Aquaculture Industry Development Program Guidelines

The intended recipients of grants under the program are businesses in aquaculture (including hatcheries) and commercial fishing, relevant natural resource management organisations, key associations, industry peak bodies, post-harvest sector organisations and research organisations including Australian universities.

Intended recipients include Aboriginal businesses and organisations in either the aquaculture or commercial fishing industries.

Intended recipients are encouraged to work with businesses and community organisations to identify potential projects or partnerships.

The source agency for the program is the Department of Primary Industries and Regional Development (the department).

The department is administering the program. 

This grant opportunity is an open, non-competitive grant. 

A key principle of any grant program is to achieve value for money. This is important to ensure that the benefits of the grants are maximised for the people of NSW. Ways in which applicants may contribute to delivering value for money include, for example:

• consider the most efficient and innovative means of carrying out grant activities
• consider how government objectives and the applicant’s identified needs can be mutually achieved
• adopt an effective approach to identifying and managing risks
• collaborate with officials in monitoring and evaluation processes.

The department has designed the program to deliver value for money by:

• efficient and effective grant design and delivery
• using processes and procedures proportional to the grant’s value and risk
• managing risk to minimise unintended consequences, such as wasteful or fraudulent use of resources
• supporting grantees to achieve value for money in their grant activities
• planning for monitoring whether funds are being used for the intended purposes, and that projects remain on track.

Projects must commence within 6 months of the commencement date of the funding deed and be completed within 4 years from the commencement date of the funding deed.

These timeframes are subject to the terms and conditions of an executed funding deed.

Eligible applicants must make a financial contribution towards the project of at least 20% of the total project cost.

• Project delivery or viability should not be dependent on co-contributions or other grant funding that has not been secured.
• Evidence of the co-contribution and applicant entity type must be provided as part of the application.
• Financial contributions from other grants received from the Australian Government can be included, however grants from the NSW Government cannot be included in the minimum required amount. Grants not secured should not be relied on a as co-contribution.

Exemptions from mandatory co-contribution

Requests for an exemption from part or all of the 20% financial co-contribution requirement may be considered for reasons related to exceptional circumstances.

Exceptional circumstances that may be considered include, but are not limited to, impacts from natural disasters and major weather events, recent investment in infrastructure and/or equipment that is related to the project proposed within the funding application, other financial circumstances.

Applicants wishing to apply for an exemption will be required to provide details of their request as part of the application process and identify in-kind contributions (see below for details on in-kind contributions) that may help to cover some or all of the value of the exemption being requested. Exemption requests will be considered at the discretion of the department.

Important: Before making an exemption request, applicants must be aware that applications supplying the mandatory 20 per cent financial co-contribution will be preferred through the assessment process.

In-kind contributions

In-kind contributions may be included as part of an exemption request from the mandatory 20% financial co-contribution requirement. In-kind contributions include donated materials, applicant-owned equipment or direct internal staff time to deliver the project.

Applicants must provide itemised details of any in-kind contributions in their application, including:

• the value of an in-kind contribution, for example $1,400 project management cost
• a short description of the in-kind contribution and how it has been calculated, for example 20 hours of project manager wages at $70 per hour.

In-kind contributions must be eligible costs. Applicants with approved in-kind contributions will be required to report on and acquit these expenses during project delivery.

Funding will only be provided for a purpose that is consistent with one or more objects of the Act:

(a)    to promote economic and employment growth in regions in accordance with the principles of ecologically sustainable development
(b)    to support sustainable economies, a healthy environment and resilient communities in regions
(c)    to support place-based solutions, targeted to the development problems of particular locations and developed in collaboration with the local community, that promote improved economic, environmental and social outcomes in regions
(d)    to assist communities in regions to capitalise on regional strengths by supporting the diversification, adaptation and resilience of regional economies, including in relation to established and emerging primary and other industries
(e)    to support the transition of communities affected by economic, environmental and social change
(f)    to facilitate the economic and social development of Aboriginal communities and Aboriginal enterprises in regions
(g)    to encourage cooperation in relation to the matters in paragraphs (a)–(f) among all tiers of government, including local government, the private sector and not-for-profit organisations.

Stream-specific and general eligibility criteria apply to all applicants.

