clause 12 (Record keeping);

 clause 13 (Reporting);

 clause 14 (Privacy);

 clause 15 (Confidentiality);

 clause 16 (Insurance)

 clause 17 (Intellectual property);

 clause 19 (Reduction, Suspension and Termination);

 clause 21 (Survival);

 clause 22 (Definitions);

 ST4 (Access/monitoring/inspection);

 ST19 (Indemnities);and

 any other clause which expressly or by implication from its nature is meant to survive.

22. Definitions

22.1 In this Agreement, unless the contrary appears:

 Activity means the activities described in the Grant Details and includes the provisions of the Reporting Material.

 Activity Completion Date means the date or event specified in the Grant Details.

 Activity Material means any Material, other than Reporting Material, created or developed by the Grantee as a result of the Activity and includes any Existing Material that is incorporated in or supplied with the Activity Material.

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 Agreement means the Grant Details, Supplementary Terms (if any), the Commonwealth Standard Grant Conditions and any other document referenced or incorporated in the Grant Details.

 Agreement End Date means the date or event specified in the Grant Details.

 Australian Privacy Principle has the same meaning as in the Privacy Act 1988

 Change in the Control means any change in any person(s) who directly exercise effective control over the Grantee.

 Commonwealth means the Commonwealth of Australia as represented by the Commonwealth entity specified in the Agreement and includes, where relevant, its officers, employees, contractors and agents.

 Commonwealth Purposes includes the following:

(a) the Commonwealth verifying and assessing grant proposals, including a grant application;

(b) the Commonwealth administering, monitoring, reporting on, auditing, publicising and evaluating a grant program or exercising its rights under this Agreement;

(c) the Commonwealth preparing, managing, reporting on, auditing and evaluating agreements, including this Agreement; and

(d) the Commonwealth developing and publishing policies, programs, guidelines and reports, including Commonwealth annual reports;

but in all cases:

(e) excludes the commercialisation (being for‐profit use) of the Material by the Commonwealth.

 Commonwealth Standard Grant Conditions means this document.

 Existing Material means Material developed independently of this Agreement that is incorporated in or supplied as part of Reporting Material or Activity Material.

 Grant means the money, or any part of it, payable by the Commonwealth to the Grantee for the Activity as specified in the Grant Details and includes any interest earned by the Grantee on that money once the Grant has been paid to the Grantee.

 Grantee means the legal entity other than the Commonwealth specified in the Agreement and includes, where relevant, its officers, employees, contractors and agents.

 Grant Details means the document titled Grant Details that forms part of this Agreement.

 Intellectual Property Rights means all copyright, patents, registered and unregistered trademarks (including service marks), registered designs, and other rights resulting from intellectual activity (other than moral rights under the Copyright Act 1968).

 Material includes documents, equipment, software (including source code and object code versions), goods, information and data stored by any means including all copies and extracts of them.

 Party means the Grantee or the Commonwealth.

 Personal Information has the same meaning as in the Privacy Act 1988.

 Records includes documents, information and data stored by any means and all copies and extracts of the same.

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 Reporting Material means all Material which the Grantee is required to provide to the Commonwealth for reporting purposes as specified in the Grant Details, and includes any Existing Material that is incorporated in or supplied with the Reporting Material.

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Signatures Executed as an agreement:

Commonwealth Signed for and on behalf of the Commonwealth of Australia as represented by the Department of Industry, Innovation and Science.

Name Leonie Horrocks

Position General Manager

Date 25 March 2020

Grantee

Full legal name of the Grantee RIDLEY AGRIPRODUCTS PTY LTD.

ABN: 94006544145

Name of Authorised Representative Nicholas Tomkins

Date 25 March 2020

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Schedule 2 Reporting requirements

Appendix 1

Cooperative Research Centres Projects Round 8 - progress report requirements

You will need to provide the following information in your progress reports. The Commonwealth reserves the right to amend or adjust the requirements.

You must complete and submit your report on the portal. You can enter the required information in stages and submit when it is complete.

Project progress a. Please provide a brief outline of project progress, as a whole, undertaken in the reporting period, including any real or potential challenges or issues, as well as any major achievements. If the project is experiencing delays, you must outline how it intends to

address the issues in order to mitigate the delays.

b. Complete the following table, updating for all milestones shown in [the Activity Schedule of] your grant agreement. If a future milestone has not yet commenced, enter ‘Yet to commence’. In addition to progress comments, if a contracted end date is unlikely to be met, you must outline:

 Reasons for the delay on the milestone;  Expected impact the delay will have on the milestone; and  Actions taken or proposed to ensure that the milestone is achieved and not delayed further.

