ANNUAL REPORT
2011–12
Produced by:
Australian Research Council
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LETTER OF TRANSMITTAL
24 September 2012
Senator the Hon Chris Evans
Minister for Tertiary Education, Skills,
Science and Research
Parliament House
CANBERRA ACT 2600
Dear Minister
It is with great pleasure that I present the Australian Research Council (ARC) Annual Report for 2011–12.
During 2011–12 the ARC continued to deliver against its identified Outcome, encouraging the growth of
knowledge and innovation through managing research funding schemes, measuring research excellence
and providing advice.
The annual report has been prepared in accordance with the requirements of the Australian Research
Council Act 2001 (ARC Act) and the guidelines referred to in subsection 63(2) of the Public Service Act
1999.
In accordance with the Commonwealth Fraud Control Guidelines 2011, I certify that I am satisfied that the
ARC has:
> prepared fraud risk assessments and fraud control plans which effectively address the risks of the ARC;
> in place appropriate fraud prevention, detection, investigation, reporting and data collection procedures
and processes that meet the specific needs of the ARC; and
> taken all reasonable measures to minimise the incidence of fraud in the ARC and to investigate and
recover the proceeds of fraud against the ARC.
Subsection 46(3) of the ARC Act requires you to place a copy of the report before each House of Parliament
within 15 sitting days of that House after the day on which you receive it.
Yours sincerely
Professor Aidan Byrne
Chief Executive Officer
CONTENTS
LETTER OF TRANSMITTAL
III
GUIDE TO THE REPORT
VI
PART 1: OVERVIEW
1
CHAPTER 1: CHIEF EXECUTIVE OFFICER’S REVIEW
2
CHAPTER 2: CALENDAR OF KEY ACTIVITIES AND ANNOUNCEMENTS
7
CHAPTER 3: THE AUSTRALIAN RESEARCH COUNCIL
14
PART 2: PERFORMANCE
25
CHAPTER 4: OUTCOME
26
CHAPTER 5: PROGRAM 1.1 DISCOVERY
39
CHAPTER 6: PROGRAM 1.2 LINKAGE
58
CHAPTER 7: PROGRAM 1.3 EXCELLENCE IN RESEARCH FOR AUSTRALIA
74
PART 3: MANAGEMENT AND ACCOUNTABILITY
83
CHAPTER 8: GOVERNANCE
84
CHAPTER 9: EXTERNAL SCRUTINY
92
CHAPTER 10: PEOPLE MANAGEMENT
96
CHAPTER 11: FINANCIAL AND LEGAL SERVICES
103
CHAPTER 12: ICT AND FACILITIES
106
CHAPTER 13: COMMUNICATION
109
PART 4: FINANCIAL PERFORMANCE
115
CHAPTER 14: FINANCIAL OVERVIEW
116
CHAPTER 15: FINANCIAL STATEMENTS
118
PART 5: APPENDICES
185
APPENDIX 1: PERFORMANCE FRAMEWORK
186
APPENDIX 2: NATIONAL COMPETITIVE GRANTS PROGRAM, DESCRIPTION
188
APPENDIX 3: NATIONAL COMPETITIVE GRANTS PROGRAM, SUMMARY STATISTICS
190
APPENDIX 4: NATIONAL COMPETITIVE GRANTS PROGRAM, PERFORMANCE INFORMATION
193
APPENDIX 5: RESPONSIBILITIES OF THE MINISTER
202
APPENDIX 6: MEMBERSHIP OF COMMITTEES
204
APPENDIX 7: CLIENT SERVICE CHARTER
218
APPENDIX 8: WORK HEALTH AND SAFETY
220
APPENDIX 9: ADVERTISING AND MARKET RESEARCH
221
APPENDIX 10: ECOLOGICALLY SUSTAINABLE DEVELOPMENT
222
APPENDIX 11: CORRECTION OF ERRORS
226
APPENDIX 12: STAFF STATISTICS
227
APPENDIX 13: LEGAL SERVICES EXPENDITURE
229
APPENDIX 14: COMMUNICATION
230
APPENDIX 15: AGENCY RESOURCE STATEMENTS
232
PART 6: REFERENCE
235
LIST OF FIGURES AND TABLES
236
ABBREVIATIONS AND ACRONYMS
238
GLOSSARY
241
COMPLIANCE INDEX
243
ALPHABETICAL INDEX
247
GUIDE TO THE REPORT
PURPOSE
This is the Chief Executive Officer’s (CEO) report to the Minister for Tertiary Education, Skills, Science and
Research on the performance of the Australian Research Council (ARC) during the financial year 2011–12.
CONTENTS
The report comprises six parts.
Part 1: Overview includes the CEO’s review, an outline of key activities and announcements during the year
and a description of the ARC.
Part 2: Performance is a report on the ARC’s performance against the single Outcome and three Programs
identified in the Portfolio Budget Statements 2011–12.
The ARC’s performance framework comprises two components, the Portfolio Budget Statements and the
ARC Strategic Plan. Figure 3.3 illustrates the relationship between these components.
Part 3: Management and accountability outlines the arrangements in place to support the ARC’s delivery
of achievements against its Outcome and Programs. It includes arrangements for governance and external
scrutiny and an overview of the ARC’s management of its workforce, finance and legal services, information
technology and facilities, and communications activities.
Part 4: Financial performance provides a report on the ARC’s financial performance including the audited
and unqualified financial statements and a report by the Auditor‑General.
Part 5: Appendices provides additional information to support the report on performance provided in Part 2
as well as reports required under specific legislation and guidelines.
Part 6: Reference includes a list of tables and figures, a glossary, abbreviations, and an alphabetical and
compliance index.
REPORTING
> Performance data for the National Competitive Grants Program (NCGP), unless otherwise indicated,
relates to proposals awarded for funding commencing in the 2011–12 financial year (regardless of the
date of announcement).
> Research case studies relate to projects awarded funding under the NCGP in previous years that have
achieved outcomes in 2011–12.
> The ARC’s capacity to report on the outcomes of research supported under the NCGP is limited by:
– the time lag between research activity and outcomes; and
– the difficulty in attributing the outcomes of research activity specifically to ARC support when they are
the culmination of support from a number of sources.
FURTHER INFORMATION
For more information about this report contact:
Director, Policy Coordination and Governance
Australian Research Council
Tel: +61 2 6287 6600
Fax: +61 2 6287 6601
Email: info@arc.gov.au
A copy of this report and additional information about the ARC are available at <www.arc.gov.au>.
PART 1:
OVERVIEW
CHAPTER 1: CHIEF EXECUTIVE OFFICER’S REVIEW
CHAPTER 2: CALENDAR OF KEY ACTIVITIES AND ANNOUNCEMENTS
CHAPTER 3: THE AUSTRALIAN RESEARCH COUNCIL
CHAPTER 1:
CHIEF EXECUTIVE
OFFICER’S REVIEW
AT A GLANCE
The Chief Executive Officer’s (CEO) review summarises the Australian Research
Council’s:
significant developments in 2011–12;
performance and financial results for 2011–12; and
outlook for 2012–13.
Ms Leanne Harvey was Acting ARC CEO at 30 June 2012.
In December 2011 the previous CEO, Professor Margaret Sheil, announced she
would leave the ARC in April 2012 to take up the position of Provost at The
University of Melbourne.
On 28 May 2012 Senator the Hon Chris Evans, the Minister for Tertiary Education,
Skills, Science and Research, announced Professor Aidan Byrne as the new ARC
CEO. Professor Byrne joined the ARC on 23 July 2012 from The Australian
National University.
INTRODUCTION
Each year the annual report provides an opportunity to reflect on our purpose and role, how well we have
performed, what difference we have made, and what plans we have for the future.
The ARC is a statutory authority of the Australian Government with responsibility for research funding and
policy. Specifically we manage the Excellence in Research for Australia (ERA) evaluations and administer
the funding schemes of the National Competitive Grants Program (NCGP). We also, together with the
National Health and Medical Research Council (NHMRC), manage the Australian Research Integrity
Committee (ARIC).
The ARC is a critical part of a strongly interrelated system of government support for Australian research and
innovation—as well as being one small part of the global research environment. In both spheres the ARC
works closely with stakeholders to achieve outcomes of benefit to the community.
NEW DEVELOPMENTS
In 2011-12 the ARC commenced the second round of ERA to assess research quality at universities. For this
round, the ARC has enhanced the ERA methodology through an extensive process of stakeholder
consultation and review.
We developed two new funding initiatives under the NCGP: the Special Research Initiative in Synchrotron
Science and the Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’
Network. Both initiatives are aimed at building Australia’s research capacity through support for highly
collaborative research activities in areas of national importance.
Within the agency, a new enterprise agreement—the ARC Enterprise Agreement 2011–2014—was finalised
in September 2011.
In December 2011 Professor Margaret Sheil announced that she would leave the ARC to take up the
position of Provost at The University of Melbourne. Professor Sheil joined the ARC in 2007 and was a strong
advocate for the ARC and the research sector during her appointment.
PERFORMANCE
Excellence in Research for Australia
On 27 April 2012 the ARC successfully completed the submission phase for ERA 2012. All 41 universities
submitted data about research activities. The ARC has appointed 147 distinguished researchers to evaluate
research quality by discipline.
> The ARC has implemented enhancements to the ERA methodology for 2012, including extended
provision for the identification and capture of applied measures, non-traditional research outputs and
interdisciplinary work, as well as refinements to peer review processes.
> In 2011-12 the ARC worked effectively with other government agencies and the research community to
promote research excellence by incorporating ERA results into research funding and strategies, including
mission-based compacts between the Commonwealth and universities and funding allocations under the
Commonwealth’s Sustainable Research Excellence program.
Key challenges in 2011–12 included:
> responding to feedback from the sector about the ERA process, while maintaining the rigour of the ERA
methodology; and
> facilitating the use of ERA results as performance measures and targets, while preserving the integrity of
ERA data.
National Competitive Grants Program
Across the NCGP funding schemes, the ARC received a total of 7707 proposals for funding commencing
in 2011–12, ranging from 29 under the Discovery Indigenous scheme to 3544 under the Discovery Projects
scheme. Following a competitive peer review process, the ARC subsequently funded 1761 projects worth a
total of $741.8 million over the life of the projects.
Through the funded research projects we enabled:
> the establishment and growth of international research partnerships;
> quality training of early-career researchers; and
> the maintenance of opportunities for Australia’s research workforce.
These are strong indicators of the contribution of ARC-funded research to building Australia’s research
capacity. In 2011–12, for example, 59.3 per cent of proposals funded under the NCGP involved international
collaboration and we supported over 4635 individual researchers.
As indicated in the performance chapters of this report, measuring outcomes or benefits of research is a
long-term proposition. During the year we continued to look for ways to strengthen our ability to report on
these outcomes. In this report case studies are provided.
Key challenges in 2011–12 included:
> the increasingly large number of proposals submitted for funding under the NCGP, creating pressure on our
administrative resources;
> increasing awareness of the support we provide for career-life balance, following public criticism of the
Australian Government’s support in this area; and
> continuing to monitor the implementation of our peer review processes to ensure that no biases are
unintentionally introduced into the system.
Australian Research Integrity Committee
The ARIC, which was jointly established by the ARC and the NHMRC, has been in operation for over
eighteen months.
The committee has a very specific remit to review the processes by which a university has managed an
allegation of research misconduct. In this way, it supplements, rather than replaces, the existing framework
for the investigation of allegations of research misconduct in Australia.
An important part of our role is creating an awareness of the ARIC and its responsibilities. Chapter 8 of this
report provides information on the activities of the committee during 2011–12.
Organisation
Early in 2011–12 we released a new strategic plan—the ARC Strategic Plan 2011–12 to 2013–14—which
maps our direction over the next three years. In the new plan we divided our objectives into key objectives
(Research, Capacity, and Policy and Evaluation) and enabling objectives (Organisation and
Communication). We made progress on all of the 2011–12 priority actions listed in the strategic plan (see
Table 1.1).
The ARC also undertook a broad range of activities during the year to ensure compliance with relevant
legislation and guidelines including those relating to grants administration. Evaluations conducted by the
Australian National Audit Office indicated some areas of weakness and we have addressed these areas by
putting in place revised processes to ensure future compliance.
We also completed a full review of our risk management framework, finalising a new policy and plan and
taking additional steps to strengthen the integration of risk management activities across the agency. We
appointed risk management champions to help disseminate the messages at all levels.
In 2011–12, 88 per cent of ARC respondents to a survey conducted by the Australian Public Service
Commission as part of the State of the Service Report indicated that they were happy working at the ARC
and 84 per cent indicated that they were satisfied with their job. This is a very pleasing result and it
compares with results of 64 and 67 per cent respectively recorded in an ARC staff survey undertaken
in 2009. Our staff turnover figures also dropped in 2011–12.
Key challenges in 2011–12 included:
> ensuring that the ARC’s operations, which are heavily reliant on information technology services,
continued to operate as effectively and efficiently as possible. These services are a critical input to the
delivery of both ERA and the NCGP.
FINANCIAL SUMMARY
The total annual appropriation funding for the ARC for 2011–12 was $833.3 million.
The total comprises $22.0 million for departmental appropriation ($18.8 million for operating expenses, $1.7
for Departmental Capital Budget and $1.5 million for equity injection) and $811.3 million for administered
appropriation ($808.8 million for special appropriation for the NCGP and $2.5 million for annual administered
appropriation).
OUTLOOK FOR 2012–13
We will:
> track the performance of research disciplines at universities over time by completing the second round of
ERA and releasing the results in late 2012.
> continue to monitor the outcomes of our selection rounds under the NCGP to improve areas such as
supporting career-life balance, encouraging women to apply for grants and maintaining support for
Indigenous researchers.
> continue to develop our peer review processes to ensure they are consistent with the merit review
principles endorsed by the Global Research Council.
> continue to be engaged in external debate on research matters. In 2011–12 we contributed to a range of
reviews including Australia in the Asian Century and the Strategic Review of Health and Medical Research
in Australia.