Stream-specific criteria

Applicants for Stream 1 funding: commercial fishing endorsement holders, aquaculture permit holders, relevant natural resource management organisations, Aboriginal organisations and businesses, key associations or peak bodies, research organisations including Australian universities, post-harvest sector organisations whose primary income is from sale of aquaculture and commercial fishing products

Applicants for Stream 2 funding: same as Stream 1, with the addition of private sector entities that can demonstrate activities that service a market for aquaculture waste products in the circular economy.

General criteria

To be eligible for grant funding, an applicant must be one of the following:

• a company incorporated in Australia (under the Corporations Act 2001)
• an Aboriginal and Torres Strait Islander Corporation (under the Corporations (Aboriginal and Torres Strait Islander) Act 2006)
• an incorporated trustee of an Australian-based trust
• an incorporated association (under the NSW Associations Incorporation Act 2009) or co-operative (under the NSW Co-operatives Act 1992)
• an Australian university (higher education provider registered under the Higher Education Support Act 2003)
• a sole trader
• a partnership under Australian taxation law
   

To be eligible for grant funding, an applicant must meet all of the following requirements:

• have an Australian Business Number (ABN)
• be financially viable and able to demonstrate that
• hold or commit to obtaining public liability insurance of not less than $20 million per occurrence
• be a fit and proper person/legal entity
• not be insolvent, bankrupt or subject to ongoing legal proceedings
• declare in the application form that the applicant is not aware of any issues which could cause reputational or other risks to the NSW Government
• have previous project delivery experience (or ability to access the necessary expertise and support)
• if applicable, provide evidence of capacity to make the minimum co-contribution if successful
• be registered in one of the following Australian and New Zealand Standard Industrial Classification (ANZSIC) codes:
  • 02 Aquaculture (or any sub-category or class within this code)
  • 041 Fishing (or any sub-category or class within this code)
  • 0529 Other Agriculture and Fishing Support Services
  • 691 Scientific Research Services or 699 Other Professional, Scientific and Technical Services
  • 81 Tertiary Education (or any sub-category or class within this code)

Where an applicant is not registered in one of the above ANZSIC codes, the applicant must provide further information in their application to support their suitability for funding under this program. Eligibility of applicants with ANZSIC registration other than the above will be considered at the discretion of the department.

Aboriginal businesses and organisations, including Aboriginal Community-Controlled Organisations, are strongly encouraged to apply.

If an applicant’s circumstances in relation to the above eligibility criteria change after submitting an application, the applicant should provide updated information by contacting the department via email at regionaldevelopmenttrust@dpird.nsw.gov.au.

Partnerships

Public/private partnerships or in partnership with a NSW Government agency are eligible to apply where the lead applicant is an eligible entity. If successful, the lead applicant will be solely responsible for the delivery of the project and must be willing to adhere to the terms and conditions outlined in the funding deed.

Research and development projects should partner with industry to ensure that the project produces usable outputs for application by industry.

Competition consideration

The provision of financial assistance to a private or commercial entity may require consideration of the impact on local competition. Competition issues will be reviewed as part of the assessment process to avoid advantaging or disadvantaging businesses legitimately competing in the same immediate market.

Applicants will be assessed as ineligible if they cannot provide sufficient evidence to meet the requirements of the eligible applicant criteria.

NSW Government or other government entities are ineligible applicants under the program.

The following types of projects are eligible for funding:

Stream 1: Productivity improvements

Infrastructure and equipment improvements and upgrades that enable growth or productivity improvements. Eligible projects include (but are not limited to):

• development or upgrade of assets and equipment (or other assets) to deliver new capacity, efficiency, sustainability or quality improvements
• supply chain innovation to support productivity or quality improvements which may benefit multiple entities
• new product development including new species, value-adding under-utilised species, or purchasing equipment to commence commercial production of new valued-added lines.

Stream 2: Sustainability

Projects that lower carbon outputs, increase resilience to climate change impacts or deliver circular economy outcomes. Eligible projects include (but are not limited to):

• conversion of plant and equipment to systems with lower carbon outputs and contribute towards achieving net zero emissions
• research and development into new products such as bioproducts and utilising seafood industry waste streams.

Examples of eligible projects/activities are included in Table 1. They are listed as guidance only.

Table 1 - Examples of eligible projects/activities

Eligible project requirements

Projects must meet all of the following requirements to be eligible.