No Milestone description Agreed

completion date

Actual /anticipated completion date

Milestone progress (% complete) at end of reporting period

(f) [milestone 1 name] dd/mm/yy

Progress Comments - work undertaken and impact of any delay

(g) [milestone 2 name] dd/mm/yy

Progress Comments - work undertaken and impact of any delay

(h) [milestone 3 name] dd/mm/yy

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 36 of 58

No Milestone description Agreed

completion date

Actual /anticipated completion date

Milestone progress (% complete) at end of reporting period

Progress Comments - work undertaken and impact of any delay

c. Are there any other matters which may affect your compliance with the grant agreement, for example:

Matter Yes No

Are there any proposed or actual changes to your company/incorporated trustee ownership/control/structure? ☐ ☐

Are there any changes to the partners? ☐ ☐

Are there any changes to a partner’s future contributions? ☐ ☐

Are there any proposed or actual changes to the partner agreement or other contractual arrangements between partners?

☐ ☐

Have you received financial assistance from another government source for, or in connection with, activities you have been contracted to undertake under the grant agreement?

☐ ☐

Are there any conflicts of interest arising within your project that will affect you meeting your obligations under the grant agreement?

☐ ☐

Are there any additional/new risk factors that will influence the likelihood of successfully completing the project?

☐ ☐

If you answered ‘Yes’ to any of the above, please provide details:

Based on the information provided, the department will determine whether the changes will require a variation to the grant agreement.

Financial progress (i) Complete the following table to show all participant contributions and grantee expenditure incurred in this reporting period. Forecast participant contributions are also required for the next reporting period to enable calculation of the quarterly grant payment.

All expenditure should be GST inclusive, less GST credits you can claim. We may ask you to provide evidence of costs incurred.

Refer to the CRC Project Grant Opportunity Guidelines or contact us if you have any questions about eligible expenditure.

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 37 of 58

Grantee/Lead Participant:

Contribution type This quarter Next quarter Contracted for

current FY Total contracted over the life of the project

Cash $ $ $

FTE Value $ $ $

Non-staff in-kind $ $ $

Total value of contributions $ $ $

Notes, please include any relevant details:

Participant:

Contribution type This quarter Next quarter Contracted for

current FY Total contracted over the life of the project

Cash $ $ $

FTE Value $ $ $

Non-staff in-kind $ $ $

Total value of contributions $ $ $

Notes, please include any relevant details:

Participant:

Contribution type This quarter Next quarter Contracted for

current FY Total contracted over the life of the project

Cash $ $ $

FTE Value $ $ $

Non-staff in-kind $ $ $

Total value of contributions $ $ $

Notes, please include any relevant details:

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 38 of 58

Heads of Expenditure

Expense type This quarter Contracted for

current FY

Total contracted over the life of the project

Labour including on-costs $ $ $

Contract $ $ $

Capital including Computing equipment, software and fit out costs

$ $ $

Acquiring IP and Technology $ $ $

Travel and overseas $ $ $

Audit $ $ $

Other $ $ $

Total Expenditure $ $ $

Notes, please include any relevant details:

Program Data Questionnaire (end of financial year only) You must provide an answer on each Program Data Questionnaire (PDQ) question below, including ‘Nil’ if appropriate. All data reported through the PDQ must only be for the project activities that relate to the relevant end of financial year reporting period (i.e. 1 July to 30 June).

Patents

 Were there any patents filed or maintained during the reporting period?

o Number of new applications for patents filed during the reporting period (in Australia and Overseas).

o Number of patents maintained during the reporting period (in Australia and Overseas).

Licences/Options/Assignments (LOAs)

 Were there any Licences/Options/Assignments (LOAs) executed during the reporting period?

o Number of new LOAs executed involving industry-users during the reporting period related to the Project.

o Income ($000’s) from all LOAs active during the reporting period related to the project.

Contracts, consultancies, material transfer agreements and direct sales

 Were there any contracts, consultancies, material transfer agreements and direct sales undertaken during the reporting period?

o Number of contracts, consultancies, material transfer agreements and direct sales during the reporting period.

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 39 of 58

o Gross contracted value ($000's) from consultancies, contracts, material transfer agreements and direct sales during the reporting period.