CONCLUSION
The achievements reported in this annual report were made possible by the dedication and hard work of the
ARC staff. I congratulate them on a successful year and look forward to working with them through the
challenges and achievements of 2012–13.
Leanne Harvey
Acting CEO
(as at 30 June 2012)
Table 1.1: Summary of progress against 2011–12 priority actions
PRIORITY ACTIONS FOR 2011–12
PROGRESS AT 30 JUNE 2012
KEY OBJECTIVE 1: RESEARCH
Enhance peer review through improved assessor
assignment process
Complete (see report on page 45)
Engage in international discussions about peer
review processes
Complete and ongoing; the ARC participated in a global
summit on merit review held in the United States of
America in May 2012 (see report on page 44)
Continue to simplify and standardise funding rules and
agreements
Complete and ongoing; standardisation of funding rules
is complete
Provide support to the ARIC
Complete and ongoing; the ARC continued to support
ARIC during 2011–12 (see report on page 89)
KEY OBJECTIVE 2: CAPACITY
Establish new initiatives to strengthen links between
industry and the research community
Partially complete; funding rules for Linkage
Projects 2013 were revised to support smaller projects
while the new Industrial Transformation Research
Program will focus on research programs with greater
scale and focus (see report on page 62)
Conduct a selection round under the Special Research
Initiatives scheme to establish an Aboriginal and Torres
Strait Islander Researchers’ Network (ATSIRN)
Ongoing; the ARC selection round for ATSIRN was
underway at 30 June 2012 (see report on page 65)
Conduct an initial assessment of the impact of changes
to the Discovery Projects scheme and the introduction
of the Discovery Early Career Researcher Award
scheme
Complete (see report on page 47)
KEY OBJECTIVE 3: POLICY AND EVALUATION
Revise the ARC international strategy to reflect
changes in the national and global environment
Complete; the revised ARC international strategy is
available on the ARC website (see report on page 43)
Review the ERA 2010 process, taking into account
feedback received through targeted and broad
consultation, to inform ERA 2012
Complete; the ARC undertook a range of consultations
to inform development of ERA 2012 (see report on
page 77)
Commence ERA 2012
Complete; the ARC opened the ERA 2012 submission
phase on 5 March 2012 (see report on page 79)
Use findings of the evaluation of the Linkage Projects
scheme and developments in the global environment to
inform the enhancement of ARC funding schemes
Complete; see text above on new initiatives to
strengthen links between industry and the research
community
CHAPTER 2:
CALENDAR OF KEY
ACTIVITIES AND
ANNOUNCEMENTS
AT A GLANCE
In 2011–12 the ARC’s key activities included:
administering the funding schemes of the National Competitive Grants Program
(NCGP); and
starting a new Excellence in Research for Australia (ERA) evaluation.
These activities were undertaken in the context of evolving national and
international research environments.
2011
14 July—The ARC celebrated its first ten years
as an independent statutory agency.
29 July—The Australian Government released
the Australian Innovation System Report 2011.
19 August—The then Minister for Innovation,
Industry, Science and Research, Senator the Hon
Kim Carr, announced 17 new Australian Laureate
Fellowships for funding commencing in 2011.
09 September—The ARC announced Elsevier’s
SciVerse Scopus as the ERA 2012 citation
information provider.
20 September—The new ARC Enterprise
Agreement 2011-2014 commenced.
30 September—The Australian Government
released its 2011 Strategic Roadmap for
Australian Research Infrastructure.
04 October—The Royal Swedish Academy of
Science announced the award of the Nobel Prize
in Physics to Australian Laureate Fellow
Professor Brian Schmidt, jointly with Professors
Saul Perlmutter and Adam Riess from the United
States of America (USA).
12 October—The Australian Research Council
Strategic Plan 2011–12 to 2013–14 was tabled
in Parliament.
24 October—The ARC announced the
appointment of the ERA 2012 Research
Evaluation Committee Chairs.
01 November—The then Minister announced
$310 million in funding for research projects
commencing in 2012 at the major grants
announcement.
14 November—The then Minister announced 277
new Discovery Early Career Researcher Awards
for funding commencing in 2012 and 203 new
Future Fellowships for funding commencing
in 2011.
06 December—The then Minister announced that
Professor Sheil would step down as Chief
Executive Officer (CEO) in April 2012 to take up a
position as Provost of The University of
Melbourne.
09 December—The Prime Minister announced the
new Industrial Transformation Research Program,
a $236 million package designed to help
Australian industries become more competitive
and create new job opportunities.
12 December—The Prime Minister announced the
appointment of Senator the Hon Chris Evans as
Minister for Tertiary Education, Skills, Science and
Research (the Minister responsible for the ARC).
2012
20 January—The Prime Minister announced
revised arrangements for the Prime Ministers’
Science, Engineering and Innovation Council to
enhance its capacity to provide timely scientific
advice in areas of strategic importance.
23 May—Australia’s Chief Scientist, Professor Ian
Chubb, launched The Health of Australian
Science report. The report provides a
comprehensive overview of Australia’s science
system.
05 March—The ERA submission stage opened.
28 May—The Minister announced that Professor
Aidan Byrne would be the next ARC CEO. At the
time of this announcement, Professor Byrne was
the Dean of Science at The Australian National
University (ANU) and the Director of the ANU
College of Physical and Mathematical Science.
30 March—The Minister announced an extension
of funding for Nobel Laureate Professor Brian
Schmidt’s Australian Laureate Fellowship.
18 April—The ARC awarded the ARC Centre of
Excellence for Policing and Security a one-year
funding extension.
29 April—Professor Margaret Sheil stepped down
as CEO and Executive General Manager, Ms
Leanne Harvey, commenced as Acting CEO.
08 May—The Australian Government released its
budget for 2012–13, including almost $9 billion for
science, research and innovation.
15–16 May—A representative of the ARC
attended the global summit on merit review in the
USA.
22 June—The Minister announced a $30 million
investment in the Australian Synchrotron through
the ARC ($25 million) and the National Health and
Medical Research Council (NHMRC)
($5 million).26 June—The Minister announced
$10 million for research in areas vital to
Australia’s future under the Linkage Learned
Academies Special Projects scheme.
30 June—The Minister announced $58.4 million
for 185 new research projects commencing under
Linkage Projects Round 2 (for funding
commencing in 2012).
STRATEGIC CONTEXT
Australian Government expenditure on science, research and innovation
The estimated total Australian Government expenditure on science, research and innovation amounted to
$9.4 billion in 2011–12 (Australian Government 2011–12 Science, Research and Innovation Budget tables).
Australian Government policy
The Australian Government’s policy agenda for science and innovation is articulated in Powering Ideas: An
Innovation Agenda for the 21st Century which was released in 2009. The ARC’s activities are directly aligned
with the National Innovation Priorities identified in that document.
Reports released in 2011–12
Health of Australian Science (Chief Scientist, May 2012)
The report concluded that evidence suggests that Australian science is generally in good health with:
> a growth in science enrolments; and
> researchers producing more per capita than researchers in most other nations with impacts at or above
world standard in most discipline areas.
Australian Innovation System Report 2011 (Department of Innovation, Industry, Science and
Research (DIISR), July 2011)
This is the second of a series of annual reports on the performance of Australia’s national innovation system.
Reviews undertaken in 2011–12
Australia in the Asian Century
The Australian Government commissioned a White Paper on Australia in the Asian Century to consider the
likely economic and strategic changes in the region and what more can be done to position Australia to
engage productively. A whole-of-government task force was established to prepare the document in the
Department of the Prime Minister and Cabinet.
Strategic review of health and medical research in Australia
The Strategic Review of Health and Medical Research in Australia was established by the Australian
Government in late 2011. The review is to report by the end of 2012 and recommend a 10-year strategic
health and medical research plan for the nation.
Prime Minister’s Taskforce on Manufacturing
The Prime Minister’s Taskforce on Manufacturing was appointed by the Prime Minister and government to
report on what can be done to support jobs and a future for manufacturing in Australia. The taskforce is drawn
from representatives from industry, unions, government and the R&D community.
Focusing Australia’s Publicly Funded Research
The final report of this review—Maximising the Innovation Dividend: Review, Key Findings and Future
Directions—was released on 3 November 2011. It recommended:
> establishment of the Australian Research Committee;
> refreshment of the national research priorities;
> conduct of a feasibility study on research impact assessment; and
> encouraging collaboration between universities and the end-users of research.
Sustainable Research Excellence
In 2011 the then DIISR undertook a consultation process with the higher education sector to incorporate an
Excellence Index into the funding methodology for the Sustainable Research Excellence (SRE) program.
The Excellence Index, derived from the results of the ERA evaluations conducted by the ARC, was
incorporated into the SRE funding methodology for 2012 and 2013.
International reports released in 2011–12
The Competitiveness and Innovative Capacity of the United States (United States Department of Commerce,
January 2012)
Innovation and Research Strategy for Growth (United Kingdom Department for Business Innovation and
Skills, December 2011)
Challenges facing the higher education sector
> Funding pressures due to international revenue decline
> The generation change in the research sector and the need to provide appropriate support for future
researchers
> The escalating cost of world-class research infrastructure
> The attraction and retention of Australian
and international students
CHAPTER 3:
THE AUSTRALIAN
RESEARCH COUNCIL
AT A GLANCE
The ARC is a statutory agency within the Australian Government’s Industry,
Innovation, Science, Research and Tertiary Education portfolio.
The ARC’s main responsibilities are:
evaluating the quality of research in universities under Excellence in Research
for Australia (ERA);
providing funding for research through the competitive funding schemes of the
National Competitive Grants Program (NCGP);
providing policy advice on research matters to the Minister; and
together with the National Health and Medical Research Council (NHMRC),
administering the Australian Research Integrity Committee (ARIC).
AUTHORITY
The ARC is established under the Australian Research Council Act 2001 (ARC Act). At 30 June 2012 the
Acting Chief Executive Officer (CEO) reported to Senator the Hon Chris Evans, Minister for Tertiary
Education, Skills, Science and Research.
FUNCTIONS AND ROLE
Functions
The ARC’s primary functions, as specified by the ARC Act, are to make recommendations regarding the
funding of research programs, to administer funding to support research programs, and to provide policy
advice related to research.
Role
Specifically, the ARC:
> administers ERA;
> administers the NCGP;
> provides advice on research policy issues; and
> together with the NHMRC, manages ARIC.
ERA assesses research quality at Australian universities by discipline. Committees of internationallyrecognised researchers undertake the evaluations based upon a range of metrics and peer review
processes.
The NCGP comprises a number of funding schemes organised under two programs—Discovery and Linkage
(see Appendix 2). In broad terms Discovery is aimed at supporting fundamental research by teams and
individuals, and Linkage is aimed at developing partnerships. Funding is awarded on the basis of a
competitive peer review process.
The ARIC provides a review system of institutional processes to respond to allegations of research
misconduct. This system ensures institutions investigate such allegations and observe proper process in
doing so. The ARIC contributes to quality assurance and public confidence regarding the integrity of
Australia’s research effort. ARIC has been in operation since February 2011.
MISSION
The ARC’s mission is to deliver policy and programs that advance Australian research and
innovation globally and benefit the community.
KEY OBJECTIVES
Key Objective 1: Research
To support excellence in research—through funding for research and research training allocated through
national competition across all disciplines supported by rigorous peer review processes.
Key Objective 2: Capacity
To build Australia’s research capacity—through support for the training and careers of researchers; critical
research infrastructure and research in areas of national need.
Key Objective 3: Policy and evaluation
To provide informed high quality policy advice to government and enhance research outcomes through
effective evaluation—through participation in policy forums and government reviews, informed stakeholder
consultations, evaluation and ongoing monitoring of performance.
ENABLING OBJECTIVES
Enabling Objective 1: Organisation
To continue to improve organisational performance—by ensuring the ARC has a strong governance
framework supported by effective systems and processes to enable staff to deliver against the ARC’s
objectives.
Enabling Objective 2: Communication
To be a key advocate for the benefits of Australia’s research efforts and maintain productive relationships
with stakeholders—through support for promotion and engagement activities aimed at communicating widely
the role of the ARC and the outcomes of ARC-funded research.
International collaboration and internationalisation are cross-cutting themes which underpin the ARC’s
activities in these areas.
GUIDING PRINCIPLES
The ARC is guided by a strong commitment to the following principles:
> Excellence in achieving our mission through program and organisational objectives;
> Engagement with government, universities, research agencies, business and the wider community
nationally and internationally;
> Benefit to the community through economic and social return on investment, engaged and informed
decision making, and efficiency of operations; and
> Accountability through adherence to ethical standards and government policy using transparent, efficient
and effective processes.
The ARC is committed to the Australian Public Service (APS) Code of Conduct and the APS values.
ARC-funded research is subject to the principles outlined in the:
> Australian Code for the Responsible Conduct of Research, 2007;
> National Statement on Ethical Conduct in Human Research, 2007;
> Australian Code of Practice for the Care and Use of Animals for Scientific Purposes, 2004; and
> National Principles of Intellectual Property Management for Publicly Funded Research, 2001.
The ARC and the NHMRC jointly administer the ARIC which provides a system to review institutional
processes to respond to allegations of research misconduct.
The ARC is shaping Australia’s global future by supporting an innovative economy
and society through the strategic management of research funding, evaluation of
research excellence and advice on research policy.
Source: ARC Strategic Plan 2011–12 to 2013–14
BUDGET
The ARC’s total annual appropriated resources for 2011–12 were $833.3 million. This comprised:
> $811.3 million for the administered appropriation ($808.8 million special appropriation for the NCGP and
$2.5 million for annual administered appropriation); and
> $22.0 million for the departmental appropriation ($18.8 million for operating expenses, $1.7 million for the
Departmental Capital Budget, and $1.5 million for an equity injection).
Part 4 provides further information on the ARC’s financial performance in 2011–12.
Figure 3.1: ARC total appropriated resources, 2011–12
ORGANISATIONAL STRUCTURE
Figure 3.2 shows the ARC’s organisational structure as at 30 June 2012.