• Projects must commence within 6 months of the commencement date of the funding deed and be completed within 4 years from the commencement date of the funding deed.
• Projects can be located on publicly owned land or on private land where there is a clear public benefit. If the applicant is not the owner of the land where the project will be located, landowner’s consent will be required as part of the application.
• Applicants must identify all necessary approvals, advise their status, provide a planning pathways assessment demonstrating that the approvals can be obtained within 6 months of the commencement date of the funding deed and that they have been factored into the overall project delivery timeframes.
• For research-based or supply chain innovation projects, the project must conclude with outputs that can be directly applied by industry.

Applicants will need to plan for and meet all regulatory requirements. A successful funding application does not guarantee approval from the relevant regulatory, government or planning decision-making body.

A project will be assessed as ineligible if:

• it does not meet the compliance, eligibility and project feasibility criteria or provide information required to assess these criteria
• it is not located in an eligible LGA
• it does not meet the minimum and maximum funding amount requirements
• it has received funding from the NSW or Australian Government for any part of the project scope that duplicates deliverables to be funded by this program
• it has more than 50% of the funding request allocated to ineligible project costs
• it is for planning purposes only
• it requires ongoing funding from the NSW or Australian Government to be financially viable. 

The location of the project is relevant to eligibility.

Projects must be located within one of the 95 regional NSW Local Government Areas (LGAs), the Unincorporated Far West region or Lord Howe Island. (See Appendix A for a detailed list of eligible locations).

Projects located in the Sydney metropolitan area are ineligible.

Projects can be located on publicly owned land or on private land where there is a clear public benefit.

If the applicant is not the owner of the land (or infrastructure) where the project will be located, landowner’s consent and/or access agreements will be required as part of the application.

To be eligible, project costs must support the objectives of the program and meet direct costs of the project.

Applicants must not incur costs to be funded by the program until an executed funding deed is in place.

Eligible costs include (but are not limited to):

• construction costs for infrastructure development, expansion or upgrades that would not be considered business-as-usual activities and operations
• the purchase of equipment that relates specifically to the project
• research and development costs for projects leading to outputs that can be directly applied by industry
• asset commissioning and/or decommissioning
• staff training costs directly attributable to the project.

Applicants should contact the department on regionaldevelopmenttrust@dpird.nsw.gov.au with any questions regarding the eligibility of certain costs.

Contingency, project management and administration

Eligible projects costs include:

• project management and administration totalling no more than 10% of the requested funding amount
• contingency of no more than 20% of the requested funding amount.

The following project costs are ineligible for funding:

• any costs for works or improvements that are not directly related to delivering the Eligible project
• costs that are not essential to the success of the project
• costs relating to the purchase of non-fixed equipment such as mobile equipment and vehicles, boats, trailers, motorhomes, with the exception of equipment or vehicles that are essential to the success of the project
• purchase of land or buildings
• financing, including interest and debt financing
• costs relating to depreciation of plant and equipment
• staff training costs not directly related to the project
• funding for ongoing staff or operational costs beyond the scope and timeframe of the funded project
• marketing campaigns
• business cases, plans or strategies
• general maintenance, repairs or business as usual activity not directly related to the project
• retrospective costs for the project
• project management or contingency costs that exceed the eligibility requirements.

As part of the assessment process, the department will consider whether the project, the applicant and its representatives and any partner organisations pose a reputational or other risk to the NSW Government. Projects and/or applicants found to be unsuitable due to reputational or other risks will be ineligible for funding.

Eligible projects will be assessed to ensure the project is feasible and able to be delivered. Project feasibility will be assessed against the following criteria:

• provision of a realistic project budget with quotes, and/or detailed cost estimates
• provision of a detailed and realistic project management plan demonstrating the project can be completed in the required timeframe
• provision of a feasible and sustainable proposed operating model
• demonstrated project management experience and capacity (or ability to access the necessary expertise and support) to deliver the project
• provision of a detailed risk management plan with risk mitigation strategies.

Projects found to be unfeasible will be ineligible for funding.

Applicants are required to demonstrate that the project is strategically aligned to:

• the program objective (see Purpose and objectives)
• the Trust’s key focus areas (see Purpose and objectives)
• the Regional Development Trust Fund Investment Strategy and Governance Framework
• other relevant NSW Government priorities, regional or local strategies, policies and plans, including industry specific examples such as the NSW Aquaculture Vision Statement and NSW Marine Estate Management Strategy.