Start-up/Spin-off companies

 Were there any new operational start-up/spin-off companies created during the reporting period?

o Number of new operational start-up/spin-off companies related to the Project during the reporting period.

o Income ($000’s) (e.g. royalties, contributions, sale of equity) during the reporting period from all start-up/spin-off companies related to the project.

Publications and reports for industry-users

 Were there any publications or reports arising from the Project's activities published during the reporting period and produced with the aim of transferring know-how or practical information to industry-users during the reporting period?

o Number of publications or reports for industry-users published during the reporting period.

Industry-focused education and training activities

 Were there any industry-focused education and training activities with the aim of transferring know-how or practical information to industry during the reporting period?

o Number of structured professional training courses, conferences, symposia, seminar series or workshops conducted/hosted by the project partners with the aim of transferring know-how or practical information during the reporting period.

o Number of internships and secondments between industry entities and research organisations during the reporting period.

Certification

I ...............................................................being a person duly authorised by the grantee hereby

certify that:

 the information in this report is accurate, complete and not misleading and that I understand the giving of false or misleading information is a serious offence under the Criminal Code 1995 (Cth).

 the activities identified above are for the purposes stated in the grant agreement.

 I am aware of the grantee’s obligations under their grant agreement, including the need to keep the Commonwealth informed of any circumstances that may impact on the objectives, completion and/or outcomes of the agreed project.

 I am aware that the grant agreement empowers the Commonwealth to terminate the grant agreement and to request repayment of funds paid to the grantee where the grantee is in breach of the grant agreement.

Signed ............................................................................. Date

[Position/ title]

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 40 of 58

Appendix 2

Cooperative Research Centres Projects Round 8 - end of project report requirements

You will need to provide the following information in your final report. The Commonwealth reserves the right to amend or adjust the requirements.

You must complete and submit your report on the portal. You can enter the required information in stages and submit when it is complete.

Project progress a. Please provide a brief outline of project progress, as a whole, undertaken in the reporting period, including any real or potential challenges or issues, as well as any major achievements. If the project is experiencing delays, you must outline how it intends to

address the issues in order to mitigate the delays.

b. Complete the following table, updating for all milestones shown in the Activity Schedule of your grant agreement. If a future milestone has not yet commenced, enter ‘Yet to commence’. In addition to progress comments, if a contracted end date is unlikely to be met, you must outline:

 Reasons for the delay on the milestone;  Expected impact the delay will have on the milestone; and  Actions taken or proposed to ensure that the milestone is achieved and not delayed further.

No Milestone description Agreed

completion date

Actual /anticipated completion date

Milestone progress (% complete) at end of reporting period

(a) [milestone 1 name] dd/mm/yy

Progress Comments - work undertaken and impact of any delay

(b) [milestone 2 name] dd/mm/yy

Progress Comments - work undertaken and impact of any delay

(c) [milestone 3 name] dd/mm/yy

Progress Comments - work undertaken and impact of any delay

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c. Are there any other matters which may affect your compliance with the Grant Agreement, for example:

Matter Yes No

Are there any proposed or actual changes to your company/incorporated trustee ownership/control/structure? ☐ ☐

Are there any change to the partners? ☐ ☐

Are there any changes to a partner’s future contributions? ☐ ☐

Are there any proposed or actual changes to the partner agreement or other contractual arrangements between partners?

☐ ☐

Have you received financial assistance from another government source for, or in connection with, activities you have been contracted to undertake under the grant agreement?

☐ ☐

Are there any conflicts of interest arising within your project that will affect you meeting your obligations under the grant agreement?

☐ ☐

Are there any additional/new risk factors that will influence the likelihood of successfully completing the project?

☐ ☐

If you answered ‘Yes’ to any of the above, please provide details:

Based on the information provided, the department will determine whether the changes will require a variation to the grant agreement.

Financial progress (d) Complete the following table to show all participant contributions and grantee expenditure incurred in this reporting period

All expenditure should be GST inclusive, less GST credits you can claim. We may ask you to provide evidence of costs incurred.

Refer to the CRC Project Grant Opportunity guidelines or contact us if you have any questions about eligible expenditure.