Figure 3.2: Structure of the ARC
* The Executive Directors are respected researchers in their fields and play a unique role within the agency. They are contracted,
usually for between three and five years, to oversee the assessment of funding proposals through a peer review process; liaise and
communicate with the research community and users of research; and identify emerging disciplinary and cross-disciplinary
developments and innovative approaches to research.
SENIOR STAFF
At 30 June 2012, the ARC had six senior staff including the Acting CEO. In addition, the appointments of the
new CEO, Professor Aidan Byrne, and Executive Director, Biological Sciences and Biotechnology, Dr Fiona
Cameron, had been announced—effective 23 July 2012 and 9 July 2012 respectively.
Chief Executive Officer
Ms Leanne Harvey (Acting)
The CEO of the ARC has responsibilities under the ARC Act as well as responsibilities with regard to the
daily corporate and governance functions of the agency.
Executive General Manager
Ms Lesley Nelson (Acting)
The Executive General Manager is responsible for the Research Excellence and Corporate Services
branches within the agency. The Research Excellence Branch has responsibility for implementation of
Excellence in Research for Australia while the Corporate Services Branch includes Finance,
Parliamentary, People and Services and Stakeholder Relations.
Executive Director, Physical, Mathematical and Information Sciences
Professor Richard Coleman
During 2011–12 Professor Coleman was responsible for the Future Fellowships, Australian Laureate
Fellowships, Super Science Fellowships and Linkage Infrastructure, Equipment and Facilities schemes as
well as Physical, Mathematical and Information Sciences discipline issues across all NCGP schemes.
Executive Director, Social, Behavioural and Economic Sciences
Professor Marian Simms
During 2011–12 Professor Simms was responsible for the Discovery Projects and Discovery Early Career
Researcher Award schemes as well as Social, Behavioural and Economic Sciences discipline issues
across all NCGP schemes.
Branch Manager, Strategy and Programs
Dr Mary Kelly
The Branch Manager, Strategy and Programs, is responsible for Policy Coordination and Governance,
Program Evaluation and Reporting, Program Partnerships, and Program Operations. She is also Head,
Internal Audit.
Chief Information Officer
Mr Tony Andersen
The Chief Information Officer is responsible for the ICT Services Branch of the ARC, including ICT
Development and ICT Operations.
PERFORMANCE FRAMEWORK
The ARC’s performance framework comprises two main elements:
> the Portfolio Budget Statements (PBS); and
> the ARC strategic plan.
Portfolio Budget Statements
Under the annual report requirements, the ARC is required to report against the outcome and program
structure in the PBS, in particular to outline how the agency is performing in relation to the deliverables and
key performance indicators (KPIs).
The ARC’s outcome and programs structure, as set out in the 2011–12 PBS, comprises one outcome and
three programs:
> Outcome 1: Growth of knowledge and innovation through managing research funding schemes,
measuring research excellence and providing advice;
> Program 1.1: Discovery—research and research training;
> Program 1.2: Linkage—cross-sector research partnerships; and
> Program 1.3: Excellence in Research for Australia.
Changes in 2011–12
While the overall outcome and programs structure remained unchanged from 2010–11, the deliverables and
KPIs for all three programs were revised to ensure direct alignment with the ARC strategic plan.
Strategic plan
Under the ARC Act, the CEO must prepare a strategic plan at least once a year and give it to the Minister for
approval. The plan must be in writing, cover a period of at least three years and:
> set out the goals, priorities, policies and strategies to be adopted by the CEO in performing her or his
functions;
> set out performance indicators for the assessment of the CEO’s performance of her or his functions; and
> deal with any other matters that the Minister, by notice in writing to the CEO, requires to be dealt with in
the plan.
The ARC annual report must include an assessment of the CEO’s performance of her or his functions during
that year using the performance indicators identified in the strategic plan.
Changes in 2011–12
The ARC Strategic Plan 2011–12 to 2013–14 identifies three key objectives and two enabling objectives. It
sets out the KPIs (nine in total) which are used to assess the agency’s performance in achieving its
objectives.
In 2011-12 the performance indicators in the plan were revised to ensure alignment with the PBS and details
of the associated measures were provided. Appendix 1 of this report provides a table mapping the indicators
in the ARC strategic plan to those in the 2011-12 PBS.
This report
Figure 3.3 illustrates the relationship between the elements of the 2011-12 PBS and strategic plan.
The report on performance in Part 2 is based on the outcome and programs structure of the PBS. The ARC
pursues the three key objectives outlined in the ARC Strategic Plan 2011–12 to 2013–14 through
implementation of the three programs.
Figure 3.3: ARC performance framework
SOURCE
COMPONENTS OF PERFORMANCE FRAMEWORK
THIS REPORT
PBS / PLAN
OUTCOME 1
MISSION
CHAPTER(S)
Growth of knowledge and
innovation through managing
research funding schemes,
measuring research excellence and
providing advice
To deliver policy and programs that
advance Australian research and
innovation globally and benefit the
community
PLAN
KEY OBJECTIVES
CHAPTER(S)
1. Research
2. Capacity
3. Policy and evaluation
PBS
PLAN
5–7
(includes report
on KPIs mapped
to KPIs in PBS)
PROGRAMS
CHAPTERS
1.1 Discovery
1.2 Linkage
1.3 Excellence in
Research for Australia
Objectives
Deliverables
KPIs
Objectives
Deliverables
KPIs
Objectives
Deliverables
KPIs
ENABLING OBJECTIVES
1. Organisation
2. Communication
4
5–7
CHAPTER(S)
8–12
13
PART 2
PERFORMANCE
CHAPTER 4:
OUTCOME
CHAPTER 5:
PROGRAM 1.1 DISCOVERY
CHAPTER 6:
PROGRAM 1.2 LINKAGE
CHAPTER 7:
PROGRAM 1.3 EXCELLENCE IN RESEARCH FOR
AUSTRALIA
CHAPTER 4: OUTCOME
AT A GLANCE
The case studies provided in this chapter are examples of progress made
during 2011–12 towards the ARC’s outcome and mission.
Under the Australian Government’s Portfolio budget statements
2011-12 Innovation, Industry, Science and Research Portfolio, the ARC’s outcome
is:
Growth of knowledge and innovation through managing research funding
schemes, measuring research excellence and providing advice.
The mission articulated in the ARC Strategic Plan 2011–12 to
2013–14 is:
To deliver policy and programs that advance Australian research and innovation
globally and benefit the community.
NCGP
DISCOVERING PATRICK WHITE’S LOST NOVEL
The publication of Patrick White’s novel The Hanging Garden by Random House Australia in April 2012 was
made possible by the work of researchers at The University of Sydney who transcribed the work from
manuscript in the National Library of Australia (NLA).
The 45,000 word ‘finished’ book, set in Sydney during WWII, represents about one third of what White
intended to write. “We can conjecture that he meant to bring it up to the 1980s due to some notes in the
margins at the end of the manuscript, but there’s nothing in the letters or anywhere else to suggest a final
shape or trajectory for the completed book,” Professor Margaret Harris told ABC Radio National.
The manuscript was part of a collection, acquired by the NLA in 2006, of papers of the late Patrick White
(1912–1990), the only Australian to be awarded the Nobel Prize for Literature. The Hanging Garden was
transcribed as part of a project funded under the Discovery Projects scheme, ‘Patrick White in the 21st
Century’, led by Professor Harris and her colleague Emeritus Professor Elizabeth Webby. The initial
transcription was carried out by Jennifer Moore, research assistant on the project, with the help of Dr Olivia
Murphy. White’s biographer, David Marr, and Professor Harris completed the edit, with advice from White’s
friend and literary executor, Barbara Mobbs.
The manuscript collection includes 10 working notebooks, which reveal new insights into White’s working
methods. The research team has transcribed the contents of these notebooks, and is also developing
explanatory annotations to be displayed on the project website alongside scanned images of the notebook
pages.
Professor Harris has built her academic career on research involving the unpublished work of great writers,
including George Eliot and Christina Stead, while Professor Webby is an expert in Australian literature.
NCGP
ICT ADOPTION IN ABORIGINAL HOUSEHOLDS
According to 2006 census data, Aboriginal households are 69 per cent less likely to access the internet than
the rest of the Australian population. To address this, Dr Peter Radoll has studied the factors affecting
information and communications technology (ICT) adoption in Indigenous Australian households.
Dr Radoll’s findings show that previous diffusion methods for ICT have been ineffective in the Australian
Indigenous context. He has identified education and workplace usage as key drivers to household adoption
of ICT and has developed a new model for ICT take up in remote, rural and urban Aboriginal communities.
Dr Radoll’s work has attracted interest from policy makers, including at the Department of Broadband,
Communication and the Digital Economy where he presented his findings.
Dr Radoll received funding for his research under the Discovery Indigenous Researchers Development
scheme from 2009 to 2010. He was awarded his PhD in 2011 from The Australian National University and
was named 2012 Scholar of the Year by the ACT National Aborigines and Islanders Day Observance
Committee. Dr Radoll is from the Anaiwan people of the northern tablelands of New South Wales.
NCGP
DIAMONDS ARE NOT FOREVER
A research team at the Macquarie University Photonics Research Centre, led by ARC Future Fellow Professor
Richard Mildren, has discovered that the surface of a diamond begins to slowly evaporate when exposed to
intense light pulses in the UV-C band (the harsh ultraviolet rays filtered out by the ozone layer).
This new discovery could lead to new processes to create diamond devices with greatly increased precision
and resolution. The usual method used to machine diamonds is laser ablation, which burns atoms from the
surface but leaves behind
an uneven and graphite-contaminated surface. “It’s a very practical discovery and we are now looking at how
we can exploit this,” Professor Mildren said. “If we can make structures in the diamonds that enable us to
control the position of the light within a very narrow filament in the diamond, that’s the first step to making
smaller and more efficient optical devices such as those used in quantum computing and high performance
lasers.”
A story about the discovery appeared in the 15 July 2011 edition of Nature.
NCGP
GENERATING NEW POLICIES: GENDER INEQUITY IN
ARCHITECTURAL PRACTICE
The number of men and women graduating from architecture at Australian universities is roughly the same,
but over the following years the percentage of women continuing to pursue a career in architecture drops
steadily.
Dr Naomi Stead from The University of Queensland is leading a team of researchers examining why women
leave the industry and what can be done to improve the gender imbalance in architectural practice. Their
project, ‘Equity and diversity in the Australian architecture profession: women, work and leadership’, was
funded under the ARC Linkage Projects scheme in 2010 and has a mixture of funding partners across the
architectural industry.
In March 2012, the team launched a website, Parlour: Women, Architecture, Equity (www.archiparlour.org),
to generate discussion on work/life balance and gender issues in the architectural industry. Edited by team
member Justine Clark from The University of Melbourne, the site has generated an initial response
suggesting that the research is resonating within the industry, with more than 17,000 unique browsers
visiting the site in its first three months. The site has developed an enthusiastic comments culture and has
already received international attention, with suggestions that it sets the example for other countries to start
conversations about working conditions, gender imbalance in architecture and how to manifest change.
One of the key outcomes will be a draft national policy on equity and diversity for the peak professional body,
the Australian Institute of Architects, which is a partner organisation on the project.
NCGP
CROP ROOT STUDY TO BOOST AUSTRALIAN GRAIN PRODUCTION
The findings of an ARC-funded research project led by Winthrop Professors Zed Rengel and Kadambot
Siddique could help mitigate the threat of poor local soils, harsh growing conditions and declining, lesspredictable rainfall currently facing Australian grain producers.
Using new screening techniques and advanced computer modelling, Professors Rengel and Siddique
identified a high level of genetic variability in lupin root systems. Professor Rengel said that “our findings may
be used in breeding new varieties of lupins with modified root system and function that may produce higher
yields in soils with relatively limited water and nutrient resources.”
“Traditional crop root systems are poorly suited to the harsh environmental conditions of Australian
agriculture,” says Professor Siddique, “their inefficient use of water and fertilisers not only reduce yields but
also increases salinity and algal blooms in waterways due to excessive nutrient run-off,” he explained.
This research paves the way for similar research in wheat and barley, and could help maintain the domestic
viability and capacity of grain production in Australia. Additionally, it could contribute to addressing the
challenges to international food security brought about by the onset of increasing drought and climate
change.
The study was conducted at The University of Western Australia, in collaboration with the Western Australian
Department of Agriculture and Food, Tasmanian Institute of Agricultural Research and US Pennsylvania
State University. It was funded by an ARC Discovery Project grant from 2009 to 2011.
NCGP
LASER BEAM REVEALS GOLD ORIGIN
The origins of the largest and deepest gold deposit in the world, which has produced more than 40,000
tonnes of gold for the South African economy, has polarized geologists for more than a century, until now.
Using a new analytical technique developed at CODES, the ARC Centre of Excellence in Ore Deposits
based at the University of Tasmania, a team of researchers led by Professor Ross Large has been able to
determine the origins of this impressive reef of gold, with surprising results.
Traditionally, the debate on the origins of this gold reef has mainly been between the ‘placerists’ and
‘hydrothermalists’. Placerists believe that the concentration of gold formed in conglomerates about three
billion years ago, whereas hydrothermalists propose that the reef was hit by a pulse of gold-rich fluids,
leading to its current accumulation.
Unexpectedly, the analytical technique used by the CODES team found that both theoretical camps were
correct. By scanning a very narrow laser beam across the gold and associated minerals, the team were able
to establish key scientific data, including trace elements and the timing of the input of the gold, which led to
the finding that both major geological events combined to produce the current volume of gold.
Professor Large noted that it was pleasing to show both lines of previous research as correct, as it is a rarity
to have major research outcomes reconciling two competing theories.
NCGP
ACCESS TO AUSTRALIA’S MOST POWERFUL COMPUTER
Funding awarded under the ARC Linkage Infrastructure, Equipment and Facilities (LIEF) scheme will ensure
that leading researchers can access Australia’s most powerful computer.