As outlined in the program’s Purpose and objectives, a key principle of any grant program is to achieve value for money. This is important to ensure that the benefits of the grants are maximised for the people of NSW.

Applicants are required to demonstrate how they will contribute to delivering value for money by providing evidence that they have:

• considered the most efficient and innovative means of carrying out grant activities
• considered how government objectives and the applicant’s identified needs can be mutually achieved
• adopted an effective approach to identifying and managing risks, including adopting measures to regularly monitor the project budget and manage costs
• considered value management through the design and delivery of the project
• provided a financial and/or in-kind co-contribution towards the project
• demonstrated support for the project (this may include support from relevant businesses, industry, research sector and community)
• demonstrate their capacity to maintain any capital works and upgrades as part of their application.

Applicants are required to demonstrate how they will contribute to creating economic benefit through productivity improvements, value add and/or by addressing impediments to regional economic growth.

For the purposes of this program economic benefit may be demonstrated by:

• identifying industry benefits, such as how the project delivers productivity improvements to the aquaculture industry or commercial fishing
• demonstrating how the project will improve sustainability of the aquaculture or commercial fishing industries
• producing positive impacts on aquaculture or commercial fishing’s contribution to the economy of regional NSW and NSW as a whole
• identifying long term economic benefits and/or how the project addresses barriers to regional economic growth.

Applicants may identify further ways their project delivers economic benefit.

Important: In considering economic benefit, projects involving any element of research must lead to outputs that can be directly applied by industry.

Applications will also be assessed to facilitate a balanced approach to regional economic development that contributes to a diversity of project types and benefits to local economies across rural and regional NSW.

As part of this assessment, consideration of the degree the project meets the criteria and program objectives, including potential benefits through partnerships, or for local economies and relevant industries.

Applicants can submit more than one application.

An application must be for either Stream 1: Productivity improvements or Stream 2: Sustainability.

Applications involving multiple entities must be submitted by an eligible lead applicant and evidence of the commitment of the parties to the project must be provided in the form of an agreement, memorandum of understanding or letter signed by the parties.

Applicants must submit their applications and supporting documents through the program’s webpage.

Applicants must submit their applications by the closing date and time outlined in these program guidelines.

The department retains discretion to extend the closing date and time, and to accept late applications in extenuating circumstances.

Applicants cannot reopen or amend applications after the closing date and time.

Each application must include the documents or application sections listed in the application form which include the following:

• a clear project scope and description of activities
• a detailed project budget based on quotes or detailed estimates, reasonable assumptions or previous experience with similar projects
• a detailed project management plan demonstrating the project will be successfully completed in the required timeframe
• information on key personnel
• a detailed risk management plan demonstrating an understanding of the project’s risks and strategies to manage or mitigate the risks
• aquaculture permit number/s, commercial fishing endorsement holder number for applicable applicant types (if applicable)
• landowner’s consent using the template provided (if required)
• annual financial statements for the 2 most recent years.

All applications must provide evidence of:

• capacity to provide any financial co-contribution (if applicable)
• at least $20 million in public liability insurance in the name of the applicant, or a commitment that the applicant is willing to secure at least $20 million in public liability insurance if successful.

All applicants must provide the information requested in the application form.

A project management plan template is available through a link in the application form and on the program webpage (See Grant program details section for the link to the program’s webpage). Applicants can use this template or other formats as long as the necessary information is included.

Applicants must not include false or misleading information in their applications. If an application contains false or misleading information, the department may deal with the application as the department determines in the circumstances and may, for example, determine that the application is ineligible.

Applicants will receive a notification of receipt from SmartyGrants.

The department may contact applicants to verify information or seek further information.

Applicants can obtain support in preparing their applications, for example, technical support with online forms and practical guidance on how to complete an application.

Frequently Asked Questions and other resources to assist with applications will be provided on the program webpage and may be updated regularly. The program webpage on the NSW Government’s Grants and Funding Finder webpage should be considered the authoritative source of all grant information.

The department can support applicants in preparing an application. Please contact regionaldevelopmenttrust@dpird.nsw.gov.au.