Grantee/Lead Participant:

Contribution type This quarter Contracted for

current FY

Total contracted over the life of the project

Cash $ $ $

FTE Value $ $ $

Non-staff in-kind $ $ $

Total value of contributions $ $ $

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 42 of 58

Notes, please include any relevant details:

Participant:

Contribution type This quarter Contracted for

current FY

Total contracted over the life of the project

Cash $ $ $

FTE Value $ $ $

Non-staff in-kind $ $ $

Total value of contributions $ $ $

Notes, please include any relevant details:

Participant:

Contribution type This quarter Contracted for

current FY

Total contracted over the life of the project

Cash $ $ $

FTE Value $ $ $

Non-staff in-kind $ $ $

Total value of contributions $ $ $

Notes, please include any relevant details:

Heads of Expenditure

Expense type This quarter Contracted for

current FY

Total contracted over the life of the project

Labour including on-costs $ $ $

Contract $ $ $

Capital including Computing equipment, software and fit out costs

$ $ $

Aquiring IP and technology $ $ $

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 43 of 58

Travel and overseas $ $ $

Audit $ $ $

Other $ $ $

Total Expenditure $ $ $

Notes, please include any relevant details:

Program Data Questionnaire

You must provide an answer on each Program Data Questionnaire (PDQ) question below, including ‘Nil’ if appropriate. All data reported through the PDQ must only be for the Project Activities that relate to the relevant end of financial year reporting period (i.e. 1 July to 30 June).

Patents

 Were there any patents filed or maintained during the reporting period?

o Number of new applications for patents filed during the reporting period (in Australia and Overseas).

o Number of patents maintained during the reporting period (in Australia and Overseas).

Licences/Options/Assignments (LOAs)

 Were there any Licences/Options/Assignments (LOAs) executed during the reporting period?

o Number of new LOAs executed involving industry-users during the reporting period related to the Project.

o Income ($000’s) from all LOAs active during the reporting period related to the project.

Contracts, consultancies, material transfer agreements and direct sales

 Were there any contracts, consultancies, material transfer agreements and direct sales undertaken during the reporting period?

o Number of contracts, consultancies, material transfer agreements and direct sales during the reporting period.

o Gross contracted value ($000's) from consultancies, contracts, material transfer agreements and direct sales during the reporting period.

Start-up/Spin-off companies

 Were there any new operational start-up/spin-off companies created during the reporting period?

o Number of new operational start-up/spin-off companies related to the Project during the reporting period.

o Income ($000’s) (e.g. royalties, contributions, sale of equity) during the reporting period from all start-up/spin-off companies related to the project.

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Publications and reports for industry-users

 Were there any publications or reports arising from the Project's activities published during the reporting period and produced with the aim of transferring know-how or practical information to industry-users during the reporting period?

o Number of publications or reports for industry-users published during the reporting period.

Industry-focused education and training activities

 Were there any industry-focused education and training activities with the aim of transferring know-how or practical information to industry during the reporting period?

o Number of structured professional training courses, conferences, symposia, seminar series or workshops conducted/hosted by the project partners with the aim of transferring know-how or practical information during the reporting period.

o Number of internships and secondments between industry entities and research organisations during the reporting period.

Final Report The following headings provide an outline of the minimum information to be provided in the ‘Final Report’ section, however you are encouraged to include any other relevant information (including diagrams, images and graphs/tables) that demonstrates the achievements and impacts of the project.

Information in the final quarterly report will be used to inform the Minister, the CRC Advisory Committee, the department and the general public about the performance of the project. It may also be used as part of any evaluation of the impact of the CRC Program as a whole.

You must include a summary providing the following information:

 Governance and management arrangements after the end of the agreement period;

 An independent audit report covering all project related income, resources and expenditure.

 Highlights and achievements, including a ‘Snapshot Summary’; and

 Any other issues as directed by the department.

Governance and Management

Technology Readiness Levels

Technology Readiness Levels (TRLs) track progress of the development of an innovation. At the application stage you were asked to provide an estimated TRL (ranging from TRL 1 to TRL 9) for your CRC Project at the commencement date and the completion date. For this section you must provide an answer to the following question:

 What was the TRL for your CRC Project at the completion date?

Contact Details

You must include contact details for the person, or person duly authorised by the grant agreement, responsible for managing the end of project reporting process and who can be contacted after the agreement period to assist the department with any outstanding reporting requirements.

CRC-P Highlights and Achievements

The highlights and achievements section should be concise, aimed at the general public, describing the project, its partners and purpose. This section should be similar to an executive summary, introducing the project and its activities.

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The highlights and achievements should include information on:

 The direct economic benefits associated with the projects research (verified and quantified by industry wherever possible); specifically information on:

o How many products and services to market (other items of intellectual property) did the project generate during the agreement period;

o The economic benefit to industry through the development of new or improved products, services or processes;

o A statement on whether your target Technology Readiness Level (TRL) was achieved; and

o Any other economic benefits such as risk mitigation, growth in employment, reduction in costs, and capability enhancement.