The National Computational Infrastructure (NCI) at The Australian National University has entered into a
collaborative arrangement with Fujitsu to build and install a 1.2 Petaflop supercomputer that is capable of
performing 170,000 calculations per second and possesses the computing power, memory and storage of
about 30,000 dual-processor computers working in tandem. Funding to upgrade the NCI national facility to
petascale capability is being provided through the Department of Industry, Innovation, Science, Research
and Tertiary Education under the Super Science Initiative.
NCI Director Professor Lindsay Botten said that “this state-of-the-art facility will support Australia through an
internationally-competitive capability which raises Australia’s position in high-impact research and innovation.
Research in climate modelling, advanced materials, astronomy and medicine is critically dependent on high
performance computational modelling and data analysis, and researchers in these areas are among the
outstanding teams poised to benefit from the new facility.”
The ARC is providing $3.7 million under the LIEF scheme to facilitate merit-based access to the facility for
researchers from six of Australia’s leading research universities.
NCGP
BIODIVERSITY MANAGEMENT AND NATIVE BIRDLIFE
Researchers have found strong evidence that native revegetation programs on farms in southern Australia
result in noticeable improvements in native woodland bird populations. In the area studied, up to 25 per cent
of woodland birds returned after about eight years of landscape restoration efforts.
In the five year study, researchers at the ARC Centre of Excellence for Environmental Decisions (CEED)
found an unequivocal return on the investment made by Australian taxpayers in revegetation on farms in
terms of birdlife returning to agricultural landscapes.
CEED Director, Professor David Lindenmayer and his team studied bird populations at over a hundred sites
in the Murray Catchment Management Authority region, covering large distances on foot (and being chased
by bulls) year after year.
Encouragingly, they found a progressive improvement in both the number and diversity of woodland birds
(such as the speckled warbler, chestnut-rumped thornbill, the crested shrike-tit and the tiny 8cm weebill) as
native trees and shrubs recovered.
“We now have a body of evidence for what we should be doing to look after large parts of Australia,” said
Professor Lindenmayer. “With the right sort of revegetation plan, you can be confident that many native
species will recover.”
The Murray Catchment Management Authority and Caring for Our Country contributed funding to
the project.
NCGP
SOCIAL MEDIA IN CRISIS COMMUNICATION
A recent report released by the ARC Centre of Excellence for Creative Industries and Innovation (CCI) has
highlighted the potential role of social media networks to effectively transform crisis communication and
strategy.
Investigating the role of Twitter during the 2011 south-east Queensland floods, CCI conducted a detailed
qualitative analysis of both the overall patterns of Twitter activity with the #qldfloods hashtag and the
conversations surrounding major contributor @QPSMedia (the Twitter account of the Queensland Police
Service). The analysis revealed that Twitter effectively adopted the traditional role of broadcast style
emergency communication, and extended this role to find and amplify emergency information, increasing the
visibility of the Queensland floods in the social media landscape. Twitter was also an effective medium for
error correction and rumour management; utilising the popular #mythbusters hashtag, emergency services
were able to promptly address rumours circulating during the floods.
CCI found that Twitter was also central to the process of sense-making and collective memory negotiation,
enabling affected locals and more distant onlookers to come to terms with events, even as they were
unfolding.
The report made several recommendations to the media and emergency services aimed at further realising
the potential of social media in crisis communication. The CCI team stressed the potential of social media to
facilitate communication between key media organisations and civic authorities and the use of social media
platforms to help develop more comprehensive crisis communication infrastructure in Queensland. The
report is available at http://cci.edu.au/floodsreport.pdf.
NCGP
BIOFUEL PROJECT DISCOVERS INDIGENOUS PARTNERS
A team of researchers from the ARC Centre of Excellence for Integrative Legume Research (CILR) at The
University of Queensland have discovered an exciting alternative biofuel source, the legume tree Pongamia
pinnata, preparing Australia for a cleaner, greener future.
Working in conjunction with Cape York’s traditional land owners and partners, the team, led by Director of
the CILR Professor Peter Gresshoff, has undertaken a project that will lead to the planting of more than 3000
hectares of Pongamia at Hope Vale in north Queensland. The seeds from the Pongamia, a native species,
are an ideal choice for biofuel production as they are naturally rich in oil and the tree is tolerant to drought
and salinity. Additionally, as legumes the trees require minimal nitrogen fertiliser, grow fast and do not
compete for prime agricultural land, making them a sustainable solution for alleviating the environmental
ramifications caused by the increasing demands for biofuels by the automotive, aviation, mining and energy
industries in Australia.
Researchers estimate that in due course the harvested Pongamia seeds from the Hopevale plantation could
yield 10–15 million litres of biofuel, making a small, but significant contribution to Australia’s diesel demand,
currently estimated at 20 billion litres a year. Furthermore, the CILR research team is confident that the
adaptability of Pongamia could make it an attractive crop for biofuel production internationally, extending the
benefits beyond the domestic biofuel industry.
NCGP
TIMING OF SLEEP CRUCIAL TO CHILDHOOD HEALTH
Building on the established connection between less sleep and poor health, a research study underpinning a
2011 ARC Linkage Projects grant has shown that an early night’s sleep may be a key factor in reducing
obesity and improving fitness among teenagers.
Researchers at the University of South Australia examined the bedtimes and waking times of more than
2000 Australians aged between nine and 16 years comparing their activity in their free time and their weight.
Results indicated that even with equal amounts of sleep, teens that went to bed early and woke early were
more likely to be slimmer and more active than their counterparts. Dr Carol Maher, recipient of an ARC
Australian Postdoctoral Fellowship under the Discovery Projects scheme and co-author of the study, said
that “Kids who went to bed late and got up late were 1.5 times more likely to become obese and 2.9 times
more likely to be physically inactive.”
The study revealed that young people that went to sleep late often spent a greater proportion of time
engaged in sedentary or screen-based activities. More broadly, late sleepers replaced 30 minutes of
moderate to vigorous activity undertaken by habitually early risers with 30 minutes of sedentary activities
such as computer-based activities or watching TV.
In examining the relationships between health and habits, Dr Maher and her team hope to support education
around teenage health and potentially identify trends that can be modified to improve the health and wellbeing of young people.
Excellence in Research for Australia
ALIGNING RESEARCH STRENGTHS WITH STRATEGIC PRIORITIES
Excellence in Research for Australia (ERA) outcomes locate specific areas of research strength, identify
opportunities to develop research capacity and allow for comparisons of research effort over time. These
features make ERA data an ideal tool for aligning research strengths with institutional, regional and national
priorities to maximise the benefits of public investment in research.
Universities are using ERA data to develop research strengths in areas of strategic priority, including aligning
research capacity with undergraduate teaching profile, research training load, opportunities for cross
disciplinary research, and the interests of local communities and industry stakeholders.
In the 2009–10 Federal Budget the Australian Government announced a reform package for the higher
education sector that included mission-based compacts with Australian universities. ERA results and targets
were included in the 2011-13 mission-based compacts negotiated between the Australian Government and
Australian universities in 2011, and will be included in the 2014-16 Compacts.
As well as ERA performance targets, Compacts include information about how universities plan to use ERA
results to shape research strategy into the future. This includes information on strategies to:
> Build areas performing at world standard as evaluated by ERA;
> Improve performance in areas which did not perform at world standard as evaluated by ERA, or
alternatively, discontinue research activity in relevant areas; and
> Develop research capacity in areas of strategic importance with reference to current teaching and/or
research activity.
ERA results are critical to the Compacts framework – a framework that enables universities to pursue their
distinctive missions and strategic goals while contributing to the Australian Government’s national objectives
for higher education, research, research training and innovation.
Policy Advice
FACILITATING INTERNATIONAL MOBILITY
In 2009 the Australian Government announced that ARC fellowships and awards would be opened to
excellent researchers overseas—as a means of helping Australia grow and maintain a skilled and talented
research workforce.
In 2011–12 the ARC reported the following:
> The new Discovery Early Career Researcher Award scheme had attracted 109 promising early career
researchers to Australian shores in 2012—including citizens of 30 countries and Australians returning from
six countries. These 109 researchers represented 40 per cent of the Awards announced under the first
selection round.
> The Future Fellowships scheme had helped attract 107 bright mid-career researchers to Australia
since 2009. This includes international researchers and returning Australians.
> Ten of Australia’s most prestigious fellowships, the Australian Laureate Fellowships, had been awarded to
leading international researchers since 2009 to help them relocate or return to Australia. Further
contributing to our research capacity, these research leaders are also using their fellowship to build
international research teams within our universities.
> Since 2009, the ARC had received funding proposals under its fellowship schemes from researchers from
49 countries across Asia, Europe, the Middle East, Africa and the Americas.
At their March 2012 meeting the ARC Advisory Council discussed the importance of attracting research
talent from across the globe to help Australia address national issues such as industry transformation, and
global issues such as climate change.
CHAPTER 5:
PROGRAM 1.1 DISCOVERY
AT A GLANCE
The Discovery Program supports high quality research projects led by individuals
and teams, and provides opportunities to develop and support the careers of
talented researchers at all career stages.
The ARC conducted selection rounds for funding commencing in 2011–12 under
the following funding schemes of the Discovery Program:
Australian Laureate Fellowships;
Discovery Early Career Researcher Award;
Discovery Indigenous;
Discovery Projects;
Future Fellowships; and
Super Science Fellowships.
The ARC received 6575 proposals for funding under the Discovery Program
commencing in 2011–12 of which 1306 were funded.
Through the program the ARC supported excellent research (including research in
priority areas) and excellent researchers as well as the development of research
partnerships.
All of the performance targets for 2011–12 were met (Table 5.3).
GUIDE TO THE REPORT
This chapter provides a report against the ARC performance framework outlined in the Portfolio Budget
Statements (PBS) 2011-12 and the ARC Strategic Plan 2011–12 to 2013–14. It includes a report on:
> program deliverables;
> priority actions in the ARC strategic plan;
> performance against the program objectives; and
> performance against the program key performance indicators (Table 5.3).
The deliverables and key performance indicators were revised in 2011–12 to align with the ARC strategic
plan.
The ARC pursues the key objectives set out in the ARC Strategic Plan 2011–12 to 2013–14 through
implementation of the Discovery Program. In reporting against the program performance framework, we are
also articulating our performance against the following key objectives from the strategic plan:
> Research—To support excellence in research;
> Capacity—To build Australia’s research capacity; and
> Policy and evaluation—To provide informed high quality policy advice to government and enhance
research outcomes through effective evaluation.
Performance data in this chapter relates to new funding commencing in 2011–12 unless otherwise stated.
The performance report is supported by further information provided in Appendices 2, 3 and 4.
Table 5.1: Discovery Program performance framework
Outcome (PBS)
Mission (ARC strategic plan)
Growth of knowledge and innovation through managing
research funding schemes, measuring research
excellence and providing advice
Deliver policy and programs that advance Australian
research and innovation globally and benefit the
community
Key objectives
Research—To support excellence in research
Capacity—To build Australia’s research capacity
Policy and evaluation—To provide informed high quality policy advice to government and enhance research
outcomes through effective evaluation
Program 1.1—Discovery
Objectives
The Discovery Program is aimed at supporting the growth of Australia’s research capacity, resulting in advances in
knowledge, the development of new technologies, products and ideas, the creation of jobs, economic growth and
an enhanced quality of life in Australia. Specifically the Discovery Program aims to:
support excellent fundamental research by individuals and teams
support the development of young researchers as well as the ongoing careers of individuals and research teams
provide incentives for researchers to build the scale of their work, develop teams and support the growth of
networks of research (both nationally and internationally)
enhance the scale and focus of research in areas of national priority.
2010–11
2011–12
Deliverables
Number of grants
Number of grants
Number of administering organisations
Number of researchers supported
Amount awarded
Amount awarded
Communication activities
Policy advice
Key performance indicators
Research careers
Outputs and outcomes
Research collaboration
Collaboration
Areas of national priority
Research training
Areas of national priority
Policy advice
DELIVERABLES
Table 5.2: Discovery Program deliverables
DELIVERABLE
RESULT
2009–10
2010–11
2011–12
1149
1205
1306
n/a
n/a
2537
$516 435
$513 430
$547 343
Communications activities that foster stakeholder and community
awareness of the role of the ARC and benefits of ARC support for
research and research training*
n/a
n/a
Achieved
Policy advice relating to research and research training*
n/a
n/a
Achieved
Number of grants awarded
Number of researchers supported (investigators named in
funded proposals)*
Funding awarded to administering organisations ($’000)
*These deliverables were not measured in previous years.
Grants awarded
The number of grants awarded under the Discovery Program increased in 2011–12 due to the establishment
of a separate scheme to support early career researchers, the Discovery Early Career Researcher Award
scheme. Previously, support for early career researchers was provided as part of the Discovery Projects
scheme (through Australian Postdoctoral Fellowships and early career researcher only proposals).
Researchers supported
New projects with funding commencing in 2011–12 under the Discovery Program involve 2537 researchers.
Investigators named in funded proposals include chief investigators, fellows and awardees, and partner
investigators.
Totals do not include Super Science Fellows, who are recruited by the chief investigators subsequent to the
award of funding; the postdoctoral and postgraduate researchers recruited to support Australian Laureate
Fellows; and other unnamed project personnel and postgraduate students.
Funding awarded
The funding awarded to administering organisations under the Discovery Program increased in 2011–12 to
$547.3 million. The increase was primarily due to the establishment of the Discovery Early Career Researcher
Award scheme and the subsequent increased number of grants. There were also increases in funding provided
under the Australian Laureate Fellowships scheme, to accommodate the additional two fellowships for women,
and the Discovery Indigenous scheme, where the average grant size increased in comparison to previous years.
Communication activities
Communication activities that foster stakeholder and community awareness of the role of the ARC and
benefits of ARC activities in supporting research and research training are identified as deliverables in the
2011-12 PBS.
Communication activities undertaken by the ARC include funding announcement events (such as the
Australian Laureate Fellowships announcement pictured on page 43), media releases and interviews and
management of the ARC website. Further details are provided in Chapter 13.