Compliance and eligibility

The department will assess all submitted applications against the compliance and eligibility criteria identified in these guidelines.

Non-compliant or ineligible applications will not be considered for further assessment.

Project feasibility

The department will then assess all compliant and eligible applications against the feasibility criteria identified in these guidelines.

Other subject matter experts and/or technical advisors may be consulted to assist in the assessment of projects (if required). Confidentiality will be maintained throughout the process.

Project proposals that are assessed as compliant, eligible and feasible will progress to merit-based assessment. 

Department assessment

Applications that have been assessed a compliant, eligible and feasible as part of the preliminary assessment stage will progress to be assessed according to the merit-based criteria outlined within these guidelines. 

The department may seek additional information to assist in the merit-based assessment process. The department will notify applicants if additional information and supporting material is required and the timeframes in which it is required.

Other subject matter experts and/or technical advisors may be consulted to assist in the assessment of projects (if required). Confidentiality will be maintained throughout the process.

Assessment panel determination

An assessment panel will meet to consider and determine the preliminary and merit-based assessment outcomes for each application.

The assessment panel will take into consideration any personal, business and/or probity issues and risks that could cause reputational or other risk to the NSW Government.

The assessment panel may propose a lesser amount of funding, specific funding conditions or defer consideration pending more information , as appropriate.

Advice may also be sought from other NSW Government agencies or other sources (such as probity advisors).

The assessment outcomes determined by the assessment panel will be provided to the Regional Development Advisory Council (the Advisory Council) for review.

Regional Development Advisory Council

The Advisory Council is an independent body appointed by the Minister for Regional NSW to provide advice on regional investment to ensure the interests of regional communities are at the centre of government decision making.

The Advisory Council will review the merit-based assessments and can provide advice to the Minister for Regional NSW if required.

The final decision maker for all Trust investments is the Minister for Regional NSW.

Following completion of the assessment process, the department will provide information on the assessment outcomes (as outlined in the NSW Grants Administration Guide) to the Minister for Regional NSW for final funding decisions.

In addition to the assessment outcomes, the decision maker may take other factors into account including advice from the Advisory Council, probity advice, waive selection criteria (if it would lead to perverse outcomes) and other issues that could cause risks to the NSW Government.

Final decision

The decision maker’s decision is final in all matters, including:

• the approval to award a grant
• the amount awarded
• the terms and conditions of the grant. 

The department will send successful applicants a letter of conditional offer.

Successful applicants will be required to sign confidentiality undertakings, promising to keep the outcome of the application process confidential until the NSW Government makes a public announcement.

Successful applicants will be required to sign a funding deed with the department.

The department will notify unsuccessful applicants in writing of the outcome of their applications.

The department will offer unsuccessful applicants a feedback information session.

There is no appeal mechanism from the decision-maker’s decisions.

The NSW Government may announce the outcome of funding applications at its discretion. 

Key information about the grants awarded will be published on the NSW Government Grants and Funding Finder, in accordance with the requirements of the Grants Administration Guide.

This information, plus information submitted in applications and related correspondence, may be open access information under the Government Information (Public Access) Act 2009 (NSW) which must be made publicly available unless there is an overriding public interest against disclosure of the information. Information that is commercially sensitive may be withheld.

The NSW Government may use information submitted in applications and in funding deeds for promotional material and to develop case studies.

A sample funding deed is available here (PDF 498.88KB). The department has discretion to amend and update this sample funding deed.

The department will tailor the template funding deed for each project to include the grant instalment amounts, activities, deliverables, timeframes and any special conditions.

Terms and conditions

The funding deed will set out the grant recipient’s obligations including, for example, to:

• meet activity timeframes and deliver the project on time
• notify the department of any delays
• be responsible for project cost overruns
• repay grant funds which are not spent in accordance with the funding deed
• repay unspent grant funds
• submit progress reports
• provide data
• meet monitoring and acquittal requirements
• participate in program evaluation and audits including to determine the extent to which the project has contributed to the program objectives
• maintain insurances
• acknowledge the grant as per the Funding acknowledgement guidelines for recipients of NSW Government grants available at Sponsorship and funding acknowledgment guidelines
• keep records for 7 years
• advise the department of any changes to the grant recipient’s legal status.