 The impact of the project on the level of collaboration within the industry more broadly, specifically information on:

o How many SMEs collaborated in the project during the agreement period;

o How many relevant publications did the partners publish during the agreement period;

o Which Growth Centres did the project work with during the agreement period;

o A statement on the value partners place on being part of the project; and

o How partners working together led to an impact that would not have been achievable without the collaboration.

 The impact of education programs on industry, the sector in general and on skills development; specifically information on:

o Details of internships and secondments between industry entities and research organisations;

o The education training programs that were conducted during the agreement period;

o The impact of education and training programs in areas of skill shortages; and

o How education programs have influenced the uptake of new knowledge, products, services or processes.

Note: Where possible; relevant examples including quotes should be included from partners and other industry entities that have benefited as a result of their involvement in the project.

Snapshot Summary

The snapshot’ summary should contain high level concise dot point statements for key highlights/achievements in the below categories, where applicable:

 Major achievements

 Research

 Commercialisation

 SME engagement

 Education and training

 Spin off companies and inventions

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 International engagement

Note: The information provided in the ‘snapshot’ may be used for input into government briefings; as such they need to clearly demonstrate a project’s achievements in plain English.

Updated business indicators

Provide the following financial data for your organisation for your latest complete financial year.

We collect the following data from all beneficiaries across all programs. We use this data to better understand your organisation and to help us develop better policies and programs.

 Latest financial year completed

 Sales revenue (turnover)

 Export revenue

 R&D expenditure

 Taxable income

 Number of employees including working proprietors and salaried directors (headcount)

 Number if independent contractors (headcount)

Certification

I ...............................................................being a person duly authorised by the grantee hereby

certify that:

 the information in this report is accurate, complete and not misleading and that I understand the giving of false or misleading information is a serious offence under the Criminal Code 1995 (Cth).

 the activities identified above are for the purposes stated in the grant agreement.

 I am aware of the grantee’s obligations under their grant agreement, including the need to keep the Commonwealth informed of any circumstances that may impact on the objectives, completion and/or outcomes of the agreed project.

 I am aware that the grant agreement empowers the Commonwealth to terminate the grant agreement and to request repayment of funds paid to the grantee where the grantee is in breach of the grant agreement.

Signed ............................................................................. Date

[Position/ title]

For Official Use Only

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 47 of 58

Appendix 3

Commonwealth grant agreement administered by Department of Industry, Innovation and Science - Independent audit report

Background

These templates assist Grantees (and their auditors) to understand the audit requirements under a Commonwealth grant agreement administered by the Department of Industry, Innovation and Science. For further information contact us on 13 28 46 or at business.gov.au.

When an independent audit report is required under our grant agreements the Grantee must provide us with:

 a statement of grant income and expenditure against the expenditure categories under the grant agreement (attachment A)

 an independent audit report on the statement of grant income and expenditure (attachment B)

 certification of certain matters by the auditor (attachment C).

You can find additional information on the grant opportunity relevant to your grant at business.gov.au or by calling us on 13 28 46.

Eligible expenditure

Advice on eligible expenditure for projects under the grant opportunity can be found in grant opportunity guidelines. These guidelines are revised from time to time and therefore more than one version of the document may exist. The relevant guidelines are those that were effective at the time the Grantee’s application was accepted.

It is essential that Grantees and their auditors understand the eligible expenditure requirements because these determine whether, and the extent to which, certain costs are reportable and claimable.

The amount of grant funding we approve is based on the Grantee’s estimated eligible expenditure, as provided in their application. However, the grant funding any Grantee is ultimately entitled to receive is determined against actual eligible expenditure incurred and paid for on the project. The grant amount specified in the grant agreement is the maximum amount the Grantee may be paid.

The expenditure reported in the ’statement of grant income and expenditure’ at attachment A must represent actual ‘eligible expenditure’ paid on the project during that period.

For Official Use Only

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Attachment A - Statement of grant income and expenditure

Grant opportunity name [grant opportunity name]

Project number [project number]

Grantee [organisation]

Project title [project title]

Reporting period start date [project start date or other reporting period start date]

Reporting period end date [project end date or other reporting period end date]

This statement of grant income and expenditure must be prepared by the Grantee and contain the following:

 Statement of funds, Grantee contributions and other financial assistance*

 Statement of eligible expenditure*

 Notes to the statement of eligible expenditure, explaining the basis of compilation

 Certification by directors of the Grantee

 *We will compare this information to that detailed in the grant agreement.