Policy advice
In 2011–12, the ARC provided advice and engaged in discussions on a range of policy matters relevant to
the Discovery Program. The ARC:
> revised Funding Rules for Discovery Program schemes, including a new definition of medical and dental
research and revised eligibility requirements;
> revised its international strategy;
> participated in the inaugural Global Summit on Merit Review, hosted by the US National Science
Foundation;
> provided input to the 2012 process to refresh the National Research Priorities, led by the Department of
Industry, Innovation, Science, Research and Tertiary Education;
> participated in the Health of Australian Science Advisory Group;
> made a submission to the Australia in the Asian Century White Paper focussing on the need to build a
strong research capacity to ensure that Australia is well equipped to engage with the growing economies
in the region; and
> made a submission to Strategic Review of Health and Medical Research in Australia.
Strategic plan: priority action for 2011–12 Revise the ARC international strategy
In 2011–12 the ARC revised its international strategy to align it with the ARC strategic plan and take
into account recent developments in the external environment. The revised strategy was published on
the ARC website in May 2012. The ARC’s overarching aim in supporting international research
collaboration is “To maximise Australia’s contribution to and benefits from international research
collaborations, partnerships, developments and policy.”
Strategic plan priority action for 2011–12: Engage in international discussions about peer
review
On 15 May 2012, participants at a two-day Global Summit on Merit Review, hosted by the US National
Science Foundation, established a Global Research Council and released a set of merit review principles.
Representatives of research councils from around 50 countries, including Australia, participated in the
summit. Professor Andrew Wells represented the ARC at the meeting.
The statement of merit review principles was developed with two primary objectives: to foster international
cooperation between funding agencies that support the scientific research community, and for those countries
that are developing new funding agencies, to provide a global consensus on the key elements necessary for a
rigorous and transparent review system.
Merit review principles
> Expert Assessment — Collectively, reviewers should have the appropriate knowledge and expertise to
assess the proposal both at the level of the broad context of the research field(s) to which it contributes
and with respect to the specific objectives and methodology. Reviewers should be selected according to
clear criteria.
> Transparency — Decisions must be based on clearly described rules, procedures and evaluation criteria
that are published a priori. Applicants should receive appropriate feedback on the evaluation of their
proposal.
> Impartiality — Proposals must be assessed fairly and on their merit. Conflicts of interest must be declared
and managed according to defined, published processes.
> Appropriateness — The review process should be consistent with the nature of the call, with the research
area addressed, and in proportion to the investment and complexity of the work.
> Confidentiality — All proposals, including related data, intellectual property and other documents, must be
treated in confidence by reviewers and organisations involved in the review process.
> Integrity and Ethical Consideration — Ethics and integrity are paramount to the review process.
OBJECTIVES
Objective: Support excellent fundamental research by individuals and teams
The funding schemes of the Discovery Program provide support for the highest quality research conducted
at Australia’s higher education institutions and other eligible organisations. To ensure excellent research is
funded, the ARC uses a rigorous assessment process involving academic peers. The academic impact of
outputs arising from ARC-funded research is measured periodically through citation analysis.
Significant contributions in 2011–12
> In 2011–12 the ARC continued to enhance peer review processes to ensure the best research is funded.
This included a greater emphasis on the assessments of specialised external reviewers; refocus of the
role of the ARC College members as moderators; enhancement of processes and systems to improve the
assessment of interdisciplinary proposals; and completion of the roll-out of the A-E ranking system across
ARC funding schemes.
> Recipients of ARC funding are required to provide progress and final reports to the ARC on their research
projects. These final reports give an indication of initial outputs and achievements of ARC-funded research
projects. The case studies in Chapter 4 and on pages 54-57 of this chapter provide some examples of the
high quality outcomes arising from research funded under the Discovery Program.
Strategic plan priority action for 2011–12: Enhance peer review through improved
assessor assignment processes
In 2011–12 the ARC enhanced its capacity to match funding proposals to external assessors by
improving systems capability; obtaining up-to-date data on the research expertise of assessors;
designing processes to track assessor reliability; and providing feedback to assessors. The ARC is
continuing to develop new approaches to assessor-proposal matching in 2012–13.
Objective: Support the development of young researchers as well as the ongoing careers of
individuals and research teams
The ARC provides support for researchers at all career stages through fellowships and awards administered
under the Discovery Program including:
> Discovery Early Career Researcher Awards;
> Future Fellowships;
> Australian Laureate Fellowships;
> Discovery Indigenous Awards (under the Discovery Indigenous scheme); and
> Discovery Outstanding Researcher Awards (under Discovery Projects).
In addition the ARC:
> has an assessment process that provides a flexible approach to the consideration of a researcher’s
capabilities and assists those who have had career interruptions, particularly for family-related reasons;
> provides funding for postgraduate stipends and salaries for research personnel, such as research
assistants and associates and technical officers;
> provides funding to support postdoctoral and postgraduate researchers to work in teams with the world
class researchers who have been awarded Australian Laureate Fellowships; and
> administers the Discovery Indigenous scheme to build research capacity of Aboriginal and Torres Strait
Islander researchers.
Significant contributions in 2011–12
> The ARC awarded funding for 578 new fellowships and awards commencing in 2011–12 under the
Discovery Program, up from 464 in 2010–11.
> The ARC established the Discovery Early Career Researcher Award scheme to provide more
opportunities for promising early career researchers in teaching and research and research-only positions.
There was a very high demand for funding in the first Discovery Early Career Researcher Award selection
round, with 2159 proposals considered, of which 277 were approved for funding.
> In the Australian Laureate Fellowships selection round for funding commencing in 2011, two fellowships
specifically allocated for outstanding female researchers were awarded for the first time. Professor
Mahananda Dasgupta was awarded the inaugural Georgina Sweet Fellowship for women in science and
technology and Professor Norris was awarded the inaugural Kathleen Fitzpatrick Fellowship for women in
the humanities and social sciences.
> Under the Australian Laureate Fellowships scheme funding is available to support postgraduate and
postdoctoral researchers who will work within teams under the mentorship of the world-class researchers
who are awarded Australian Laureate Fellowships. In the selection round for funding commencing in 2011,
$16.8 million in funding was provided for 34 postgraduate and 33 postdoctoral researchers to work with
the 17 Fellows.
> In the Discovery Indigenous selection round for funding commencing in 2012, there was a small increase
in demand compared with the Discovery Indigenous Researcher Development selection round for funding
commencing in 2011. This is consistent with the broader eligibility guidelines under the new scheme.
Ten successful proposals were awarded a total of $3.9 million.
> The Discovery Indigenous scheme for funding commencing in 2012 includes the Discovery Indigenous
Award, which is available to chief investigators who are Indigenous Australian researchers, at five salary
levels depending on experience. Five Discovery Indigenous Awards were approved for funding
commencing in 2012.
> The Discovery Outstanding Researcher Award was introduced under the Discovery Projects scheme for
funding commencing in 2012 to provide opportunities for mid to late career research-only and teaching
and research academics. Discovery Outstanding Researcher Awards provide a salary for a period of up to
three years—equivalent to the duration of the Discovery Projects grant.
Strategic plan priority action for 2011–12: Assess impact of changes to Discovery Projects
and Discovery Early Career Researcher Award schemes
The following changes were made to Discovery Projects for funding commencing in 2012:
> the establishment of the Discovery Early Career Researcher Award scheme;
> the introduction of the Discovery Outstanding Researcher Award;
> the discontinuation of fellowships previously offered under Discovery Projects; and
> the discontinuation of the allocation for early career researcher-only proposals under Discovery Projects.
Reflecting the changes to the Discovery Program, there was a decrease in demand for funding for Discovery
Projects—from 4230 in 2011 to 3544 in 2012—as many of the early career researchers who would have
otherwise applied for Discovery Projects funding applied under the new Discovery Early Career Researcher
Award scheme instead.
As a result of the establishment of the Discovery Early Career Researcher Award scheme, less funding was
available under the Discovery Projects than in previous years.
In the selection round for funding commencing in 2012, $236.8 million was awarded to 778 successful
proposals, compared with $318.2 million to 931 successful proposals in 2011. However, total funding
commencing in 2012 for the Discovery Projects and Discovery Early Career Researcher Award schemes
combined was $340.7 million, an increase from 2011 Discovery Projects funding.
There were more research projects led by early career researchers supported through the Discovery Early
Career Researcher Award selection round for funding commencing in 2012, than in previous years under the
Discovery Projects scheme. In the Discovery Projects selection round for funding round commencing
in 2011, 108 Australian Postdoctoral Fellowships were awarded and 87 early career researcher-only
proposals,1 supporting 95 early career researchers, were funded.2
1
Early career researcher-only proposals were proposals on which all nominated investigators had been awarded their PhD
within five years or less of the date of submission of the proposal.
2
Includes some double counting. That is, some Australian Postdoctoral Fellowships were awarded within early career
researcher-only proposals.
Objective: Provide incentives for researchers to build the scale of their work, develop teams
and support the growth of networks of research
Building teams
The Discovery Program supports research involving collaboration within and across institutions and research
disciplines. Multiple chief investigators from eligible organisations can work together on research projects
funded under the Discovery Projects and Discovery Indigenous schemes, and researchers from other
organisations can participate as partner investigators on projects funded under the Discovery Projects
scheme. Project funding can also be used for postgraduate stipends, and to engage research assistants,
research associates and technical officers.
The Future Fellowships scheme supports cross-institutional collaboration by allowing fellows to spend up to
two years of their fellowship conducting research at a host organisation other than the administering
organisation.
As outlined on page 46, the Australian Laureate Fellowships scheme supports the development of research
teams through providing funding for postgraduate and postdoctoral researchers to work with Australian
Laureate Fellows. This enables world class researchers to build the scale of their work while mentoring and
developing research students and early career researchers.
International networking and mobility
The ARC supports international networking and mobility across all schemes of the Discovery Program.
Funding up to the specified limits for individual funding schemes can be used for overseas travel by chief
investigators, fellows and other project personnel, and by partner investigators based overseas to travel to
Australia.
In addition, International Collaboration Awards are available under the Discovery Projects scheme to
enhance opportunities for collaboration among researchers, research teams and/or research centres in
Australia and overseas.
To grow Australia’s research capacity all ARC fellowships and awards are open to international researchers
who will undertake research in Australian universities and other eligible organisations, irrespective of their
nationality.
Significant developments in 2011–12
> In the Discovery Projects selection round for funding commencing in 2012, an average of 2.7 chief
investigators and partner investigators were involved in each successful proposal.
> Funding was provided for 34 postgraduate and 33 postdoctoral researchers to work with the 17 new
Australian Laureate Fellows.
> In the selection rounds for funding commencing in 2011–12 under the Discovery Program, there were
1689 instances of international collaboration reported on the 1029 successful proposals across the
schemes for which this data was collected.
> In the Discovery Projects selection round for funding commencing in 2012, 94 proposals were awarded
International Collaboration Awards.
> In the selection rounds for funding commencing in 2011–12, 21.9 per cent of fellowships and awards went
to foreign nationals and 7.8 per cent to Australian citizens or permanent residents returning from
overseas.
Objective: Enhance the scale and focus of research in areas of national priority
The ARC considers the four National Research Priorities (NRPs) in administering the NCGP. The four NRPs
are: an environmentally sustainable Australia; promoting and maintaining good health; frontier technologies
for building and transforming Australian industries; and safeguarding Australia. These are underpinned by 21
NRP goals.
The ARC implements NRPs through all schemes of the Discovery Program except Discovery Indigenous.
Researchers have the opportunity to state whether their research proposal falls within one of the four priority
areas, and they can also indicate how the proposal addresses one or more of the NRP goals.
In the selection round for Future Fellowships commencing in 2011, researchers were asked to identify if the
proposal targeted research areas of national significance; or targeted disciplinary areas where there was an
identified need for capacity development.
Significant contributions in 2011–12
> Over 90 per cent of proposals funded under the Discovery Program indicated that they involved research
in an area of national research priority (Table 5.3). The largest number is in the area of frontier
technologies (29.8 per cent of proposals).
> Among the 203 successful proposals under the Future Fellowships scheme for funding commencing
in 2011, there were 112 instances of research in the targeted discipline areas and 207 instances of the
targeted research areas. Proposals could identify more than one targeted discipline and/or research area.
KEY PERFORMANCE INDICATORS
Table 5.3: Discovery Program, performance against key performance indicators
KEY PERFORMANCE
INDICATORS
MEASURE
TARGET
PERFORMANCE
Outputs and outcomes
arising from ARC-supported
research are of a high quality
and produce national benefits
Evidence of impact of ARCfunded research
Significantly exceeds
benchmarks where available
2011–12: A bibliometric study
was not undertaken in the
reporting period.
[KPI 1.1 in the strategic plan]
Outcomes arising from ARCfunded research that provide
social, economic,
environmental and cultural
benefits
Evidence of benefits arising
from the outcomes of ARCfunded research
Examples of outcomes of
ARC-funded research are
provided in chapter 4.
ARC funding supports
excellent researchers
External recognition of the
achievements of ARC-funded
researchers
Prestigious prizes and
awards are received by ARCfunded researchers
Examples of prestigious
prizes and awards won by
ARC-funded researchers are
provided on pages 52-53.
Evidence of impact of
research conducted by ARCfunded fellows
Exceeds benchmarks where
available
2011–12: A bibliometric study
was not undertaken in the
reporting period.
Proportion of ARC-funded
researchers who are early
career researchers (within
five years of completion of
their PhD) [named
investigators only]
Greater than 20 per cent
2011–12: 22.0 per cent1
ARC-funded research makes
a significant contribution to
research activity and
capability in areas of national
need
Proportion of funded
proposals that address the
National Research Priorities
(NRPs)
Greater than 85 per cent
[KPI 2.3 in the strategic Plan]
Evidence of impact in NRP
areas
Examples of impact in NRP
areas
Examples of outcomes from
ARC-funded research in the
NRP areas are provided on
pages 54-57.