The funding deed will include the department’s termination rights, including if the grant recipient has engaged in conduct that might cause reputational damage to the NSW Government or has provided misleading information in its application.

Changes to projects

After funding deeds are executed, the department may consider requests for variations to projects only in limited circumstances. 

Instalments

The department will pay grants in instalments.

The funding deed will set out the instalment amounts and what the grant recipient needs to do receive each instalment (e.g. complete specified activities and provide evidence of completion and reports within a timeframe).

Tax

Grants are GST exclusive. If a grant recipient is registered for GST, GST will be applied on top of the grant value when payment is made.

Grants are assessable income for taxation purposes, unless exempted by taxation law. Grant recipients should seek independent professional advice about taxation obligations or seek assistance from the Australian Taxation Office. The NSW Government does not provide advice on individual taxation circumstances. 

If a grant recipient’s project is completed and there are unspent funds remaining from the grant allocation, the department may require the grant recipient to return the unspent funds.

Alternatively, the grant recipient may request to use the unspent funds on extending the scope of the project if the request aligns with the objectives of the program and the grant recipient provides supporting information to the department. The department is under no obligation to agree with the request.

The department will monitor how grant recipients are spending their grants and how their projects are progressing.

Grant recipients will be required to submit regular progress reports, final reports and other information to the department.

Grant recipients will be required to inform the department if their circumstances change. 

The department will monitor the funded projects against the purpose and objectives of the program.

Grant recipients will be required to participate in evaluation, such as surveys and reporting.

If applicants have any concerns about the program or individual applications, please contact the department in writing to regionaldevelopmenttrust@dpird.nsw.gov.au.

If applicants do not agree with the way the department handled an issue, applicants may contact the NSW Ombudsman.

The Government Information (Public Access) Act 2009 (NSW) (GIPA Act) provides for the proactive release of government information by agencies and gives members of the public an enforceable right to access government information held by an agency (which includes Ministerial offices). Access to government information is only to be restricted if there is an overriding public interest against disclosure.

The NSW Legislative Council has the power to order the production of State papers by the Executive Government. Standing Order 52 provides that the House may order documents to be tabled by the Government in the House. The Cabinet Office coordinates the preparation of the papers – that is, the return to order. The return to order may contain privileged and public documents. Privileged documents are available only to members of the Legislative Council.

Note that documents submitted as part of a grant application may be subject to an application under the GIPA Act or an order for papers under Standing Order 52.

If applicants require further information about the GIPA Act and/or Standing Order 52, please contact the department using the contact information at Enquiries/Getting Support in the Key information.

Applicants (and their officers and staff) must declare any perceived, potential or real conflicts of interest in respect of the grant opportunity. They must declare such conflicts on the application form.

Where there is a conflict of interest detrimental to the grant opportunity, applicants must put mitigation measures in place. The department may require individuals not to participate in the application or delivery stage.

All applicants (successful and unsuccessful) must keep the outcome of the grant opportunity confidential until the NSW Government makes a public announcement. 

Applicants must not participate in any anti-competitive conduct.

Applicants must not offer any gifts, benefits or hospitality to any NSW Government employee at any time. Any inducement in contravention of this condition may result in an applicant’s application not being considered.

The NSW Government may, in its absolute discretion, and without limiting any other rights which it may have, do all or any of the following at any time without giving notice or reasons:

• require additional information from an applicant
• change any of the requirements of these guidelines
• alter or vary any process, procedure or timing related to the grant
• suspend or terminate the grant opportunity
• negotiate with one or more preferred applicants without prior notice to any other applicant
• terminate any negotiations being conducted with any applicant
• readvertise for new applicants
• consider any non-conforming application
• terminate an applicant’s further participation in the grant opportunity for any reason (including if the department considers that an application contains false or misleading statements or may damage the reputation of the department or the program)
• not proceed to execute any funding deed.
• proceed with a funding deed in ways not contemplated in these guidelines.

Where significant changes are made in relation to the grant opportunity, the department will revise these guidelines and make them available on this program’s web page.

The department may issue an addendum to these guidelines. The addendum becomes part of these guidelines.

The department will publish these guidelines and any revised versions and addenda on the NSW Government Grants and Funding Finder. 

These guidelines are not an offer, recommendation or invitation by the department in respect of any grant. There is no funding commitment until both a successful applicant and the department execute a funding deed.