1. Statement of funds, Grantee contributions and other financial assistance

Complete the following table for all cash [and in-kind] contributions for your project for the period in question, including

 the grant

 other government funding

 your own contributions

 partner or other third party contributions

 any additional private sector funding.

Insert rows as required.

Contributor Cash amount (GST

excl)

[Estimated in-kind amount (GST excl)] Total (GST excl)

Grant $[enter amount] $[enter amount] $[enter amount]

Grantee $[enter amount] $[enter amount] $[enter amount]

[enter contributor] $[enter amount] $[enter amount] $[enter amount]

[enter contributor] $[enter amount] $[enter amount] $[enter amount]

Total $[enter amount] $[enter amount] $[enter amount]

For Official Use Only

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 49 of 58

2. Statement of eligible expenditure

You must provide detail of the eligible expenditure that has been incurred and paid for during the reporting period in the ‘Statement of eligible expenditure’ spreadsheet.

Comment on any variance between the expenditure items and amounts detailed in the grant agreement and the actual items and amounts detailed in the attached statement of eligible expenditure.

[enter details]

3. Note to the statement of eligible expenditure

3.1 Eligible expenditure

The eligible expenditure as reported in the statement of eligible expenditure is in accordance with the grant opportunity guidelines.

3.2 Basis of compilation

This statement of eligible expenditure has been prepared to meet the requirements of the grant agreement between [enter Grantee name] and the Commonwealth represented by the Department of Industry, Innovation and Science. Significant accounting policies applied in the compilation of the statement of grant income and expenditure include the following:

[enter details]

For Official Use Only

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4. Certification by directors [if not director, replace with appropriate equivalent]

[Grantee name]

[Project number]

For the period [dd/ mm/yyyy] to [dd/ mm/yyyy]

We confirm that, to the best of our knowledge and believe, having made such enquiries as we considered necessary for the purpose of appropriately informing ourselves:

Statement of grant income and expenditure

a. We have fulfilled our responsibilities for the preparation of the statement of grant income and expenditure in accordance with the cash basis of accounting and the terms of the grant agreement with the Commonwealth, represented by the Department of Industry, Innovation and Science dated [enter date]; in particular, the statement of grant income and expenditure presents fairly in accordance therewith.

b. All events subsequent to the date of the statement of grant income and expenditure which require adjustment or disclosure so as to present fairly the statement of grant income and expenditure, have been adjusted or disclosed.

c. [Where applicable] The effects of uncorrected misstatements are immaterial, both individually and in the aggregate, to the statement of grant income and expenditure as a whole. A list of the uncorrected misstatements is attached to this representation letter.

d. That all Grantee contributions and other financial assistance were spent for the purpose of the project and in accordance with the grant agreement and that the Grantee has complied with the grant agreement and relevant accounting policies.

e. That salaries and allowances paid to persons involved in the project are in accordance with any applicable award or agreement in force under any relevant law on industrial or workplace relations.

Signature ..................................................................................

Name [enter name]

Director

Date [dd/mm/yyyy]

Signature ..................................................................................

Name [enter name]

Director

Date [dd/mm/yyyy]

For Official Use Only

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5. For Auditor use only

I certify that this statement of grant income and expenditure is the one used to prepare my independent audit report dated [enter date] for the Department of Industry, Innovation and Science.

Signature ..................................................................................

Name [enter name]

Position [enter position]

Auditor’s employer [enter employer name]

Date [dd/mm/yyyy]

For Official Use Only

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Attachment B - Independent audit report

Background for auditors

The purpose of the independent audit report is to provide us with an auditor's opinion on the Grantee’s statement of grant income and expenditure. The statement of grant income and expenditure is prepared by the Grantee to correspond with the expenditure reported to the department by the Grantee for the same period, in the process of claiming grant payments.

The independent audit report must be prepared by a person who is an approved auditor.

An approved auditor is a person who is:

a. registered as a company auditor under the Corporations Act 2001 or an appropriately qualified member of Chartered Accountants Australia and New Zealand, or of CPA Australia or the Institute of Public Accountants; and

b. not a principal, member, shareholder, officer, agent, subcontractor or employee of the Grantee or of a related body corporate or a Connected Entity.

The audit should be undertaken and reported in accordance with Australian Auditing Standards.

The independent audit report must follow the required format and include any qualification regarding the matters on which the auditor provides an opinion. We may follow up any qualifications with the Grantee or auditor. The independent audit report must be submitted on the auditor's letterhead.