There is a high level of
collaboration between ARCfunded researchers and
those within other
components of the national
and international innovation
systems
Proportion of projects
involving international
collaboration
Greater than 65 per cent
2011–12: 67.6 per cent3
Evidence of impact of policy
advice
Policy advice improves the
ARC’s capacity to contribute
to the national innovation
agenda
[KPI 2.1 in the strategic plan]
ARC-supported research
contributes significantly to
high quality research training
[KPI 2.2 in the strategic plan]
2010–11: 18.5 per cent
2009–10: 19.7 per cent
2011–12: 91.1 per cent2
2010–11: 90 per cent
2009–10: 90.2 per cent
2010–11: 63.9 per cent
2009–10: 65.8 per cent
[KPI 1.2 in the strategic plan]
Policy advice enhances
Australia’s capacity and
excellence in research
[KPI 3.1 in the strategic plan]
Changes were made to
enhance the Discovery
Program by reducing
potential overlap in funding
across funding agencies,
freeing up more ARC funding
for the research disciplines it
supports.
Table notes
1 Includes
chief investigators and fellows named on successful proposals across all schemes excluding Super Science Fellowships.
Super Science Fellowships funding was awarded to project leaders who subsequently recruited early career researchers to take up the
50 Super Science Fellowships for funding commencing in July 2011.
2 Across
all Discovery schemes excluding Discovery Indigenous which does not collect data on national research priorities.
3
Across all Discovery schemes excluding Discovery Early Career Researcher Award which did not collect data on collaboration in the
selection round for funding commencing in 2012. This data will be collected in future years.
PRIZES AWARDED TO ARC FELLOWS
2011 Nobel Prize for Physics (joint winner)
Professor Brian Schmidt, Australian Laureate Fellow, The Australian National University (ANU)
2011 Prime Minister’s Science Prizes
Associate Professor Min Chen, Queen Elizabeth II (QEII) Fellow, The University of Sydney (Science Minister’s
Prize for Life Scientist of the Year)
Professor Stuart Wyithe, Australian Laureate Fellow, The University of Melbourne (2011 Malcolm McIntosh
Prize for Physical Scientist of the Year)
2011 Eureka Prizes
Emerging Leader in Science – Associate Professor Kevin Pfleger, Future Fellow, The University of Western
Australia
Leadership in Science – Professor Ben Eggleton, Federation Fellow and Director, ARC Centre for Ultrahighbandwidth Devices for Optical Systems
Sir Nicholas Shackleton Medal for the most outstanding Quaternary scientist
Dr Zenobia Jacobs, QEII Fellow, University of Wollongong
WH (Beattie) Steel medal
Professor Min Gu, Australian Laureate Fellow, Swinburne University
2011 State Scientists of the Year
NSW: Professor Michelle Simmons, Federation Fellow, The University of New South Wales
WA: Professor Richard Hobbs, Australian Laureate Fellow, The University of Western Australia
SA: Professor Peter Langridge, Researcher Leader and Chief Executive Officer, Australian Centre for Plant
Functional Genomics
2011 Tall Poppy awards
Dr Cormac Corr, Future Fellow, ANU
Dr Natalie Ban, Australian Postdoctoral Fellow, ARC Centre of Excellence for Coral Reef Studies
Associate Professor Matthew Davis, QEII Fellow, The University of Queensland
Dr Tamara Davies, Future Fellow, The University of Queensland
Dr Mariana Fuentes, Super Science Fellow, ARC Centre of Excellence for Coral Reef Studies
Dr Deanna D’Alessandro, QEII Fellow, The University of Sydney
Dr Melissa Green, Future Fellow, The University of New South Wales
Dr George Hobbs, QEII Fellow, CSIRO Astronomy and Space Science
2011 The Australian Innovation Challenge awards:
Overall winner
Professor Mark Kendall, Future Fellow, The University of Queensland
Health Category
Professor Marcela Bilek, Federation Fellow, The University of Sydney
Environment Category
Professor Rick Shine, Federation Fellow, The University of Sydney
Australian Academy of Science 2011 awards
2012 Fenner medal for distinguished research in biology
Winthrop Professor A Harvey Millar, ARC Professorial Fellow, ARC Centre of Excellence in Plant Energy
Biology, UWA
2012 Christopher Heyde medal for distinguished research in the field of applied, computational
and financial mathematics
Dr Josef Dick, QEII Fellow, The University of Melbourne
2012 Dorothy Hill award for female researchers in the earth sciences
Dr Karen Black, Australian Postdoctoral Fellow, The University of New South Wales
2012 Pawsey medal for outstanding research in physics
Professor Tanya Monro, Federation Fellow, The University of Adelaide
Australian Institute of Physics 2011 Walter Boas Medal
Professor Ben Eggleton, Federation Fellow and Director, ARC Centre for Ultrahigh-Bandwidth Devices for
Optical Systems
National Measurement Institute, 2012 Prize for Excellence in Measurement Research
Dr Sharath Sriram, Australian Postdoctoral Fellow, RMIT University
National Research Priority 1: An Environmentally Sustainable Australia
WA MARINE ECOSYSTEMS DISRUPTED BY 2011 HEATWAVE
An unprecedented heat wave in early 2011 saw sea temperatures off the coast of Western Australia reach
their highest levels in 140 years and remain up to five degrees warmer than normal for more than 10 weeks.
A paper published in Nature Climate Change1 has shown that this event had a significant impact on marine
ecosystems.
The study, an international collaboration led by researchers from the Oceans Institute and School of Plant
Biology at The University of Western Australia, compared the impacts of the heat wave on biodiversity in two
Indian Ocean locations: Jurien Bay and Hamelin Bay, 500km further south. The coastal margins along
Australia’s western coast, including Jurien Bay, form a biodiversity hotspot and transition zone between
tropical and temperate ecosystems.
Following the heat wave, the Jurien Bay area experienced a reduction in large cool-water seaweeds and an
increase in tropical fish species. The ratio of tropical fish to other species increased from 5–10 per cent to up
to about 20 per cent. The reduction in seaweeds allowed the proliferation of turf-forming algae and, as a
consequence, a loss in encrusted coralline algae and sponges. The long-term impact of the event at Jurien
Bay is not known. By comparison, in the cooler region of Hamelin Bay, the heatwave did not affect the
marine ecosystem.
Predictive modelling of the impact of climate change on ecosystems is usually largely based on gradual
warming scenarios. This research suggests that discrete extreme climate events can have a significant
impact on marine ecosystems and that this should be studied further.
The leader of the research program and lead author of the paper, Associate Professor Thomas Wernberg, is
the recipient of an ARC Future Fellowship.
National Research Priority 2: Promoting and Maintaining Good Health
PLANTING THE SEED FOR NEW CANCER THERAPIES
Dr Joshua Mylne from The University of Queensland’s Institute for Molecular Bioscience was awarded
the 2012 Peter Goldacre Award by the Australian Society of Plant Scientists in recognition of his unusual
finding that the drug-like protein, SFTI, begins life buried in a sunflower seed protein.
SFTI is a small, stable protein ring that can block digestive enzymes called proteases, which digest our
meals, but tumours can also use them to eat into surrounding flesh and create space for the tumour to grow.
In its natural form, SFTI will block a well-known breast cancer protease, and in modified forms will block
proteases associated with other types of cancer. These proteins have not been broadly adopted by drug
designers despite their potential to fight cancer partly because of the expense of producing them using
traditional, synthetic methods.
Dr Mylne’s discovery of SFTI within sunflower seeds has opened up a potential solution to this problem.
“Seeds are an attractive system for the production of pharmaceuticals, as they are cheap to grow and their
contents are stable at room temperature, and sterile inside their coat,” Dr Mylne said. “There are also
established systems in place for their production, harvest, storage and transportation, meaning they could be
the ultimate low-cost drug manufacturing system.”
Dr Mylne is the recipient of an ARC Discovery Projects grant and Queen Elizabeth II Fellowship over the
period 2008–2012 and has been awarded a Future Fellowship at The University of Western Australia
commencing in 2013.
1
Thomas Wernberg, Dan A. Smale, Fernando Tuya, Mads S. Thomsen, Timothy J. Langlois, Thibaut de Bettignies, Scott Bennett &
Cecile S. Rousseaux ‘An extreme climatic event alters marine ecosystem structure in a global biodiversity hotspot’ Nature Climate
Change (2012) doi:10.1038/nclimate1627
National Research Priority 3: Frontier Technologies for Building and Transforming Australian
Industries
BREAKTHROUGH IN THIN FILM SOLAR CELL TECHNOLOGY
Two ARC Fellowship and Award recipients were part of a research team that has developed the world’s most
efficient broadband nanoplasmonic solar cells. In a paper published in Nano Letters, 2 the researchers
describe how they have manufactured thin film solar cells with an absolute efficiency of 8.1 per cent. Thin
film solar cells have potential as a cheap alternative to crystalline cells but because of they are thin they
have been less effective at absorbing sunlight. To create more efficient thin film cells, the researchers used
nucleated or ‘bumpy’ nanoparticles.
Co-author of the paper, Dr Baohua Jia, from Swinburne University of Technology, believes that this new
technology will have an important impact on the solar industry. “What we have found is that nanoparticles
that have an uneven surface scatter light even further into a broadband wavelength range. This leads to
greater absorption, and therefore improves the cell’s overall efficiency.” One of the potential applications of
thin film solar cells is to cover glass windows, which could enable whole sky scrapers to run off solar power
in the future.
Dr Jia was the recipient of an Australian Postdoctoral Fellowship under the Discovery Projects scheme from 2009
to 2011 and was awarded one of the inaugural ARC Discovery Early Career Researcher Awards for funding
commencing in 2012. The paper’s other co-authors include ARC Australian Laureate Fellow, Professor Min Gu,
others from Swinburne University and researchers from Suntech Power Holdings. The research was conducted
under the auspices of the Victoria-Suntech Advanced Solar Facility at Swinburne, a $12 million program jointly
funded by the Victorian Government, Swinburne and Suntech.
National Research Priority 4: Safeguarding Australia
ROVER ROBOTS HELP DEFENCE TRAINING
Robotic smart targets for live-fire training, initially developed by researchers at The University of Sydney, had
continued market success in 2011–12 and are providing a realistic, interactive and challenging training
scenario for Australian and United States defence personnel.
From 2003 researchers at the ARC Centre of Excellence for Autonomous Systems worked with the
Australian Defence Forces to develop mobile robots for counter-terrorism training. Dr Alex Brooks, Dr Tobias
Kaupp, and Dr Alex Makarenko commercialised the technology through their start-up company, Marathon
Targets. Dr Alex Makarenko was the recipient of an Australian Postdoctoral Fellowship under the Discovery
Projects scheme during the period in which the technology was developed.
Marathon Targets’ Rover robots are the first of their kind. The armoured autonomous robots look, move and
behave like real people. They weigh only 150 kilograms, are based on the Segway platform and can
accelerate at up to 12.6km/h. Using a GPS and a scanning laser range-finder for navigation, they can turn on
the spot, quickly change direction, navigate in and out of buildings, react quickly to avoid obstacles, and
even run for cover when one of their buddies is hit by a bullet.
The Australian Defence Force has been using the system since 2008 and in 2010 the company was
awarded a US$50 Million contract by the United States Marine Corps for a trial project. Marathon Targets
was selected as the nation’s top technology start-up at the 2010 Tech23 Awards. In 2011–12 Marathon
Targets delivered its second generation two-wheel smart targets to the United States Marine Corps (USMC),
received a follow-on order from the USMC for its new four-wheel smart target, and was awarded its latest
smart target contract from a NATO member country.
2
Xi Chen*, Baohua Jia*, Jhantu K. Saha*, Boyuan Cai*, Nicholas Stokes*, Qi Qiao**, Yongqian Wang**, Zhengrong Shi**, and Min
Gu*, Nano Lett., 2012, 12 (5), pp 2187–2192, DOI: 10.1021/nl203463z
* Centre for Micro-Photonics, Faculty of Engineering and Industrial Sciences, Swinburne University of Technology
** Suntech Power Holdings Co., Ltd., China
CHAPTER 6:
PROGRAM 1.2 LINKAGE
AT A GLANCE
The Linkage Program supports research collaboration between universities and
between universities and other organisations (including businesses and
government departments).
The ARC conducted selection rounds for funding commencing in 2011–12 under
the following funding schemes of the Linkage Program:
Linkage Projects;
Linkage Infrastructure, Equipment and Facilities;
Linkage Learned Academies Special Projects; and
Special Research Initiative in Synchrotron Science.
The ARC also provided ongoing funding to ARC Centres of Excellence, co-funded
research centres and Special Research Initiatives that commenced in previous
years. A brief description of the schemes comprising the Linkage Program is
provided at Appendix 2.
In 2011–12 the ARC received 1132 proposals for funding under the Linkage
Program funding schemes of which 455 were funded.
Through the program the ARC supported excellent research (including research in
priority areas) and excellent researchers as well as the development of research
partnerships.
All except one of the performance targets for 2011–12 were met (Table 6.3). The
proportion of funded projects involving international collaboration was
40.7 per cent, which is slightly short of the target of 42 per cent. The difference
between the target and the result represents only six projects.
GUIDE TO REPORT
This chapter provides a report against the ARC’s performance framework outlined in the Portfolio Budget
Statements (PBS) 2011-12 and ARC Strategic Plan 2011–12 to 2013–14. It includes a report on:
> program deliverables;
> relevant priority actions in the ARC strategic plan;
> performance against the program objectives; and
> performance against the program key performance indicators (Table 6.3).
The deliverables and key performance indicators were revised in 2011–12 to align with the ARC strategic
plan.
The ARC pursues the key objectives set out in the ARC Strategic Plan 2011–12 to 2013–14 through
implementation of the Linkage Program. In reporting against the program performance framework, we are
also articulating our performance against the following objectives:
> Research—To support excellence in research;
> Capacity—To build Australia’s research capacity; and
> Policy and evaluation—To provide informed high quality policy advice to government and enhance
research outcomes through effective evaluation.
Performance data in this chapter relates to new funding commencing in 2011–12 unless otherwise stated.
The performance report is supported by further information provided in Appendices 2, 3 and 4.
Table 6.1: Linkage Program performance framework
Outcome (PBS)
Mission (ARC strategic plan)
Growth of knowledge and innovation through managing
research funding schemes, measuring research
excellence and providing advice
Deliver policy and programs that advance Australian
research and innovation globally and benefit the
community
Key objectives
> Research—To support excellence in research
> Capacity—To build Australia’s research capacity
> Policy and evaluation—To provide informed high quality policy advice to government and enhance research
outcomes through effective evaluation
Program 1.2—Linkage
Objectives
The Linkage Program is aimed at improving research outcomes and the use of research outcomes by
strengthening links within Australia’s innovation system and with innovation systems internationally. The objectives
of the Linkage Program are to:
> encourage partnerships between university-based researchers and end-user organisations (including business,
industry, government and community organisations, and publicly funded research agencies);
> foster opportunities for postgraduate and postdoctoral researchers to pursue research in collaboration with
organisations outside the higher education sector;
> support investment in strategic national research infrastructure and access to major international facilities; and
> encourage the growth of clusters of research and research training as platforms for innovation through funding
research centres and hubs.
2010–11
2011–12
Deliverables
> Number of grants
> Number of grants
> Funding awarded
> Number of researchers
> Number of administering organisations
> Funding awarded
> Communication activities
> Policy advice
Key performance indicators
> Research careers
> Outputs and outcomes
> Collaboration
> Research training
> Areas of national priority
> Areas of national priority
> Collaboration
> Policy
DELIVERABLES
Table 6.2: Linkage Program deliverables
DELIVERABLE
RESULT
2009–10
2010–11
2011–12
Number of grants awarded
525
495
455
Number of researchers^*
(investigators named in funding proposals)
n/a
n/a
2 098
219 642
409 732
194 483
Communications activities that foster stakeholder and community
awareness of the role of the ARC and benefits of ARC support for
research collaboration*
n/a
n/a
Achieved
Policy advice relating to encouraging research collaboration*
n/a
n/a
Achieved
Funding awarded to administering organisations ($’000)
^Includes Linkage Projects and Linkage Infrastructure, Equipment and Facilities schemes only.
*These deliverable were not measured in previous years.
Grants
The ARC awarded funding for 455 grants for funding commencing in 2011–12, which was fewer than in
previous years. Fewer projects were funded under the Linkage Projects scheme, partially due to the
discontinuation of Australian Postgraduate Awards (Industry) from the selection rounds for funding
commencing in 2011 onwards. Trend data is available at Appendix 3.
Researchers
For funding commencing in 2011–12, the ARC supported 2098 researchers under the Linkage Projects and
Linkage Infrastructure, Equipment and Facilities schemes, including 20 Australian Postdoctoral Fellows
(Industry) (APDIs).
Investigators named in funding proposals include chief investigators, fellows and partner investigators. Totals
do not include other unnamed project personnel and postgraduate students who will work on the projects.
Funding awarded
Grants awarded for funding commencing in 2011–12 under the Linkage Program totalled approximately
$194.5 million over the life of the projects, a decrease on previous years. This is primarily due to funding
awarded in 2010–11 including funding for 13 ARC Centres of Excellence commencing in 2011
($255.9 million over seven years).
Communication
Communication activities that foster stakeholder and community awareness of the role of the ARC and
benefits of ARC activities to support research collaboration are identified as deliverables in the 2011-12 PBS.
Communication activities arranged by ARC include funding announcement events, media releases,
interviews and keeping the ARC website up-to-date with dates and other important information. Further
details are provided in Chapter 13.
Policy advice
In 2011–12, the ARC provided policy advice and engaged in policy dialogue on a range of matters relevant
to Program 1.2. This included:
> the development of new initiatives, such as the Industrial Transformation Research Program, the Special
Research Initiative in Synchrotron Science, and the Aboriginal and Torres Strait Islander Researchers’
Network;
> engagement in international dialogue on peer review processes, including participation in the inaugural
Global Summit on Merit Review, hosted by the United States National Science Foundation;
> providing input into and comments on other Government agencies’ briefs and reports, where relevant,
such as providing comments on the implementation paper for the R&D Tax Incentive, and making
submissions to the White Paper on Australia in the Asian Century and the National Research
Priorities 2012 Consultation Paper;
> participating in policy discussion and formulation through membership on relevant advisory councils, such
as the National Research Infrastructure Council, the Prime Minister’s Science, Engineering and Innovation
Council (PMSEIC) and the Australia–India Council.
Linkage Learned Academies Special Projects
On 26 June 2012, the Australian Government announced that $10 million over three years would be
allocated to the Australian Council of Learned Academies through the Linkage Learned Academies Special
Projects scheme to support research conducted by the Learned Academies to inform the PMSEIC.
The successful proposals are research programs addressing the multi-disciplinary areas of strategic interest
identified by PMSEIC to inform their advice to government, namely:
> Australia’s comparative advantage
> Science, Technology, Engineering and Mathematics: Country comparisons
> Asia literacy – language and beyond
> The role of science, research and technology in lifting Australian productivity
> New technologies and their role in our security, cultural, democratic, social and economic systems
> Engineering energy: unconventional gas exploration
Strategic plan priority action for 2011-12: New initiatives to strengthen links between
industry and the research community
The Industrial Transformation Research Program will provide a range of new opportunities for
researchers and industry to work together. The program will comprise Industrial Transformation
Research Hubs and Industrial Transformation Training Centres that will provide more targeted
support to build critical mass in key areas of importance to key Australian industries than previously
provided under the Linkage Projects scheme.
OBJECTIVES
Objective: Encourage partnerships between university-based researchers and end-user
organisations
The Linkage Projects scheme supports collaborative research and development projects between higher
education organisations and other parts of the national innovation system to enable the application of
advanced knowledge to problems. It aims to encourage and develop long-term strategic alliances between
higher education organisations and other organisations, including businesses and other end-user
organisations.
Significant contributions in 2011–12
> The ARC conducted two Linkage Projects selection rounds for funding commencing in 2011–12, providing
over $110 million in funding for 370 research projects. These projects involve 806 partner organisations
who committed $225.9 million to the successful proposals.
> In late 2011 the Australian Government announced a new ARC scheme to encourage research and
development projects that could help solve the big problems facing our industries today. The
establishment of research hubs will see managers, researchers and industry workers working together to
tackle big industry challenges as well as short-term projects that may help answer emerging issues or
questions.
Objective: Fostering opportunities for postgraduate and postdoctoral researchers to pursue
research in collaboration with organisations outside the higher education sector
The Linkage Program offers opportunities for postgraduate and early career researchers to pursue
internationally competitive research opportunities in collaboration with industry.
Significant contributions in 2011–12
> In the selection rounds for funding commencing in 2011–12, 20 APDIs were awarded. In 2011–12 the
ARC also provided ongoing funding for 85 APDIs funded in previous Linkage Projects selection rounds.
> Australian Postgraduate Awards (Industry) (APAIs) are no longer funded under the Linkage Projects
scheme. Ongoing funding in 2011–12 was provided for 566 APAIs awarded under previous Linkage
Projects selection rounds. Project funding can still be used to fund postgraduate stipends.
> In late 2011 the Australian Government announced that through the ARC it would establish training
centres nationwide over the next five years that will foster close partnerships between university-based
researchers and the industry members who will use the research outcomes. Under the Industrial
Transformation Training Centres scheme, up to 600 doctoral and postdoctoral researchers will have the
opportunity to work with industry partners, directly harnessing research capability to address industry
needs.
Objective: Support investment in strategic national research infrastructure and access to
major international facilities
Through the Linkage Infrastructure, Equipment and Facilities scheme the ARC supports the purchase and
development of, and access to, tools which are crucial for leading edge research in Australia. The scheme
encourages the development of cooperative initiatives so that expensive infrastructure, equipment and
facilities can be shared between higher education organisations and also with industry. Funding under the
scheme includes international subscriptions to enable Australian-based researchers to access major
international facilities.
The Special Research Initiatives scheme is also used to fund initiatives relevant to this objective.
Significant contributions in 2011–12
> In 2012 the ARC awarded over $28 million to 77 new research infrastructure projects. This included
funding of $750,000 to secure membership to the NANTEN2 Observatory in Chile for the next five years;
building on the one-year membership to the NANTEN2 Observatory funded in 2010–11.
> The ARC continued to fund access to the following international research facilities: the Integrated Ocean
Drilling Program; the Advanced Laser Interferometer Gravitational-Wave Observatory Project; and the
ISIS Neutron Spallation Source.
> In February 2012 the ARC released a consultation paper and questionnaire on ARC-supported research
infrastructure and its alignment with the national infrastructure roadmap. Stakeholder feedback is being
considered in the review of the Linkage Infrastructure, Equipment and Facilities funding rules.
> In June 2012 the Australian Government announced that $30 million in funding had been awarded under
the Special Research Initiative in Synchrotron Science to support and manage researcher access to the
Australian Synchrotron over the next four years. The ARC is contributing $25 million and the National
Health and Medical Research Council is contributing $5 million.
Objective: Encourage the growth of clusters of research and research training as platforms
for innovation through funding research centres and hubs
The ARC supports the development of clusters of research and research training through support for:
> ARC Centres of Excellence;
> co-funded research centres; and
> Special Research Initiatives.
The ARC Centres of Excellence scheme funds hubs of expertise through which high-quality researchers
maintain and develop Australia’s international standing in research areas of national priority. The ARC also
works collaboratively with other government agencies to jointly fund a number of high-quality research
centres.
The Special Research Initiatives scheme aims to enhance and develop Australia’s research excellence
through highly innovative and collaborative research activities.
In late 2011 the Australian Government announced the establishment of the Industrial Transformation
Research Program which will provide support for the establishment of research centres and hubs.
Significant contributions in 2011–12
ARC Centres of Excellence
> The ARC continued to fund 24 ARC Centres of Excellence that were initially funded under selection
rounds in 2005 and 2011. Case studies highlighting achievements of some of the ARC Centres of
Excellence in 2011–12 can be found on pages 31 and 33–35 in Chapter 4.
Co-funded research centres
> Some of the key achievements of co-funded centres in 2011–12 are highlighted on pages 66–67.
> A mid-term performance review of the National Centre for Groundwater Research and Training took place
at The Flinders University of South Australia on 13 March 2012. The review concluded the centre had
made excellent progress and established itself as a reputable centre.
Special Research Initiatives
> In April 2012 the Australian Government announced a $1 million extension of funding to the ARC Centre
of Excellence for Policing and Security under the Special Research Initiatives scheme. This follows a
comprehensive review of its operations and performance in 2012, which found that the centre had been
undertaking high quality research and training and making good progress towards meeting its objectives.
> In 2011–12, the ARC provided ongoing funding under the Special Research Initiatives scheme to the
Research in Bionic Vision Science and Technology Initiative. The ARC is providing $50 million in funding
over four years, commencing in 2009, to two proposals to develop a functional bionic eye.
> In November 2010 the Minister announced that $21 million over seven years had been awarded to Stem
Cells Australia under the Special Research Initiative in Stem Cell Science to further build Australia’s
capacity to conduct stem cell research. Stem Cells Australia is administered by The University of
Melbourne and led by internationally renowned researcher Professor Martin Pera. Funding for this
initiative commenced in July 2011.
Industrial Transformation Research Program
> The Industrial Transformation Research Hubs scheme will see managers, researchers and industry
workers collaborating to tackle big industry challenges as well as short-term projects that may help answer
emerging issues or questions. Funding for the scheme will commence in 2012–13.
> The Industrial Transformation Training Centres scheme will establish training centres nationwide over the
next five years that will foster close partnerships between university-based researchers and industry
organisations, and fund up to 600 doctoral and postdoctoral researchers to be trained in industry settings.
Strategic plan priority action for 2011–12: Conduct a selection round to establish an
Aboriginal and Torres Strait Islander Researchers’ Network
In 2012 the ARC will fund a new research network to build the capacity and leadership of Aboriginal
and Torres Strait Islander researchers. The Aboriginal and Torres Strait Islander Researchers’
Network will receive funding of up to $800,000 over four years to bring together researchers across
Australian universities, within and across research disciplines, to facilitate collaborative and innovative
approaches to planning and undertaking research and research training and advancing research in
Indigenous Knowledge Systems. The intention of the Network is to involve Aboriginal and Torres
Strait islander researchers of all career stages and contribute to improving the retention and
completion of Indigenous Australian higher degree research students.
CO-FUNDED CENTRES HIGHLIGHTS IN 2011–12
AUSTRALIAN CENTRE FOR PLANT FUNCTIONAL GENOMICS
The Australian Centre for Plant Functional Genomics (ACPFG), which was established in 2002, is funded
jointly by the ARC and Grains Research and Development Corporation. The Australian Government has
committed $43 million to fund the ACPFG from 2002 to 2013.
> Lead Researcher and CEO, Professor Peter Langridge, was named 2011 South Australian Scientist of the
Year.
> The ACPFG established a transgenic field testing site in Western Australia to provide real life insight into
crop performance in very saline conditions.
> The ACPFG expanded a long-standing research collaboration with DuPont, bringing a new focus on
advanced cereal breeding through molecular markers, discovery research for agronomic traits and hybrid
seed production in wheat.
> The ACPFG coordinated Fascination of Plants Day in Australia, a worldwide event with 39 countries
planning celebrations.
NATIONAL ICT AUSTRALIA
National ICT Australia (NICTA), which was also established in 2002, is jointly funded by the ARC and the
Department of Broadband, Communications and the Digital Economy. Additional funding for NICTA of
$185.5 million over four years from July 2011 to June 2015 was approved in 2009, bringing the total funding
for the period 2002–15 to $564.5 million.
> One of NICTA’s senior researchers, June Andronick, was recognised by Technology Review magazine as
one of the world’s top innovators in 2011 under the age of 35.
> Professor Graeme Clark, one of Australia’s greatest scientists and the pioneer of the bionic ear, joined
NICTA to lead a new project aimed at developing technologies capable of providing new types of hearing
implants.