Auditors must comply with the professional requirements of Chartered Accountants Australia and New Zealand, CPA Australia and the Institute of Public Accountants in the conduct of their audit.

If the auditor forms an opinion that the statement of grant income and expenditure does not give a true and fair view of the eligible expenditure for the period, the independent audit report should be qualified and the error quantified in the qualification section of the independent audit report.

The required independent audit report format follows.

For Official Use Only

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Auditor’s report

Independent audit report in relation to [Grantee name]’s statement of grant income and expenditure to the Commonwealth, represented by the Department of Industry, Innovation and Science (the department).

We have audited:

a. the accompanying statement of grant income and expenditure of [Grantee name] for the period [dd/mm/yyyy] to [dd/mm/yyyy], a summary of significant accounting policies and other explanatory information, and management’s attestation statement thereon (together “the financial statement”). The financial statement has been prepared by management using the cash basis of accounting described in note 3.2 to the financial statement; and

b. [Grantee name]'s compliance with the terms of the grant agreement between [Grantee name] and the Commonwealth dated [date of agreement] for the period [dd/mm/yyyy] to [dd/mm/yyyy] (the grant agreement).

We have:

a. reviewed [Grantee name]’s statement of labour costs in support of its claim of eligible expenditure[; and

b. performed limited assurance procedures on [Grantee name]’s statement of employee numbers under the grant agreement].

Management’s responsibility

Management is responsible for:

a. the preparation and fair presentation of the financial statement in accordance with the basis of accounting described in note 3.2, this includes determining that the cash basis of accounting is an acceptable basis for the preparation of the financial statement in accordance with the grant agreement;

b. compliance with the terms of the grant agreement;

c. the preparation of the statement of employee numbers and labour costs in support of eligible expenditure; and

d. such internal control as management determines is necessary to:

i enable the preparation of the financial statement and the statement of [employee numbers and ]labour costs that are free from material misstatement, whether due to fraud or error; and

ii enable compliance with the terms of the grant agreement.

Auditor’s responsibility

Our responsibilities are:

a. To express an opinion, based on our audit, on:

i the financial statement; and

ii [Grantee name]’s compliance, in all material respects, with the terms of the grant agreement; and

For Official Use Only

Cooperative Research Centres Projects Round 8 Standard Grant Agreement August 2019 Page 54 of 58

b. To conclude based on:

i our review procedures, on the statement of labour costs; and

ii our limited assurance procedures on the statement of employee numbers.

We conducted our audit of the financial statement in accordance with Australian Auditing Standards; our audit of compliance with the grant agreement in accordance with ASAE 3100, our review of the statement of labour costs in accordance with ASRE 2405[; and our limited assurance procedures on employee numbers in accordance with ASAE 3000]. The applicable Standards require that we comply with relevant ethical requirements and plan and perform our work to:

a. obtain reasonable assurance about whether the financial statement is free from material misstatement and that [Grantee name] has complied, in all material respects, with the terms of the grant agreement; and

b. obtain limited assurance as to whether anything has come to our attention that causes us to believe that the statements of employee numbers and labour costs are materially misstated.

An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statement and about the Grantee’s compliance with the grant agreement. The procedures selected depend on the auditor’s judgement, including the assessment of the risks of material misstatement of the financial statement, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the Grantee’s preparation and fair presentation of the financial statement, and to the Grantee’s compliance with the grant agreement, in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Grantee’s internal control. An audit also includes evaluating the appropriateness of accounting policies used by management, as well as evaluating the overall presentation of the financial statement.

A review consists of making enquiries and applying analytical and other review procedures. A review is substantially less in scope than an audit conducted in accordance with Auditing Standards and consequently does not enable us to obtain assurance that we would become aware of all significant matters that might be identified in an audit. Accordingly, we do not express an audit opinion on the statement of labour costs.

A limited assurance engagement undertaken in respect of the statement of employee numbers, in accordance with ASAE 3000 involves [level of detail about procedures to be determined by the auditor]. The procedures performed in a limited assurance engagement vary in nature and timing from, and are less in extent than for, a reasonable assurance engagement; and consequently, the level of assurance obtained in a limited assurance engagement is substantially lower than the assurance that would have been obtained had a reasonable assurance engagement been performed.

We believe that the evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion, review and limited assurance conclusions.

Opinion

In our opinion:

a. the financial statement presents fairly, in all material respects, the grant income and expenditure of [Grantee name] for the period [dd/mm/yyyy] to [dd/mm/yyyy] in accordance with the cash basis of accounting described in note 3.2 and the terms of the grant agreement, dated [date of agreement], with the Commonwealth; and

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b. [Grantee name] has complied, in all material respects, with the requirements of the grant agreement between the organisation and the Commonwealth dated [date of agreement], for the period [dd/mm/yyyy] to [dd/mm/yyyy].

Basis of Accounting and Restriction on Distribution

Without modifying our opinion, we draw attention to note 3.2 to the financial statement, which describes the basis of accounting. The financial statement is prepared to provide information to the department in accordance with the grant agreement, dated [date of agreement]. As a result, the financial statement may not be suitable for another purpose.

Use of Report

This report has been prepared for [Grantee name] and the department in accordance with the requirements of the grant agreement between [Grantee name] and the Commonwealth, dated [date of agreement]. We disclaim any assumption of responsibility for any reliance on this report to any persons or users other than [Grantee name] and the department, or for any purpose other than that for which it was prepared.

Conclusions

Based on:

a. Our review, which is not an audit, nothing has come to our attention that causes us to believe that the statement of labour costs in the period [dd/mm/yyyy] to [dd/mm/yyyy] is not, in all material respects, fairly presented in accordance with the grant agreement dated [date of agreement] with the Commonwealth[; and

b. The procedures we have performed and the evidence we have obtained, nothing has come to our attention that causes us to believe that the statement of employee numbers as at [dd/mm/yyyy] is not prepared, in all material respects, in accordance with the grant agreement dated [date of agreement] with the Commonwealth].

Auditor’s signature .......................................................................................................

Name [enter name]

Auditor’s employer [enter employer name]

Employer’s address [enter address]

Qualifications [enter qualification]

Position [enter position]

Date [dd/mm/yyyy]

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Attachment C - Certification of certain matters by the auditor The department also requires a certification of certain matters by the auditor in addition to the independent audit report. This should be submitted with the statement of grant income and expenditure and independent audit report.

The auditor who signs this certification must also initial and date a copy of the Grantee’s statement of eligible expenditure. The department will not accept an independent audit report that lacks this attachment.

The required format of certification is on the following page.

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Appendix 4

Cooperative Research Centres Projects Round 8 - post project reporting requirements

You will need to provide the following information in a post project report 12 months after the completion date of your project. The Commonwealth reserves the right to amend or adjust the requirements.

You must complete and submit your post project report on the portal. You can enter the required information in stages and submit when it is complete.

Post project benefits

a. Are you satisfied with the benefits received from participating in the CRC Program, through a CRC-P?

b. Please list up to three key benefits you received from participating in the CRC Program through a CRC-P.

c. Did the CRC-P develop a product, service or process that solved the industry-identified problem?

d. Has your CRC-P led to broader economic or community benefits, such as risk mitigation, growth in employment, reduction in costs, and capability enhancement?

e. How many CRC-P industry partners reported they valued their involvement with the program?

f. How many CRC-P Industry partners reported collaboration has improved competitiveness and productivity?

g. What is an example of the way collaboration has improved competitiveness and productivity for an industry partner (i.e. job creation, sales, export sales)?

h. How many CRC-P related collaborations extended beyond the Agreement Period?

i. How many internships and secondments between your partners extended beyond the Agreement Period?

j. What is the Technology Readiness Level (TRL) for your CRC-P at the end of the first year since the completion of the Agreement Period?

k. Did the project result in any unexpected benefits? If yes, explain why.

Updated business indicators

Provide the following financial data for your organisation for your latest complete financial year.

We collect the following data from all beneficiaries across all programs. We use this data to better understand your organisation and to help us develop better policies and programs.

 Latest financial year completed

 Sales revenue (turnover)

 Export revenue

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 R&D expenditure

 Taxable income

 Number of employees including working proprietors and salaried directors (headcount)

 Number if independent contractors (headcount)

Certification

You must ensure an authorised person completes the report and can certify the following:

 The information in this report is accurate, complete and not misleading and that I understand

the giving of false or misleading information is a serious offence under the Criminal Code 1995 (Cth).

 The activities undertaken and the expenditure incurred is in accordance with the grant

agreement.

 I am aware of the grantee’s obligations under their grant agreement.

 I am aware that the grant agreement empowers the Commonwealth to terminate the grant

agreement and to request repayment of funds paid to the grantee where the grantee is in breach of the grant agreement.

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