> NICTA signed a new three-year agreement with the US-based surveying company GeoNav Group
International, where NICTA’s automatic video analysis technology will be used to help improve road
safety.
> A purpose-built demonstration facility for NICTA, the Digital Productivity Showcase, was launched.
> NICTA is leading a multi-million dollar ICT-enabled geothermal initiative for the Australian Centre for
Renewable Energy, where NICTA’s expertise in machine learning and big data analytics will be used to
locate geothermal energy sources deep beneath the surface of the Earth.
NATIONAL CENTRE FOR GROUNDWATER RESEARCH AND
TRAINING
The National Centre for Groundwater Research and Training (NCGRT) which was established in 2009, is
funded jointly by the ARC and the National Water Commission (NWC). The ARC and the NWC are jointly
committing up to $29.5 million over five years to the centre.
> The NCGRT is mid-way through its five-year funding period and now has 36 chief investigators, 30
postdoctoral researchers, 48 PhD and 21 honours students working within the centre’s five research
programs.
> A world-class centrifuge permeameter facility was commissioned for the NCGRT and is situated at The
University of New South Wales’ Water Research Laboratory on Sydney’s northern beaches. The facility
was officially opened in September 2011.
> The NCGRT launched the research ambassadors program, a professional development opportunity which
aims to equip students with the skills necessary to build successful graduate careers.
> The inaugural NCGRT summer school was held in Adelaide and attended by almost all of the centre’s
members, giving researchers and students the opportunity to share their work and to attend lectures
presented by distinguished visitors.
KEY PERFORMANCE INDICATORS
Table 6.3: Linkage Program, performance against key performance indicators
KEY PERFORMANCE INDICATOR
MEASURE
2011–12 TARGET
PERFORMANCE
There is a high level of
collaboration between ARC-funded
researchers and those within other
components of the national and
international innovation systems
Financial commitment (cash and inkind) from partner organisations for
every dollar contributed by the ARC
(Linkage Projects scheme)
Greater than $1.90
2011–12: $2.05
[KPI 1.2 in the strategic plan]
Proportion of partner organisations
that indicate that their involvement
in projects was beneficial or very
beneficial (Linkage Projects
scheme)1
Greater than
90 per cent
Proportion of projects involving
international collaboration (Linkage
Projects and Linkage Infrastructure,
Equipment and Facilities schemes)
Greater than
42 per cent
Average number of organisations
involved in projects funded (Linkage
Infrastructure, Equipment and
Facilities scheme)
Greater than 3.5
Outputs and outcomes arising from
ARC-supported research are of a
high quality and produce national
benefits
Evidence of impact of ARC-funded
research
Significantly exceeds
benchmarks where
available
Not measured in 2011–
12
[KPI 1.1 in the strategic plan]
Outcomes arising from ARC-funded
research that provide social,
economic, environmental and
cultural benefits
Evidence of benefits
arising from the
outcomes of ARCfunded research
Refer to case studies in
Chapter 4
ARC-supported research
contributes significantly to high
quality research training
Proportion of ARC-funded
researchers who are early career
researchers (within five years of
completion of their PhD)2
Greater than
12 per cent
2011–12: 13.3 per cent
Proportion of funded proposals that
address the National Research
Priorities (NRPs)
Greater than
90 per cent
Evidence of impact in NRP areas
Examples of impact
in NRP areas
Refer to case studies on
pages 71-73
Evidence of impact of
policy advice
Policy advice
improves the ARC’s
capacity to contribute
to the national
innovation agenda
The ARC developed the
new Industrial
Transformation
Research Program and
the Special Research
Initiative in Synchrotron
Science.
[KPI 2.2 in the strategic plan]
ARC-funded research makes a
significant contribution to research
activity and capability in areas of
national need
2010–11: $2.00
2009–10: $1.89
2007: 96.4 per cent
2006: 98.3 per cent
2005: 96.3 per cent
2011–12: 40.7 per cent
2010–11: 45.1 per cent
2009–10: 39.2 per cent
2011–12: 3.9
2010–11: 4.2
2009–10: 4.9
2010–11: 13.1 per cent
2009–10: 10.8 per cent
2011–12: 97.1 per cent
2010–11: 96.0 per cent
2009–10: 98.5 per cent
[KPI 2.3 in the strategic plan]
Policy advice enhances Australia’s
capacity and excellence in research
[KPI 3.1 in the strategic plan]
Table Notes
1 Data
collected from final reports for Linkage Projects for funding commencing in years 2005–07.
2 Includes
Linkage Projects and Linkage Infrastructure, Equipment and Facilities schemes only.
National Research Priority 1: An Environmentally Sustainable Australia
THE BENEFITS OF MARINE RESERVES
Marine reserves are implemented around the world to lessen the impact of fishing, conserve biodiversity and
enhance ecosystem resilience. Whilst the potential benefits are well documented, there have been
inconsistencies in the performance of reserves and uncertainty remains over how they should be designed
and monitored.
Funded by a Linkage Projects grant, a research team led by Professor Rod Connolly and Dr Kylie Pitt from
the Australian Rivers Institute at Griffith University, in collaboration with the Queensland Department of
Environment and Resource Management and the CSIRO, established that marine reserves can have a
positive impact on biodiversity and fish numbers, but this may depend on whether they incorporate key
connections in the seascape.
The team published the results of their study in the prestigious science journal Conservation Letters early
this year. The paper highlights the importance of habitat connectivity for the performance of reserves and
demonstrates greater fish numbers in marine reserves that include adjacent mangroves and reefs. Andrew
Olds, a PhD student on the project and lead author of the paper, says, “The ability of marine reserves to
improve fish numbers can be enhanced if we make sure they are located in the right areas … we found more
harvested and herbivorous fish in reserves where both habitats occur in close proximity.”
The effect on herbivorous fish, which graze on algae and help maintain reef resilience, suggests that
protected reefs near mangroves may be better placed to recover from major disturbances, such as the
flooding of the Brisbane River in early 2011.
National Research Priority 2: Promoting and Maintaining Good Health
CARDIAC ACCESSIBILITY AND REMOTENESS INDEX FOR
AUSTRALIANS
A team of health and geography experts led by Professor Robyn Clark at the University of South Australia
has developed a rating system that could improve the ability of health care professionals, communities and
individuals to develop effective response pathways to cardiac events.
Funded under a Linkage Projects grant, the ‘Cardiac Accessibility and Remoteness Index for Australia’
(Cardiac-ARIA) uses a numeric/alpha rating to inform residents and health professionals about the level of
emergency and preventative care that is available in their neighbourhood in the event of a cardiac event, and
their proximity to services which help prevent a secondary cardiac arrest.
Professor Clark stressed that receiving treatment within the first 60 minutes is paramount when experiencing
symptoms of a heart attack, or any cardiac event, to achieve the best recovery possible. Emphasising that
an awareness of the Cardiac-ARIA ranking could encourage individuals to be aware of warning signs and
react early if they knew how far they were from cardiac care, Professor Clark proposed that the index could
also benefit communities and health professionals.
She suggested that once towns and communities knew their ranking, they could better understand their risk
and implement clinical pathways that could be activated for rapid access to specialist cardiac care.
Additionally, it could help health professionals make the best decision on which type of emergency care to
use to enhance survival and recovery time.
National Research Priority 3: Frontier Technologies for Building and Transforming Australian
Industries
‘CHIPLESS’ TECHNOLOGY COSTS LESS & DOES MORE
A project team led by Associate Professor Nemai Karmakar from Monash University has developed a chipless
Radio Frequency Identification (RFID) scanning system that is set to revolutionise logistics, library and
membership-based industries. Using ‘backscatter’ technology in RFID tags, Associate Professor Karmakar and
his colleagues have produced a cheaper, faster and smaller system to streamline industry operations in Australia.
The backscatter technology significantly reduces costs by replacing the expensive microchip in standard
RFID tags with a series of printed silver squares on paper or plastic. Additionally, the integration of
millimetre-wave scanner technology means that RFID tags can be scanned from up to a metre away.
“The key benefits of RFID technology, reading without line of sight and reading multiple tags at once, will
now become available to a number of industries in Australia that have not previously utilised RFID
technology due to the expense,” Associate Professor Karmakar explains. The distribution industry is one
example of how the chipless RFID system can improve operations. With the new system despatch offices
will be able to print RFID tags on the fly and, rather than having to read barcodes on individual boxes, they
will be able to scan entire pallets of product to determine content.
Associate Professor Karmakar and his team intend to utilise the rest of their Linkage Projects grant to further
develop the capacity of the current antennae and increase the range up to seven metres.
National Research Priority 4: Safeguarding Australia
NEW WEAPON IN THE FIGHT AGAINST CANE TOADS
Cane toads are widely regarded as one of the biggest biological threats to Australian biodiversity in northern
Australia, and the problem of eliminating or even slowing the progression of this invasive species has been
troubling Australia’s best and brightest for many decades. Researchers funded under the Linkage Projects
scheme have recently had a breakthrough, developing a cheap and innovative method for controlling the
cane toad population.
Using a chemical ‘bait’ comprised of the cane toad’s own poison, the researchers discovered that the poison
acts as a highly effective lure to cane toad tadpoles. Targeting toad tadpoles is far more effective than adult
toads as it stops the amphibians at the early stage of their life cycle, before they can reproduce. “Native
fauna such as fishes and insects aren’t attracted to this chemical but toad tadpoles are incredibly good at
detecting it, and…search for its source as soon as they encounter it,” Professor Rick Shine, the project
leader, said.
Trials in the Northern Territory, where the bait has been used in funnel traps in water bodies, has been highly
successful, almost exclusively attracting toad tadpoles. Professor Shine and his team intend to develop an
even stronger, safer and easier to use bait by isolating the active agent in the toad’s secretion and use it in
its pure form without all of the associated poisons.
CHAPTER 7:
PROGRAM 1.3
EXCELLENCE IN
RESEARCH FOR
AUSTRALIA
AT A GLANCE
Excellence in Research for Australia (ERA) evaluates the quality of the research
conducted at Australian universities by discipline. It identifies the specific research
strengths of individual universities and of the Australian university sector as a
whole. It also highlights disciplines where there are opportunities to further develop
the research capacities of Australian universities.
In the 2009–10 budget the Australian Government committed $35.8 million over
four years to the development, trial and implementation of ERA. ERA funding is
ongoing. To date the ARC has conducted a trial (in 2009) and one full round of
evaluation (ERA 2010).
As at 30 June 2012, the second full round of evaluation (ERA 2012) was
underway.
The outcomes of ERA 2012 will be announced in 2012–13. This will allow
Australia to track the research performance of its universities over time.
The deliverables and key performance indicators (KPIs) identified in the Portfolio
Budget Statements (PBS) 2011-12 were achieved.
GUIDE TO REPORT
This chapter provides a report against the ARC’s performance framework outlined in the PBS 2011-12 and
ARC Strategic Plan 2011–12 to 2013–14. It includes a report on:
> program deliverables;
> priority actions in the ARC strategic plan;
> performance against the program objectives; and
> performance against the program key performance indicators. These KPIs are consistent with those in the
ARC strategic plan.
The deliverables and key performance indicators were revised in 2011–12 to reflect the different stage of the
ERA process, that is, preparation for and commencement of the ERA 2012 evaluation.
Through implementation of Program 1.3, the ARC pursues Key objective 3: Policy and evaluation, which is
outlined in the ARC Strategic Plan 2011–12 to 2013–14. In reporting against the program performance
framework, we are also articulating our performance against this key objective:
> Policy and evaluation—To provide informed high quality policy advice to government and enhance
research outcomes through effective evaluation.
Table 7.1: ERA performance framework
Outcome (PBS)
Mission (Strategic Plan)
Growth of knowledge and innovation through managing
research funding schemes, measuring research
excellence and providing advice
Deliver policy and programs that advance Australian
research and innovation globally and benefit the
community
Key objectives
> Research—To support excellence in research
> Capacity—To build Australia’s research capacity
> Policy and evaluation—To provide informed high quality policy advice to government and enhance research
outcomes through effective evaluation
Program 1.3—ERA
Objectives
ERA aims to improve research outcomes by identifying universities and disciplines that are internationally
competitive and highlighting areas where there are opportunities for further development and investment. In
particular ERA aims to:
> administer an evaluation framework that gives government, industry, business and the wider community
assurance of the excellence of research conducted in Australia’s higher education institutions;
> provide a national overview of areas of research strength and areas where there may be opportunity for
development;
> allow for comparisons of Australia’s research nationally and internationally for all disciplines offered in
Australian higher education institutions; and
> allow for comparisons of Australia’s research effort over time.
2010–11
2011–12
Deliverables
> A full evaluation of eight discipline clusters
across 41 eligible Australian higher education
institutions will be conducted in 2010 with
outcomes reported following the evaluation
process
> Preparation for the 2012 round of ERA, including targeted
and broad sector-wide review of the ERA 2010 indicators,
ranked outlets, evaluation methods, discipline categories
and research definitions and reference periods
> ERA system and policy development in light of the sectorwide reviews
> Key documentation required for institutions’ preparation
for ERA 2012
Key performance indicators
> Successful implementation of the 2010 ERA
evaluation of all eight discipline clusters
> Contribution to best practice evaluation of Australia’s
research investment in universities
> Achievement of milestones for delivery of ERA 2012
> Successful outreach initiatives that further inform the
sector and other key stakeholders of overarching ERA
policy and implementation
DELIVERABLES
Table 7.2: ERA deliverables
DELIVERABLE
RESULT:
Preparation for the 2012 round of ERA, including targeted and broad sector-wide
review of the ERA 2010 indicators, ranked outlets, evaluation methods, discipline
categories and research definitions and reference periods.
Achieved
ERA system and policy development in light of the sector-wide reviews
Achieved
Key documentation required for institutions’ preparation for ERA 2012
Achieved
Preparation for ERA 2012
Appointment of committees and peer reviewers
Committees of distinguished and internationally-recognised researchers, who have expertise in research
evaluation, will evaluate the data submitted by Australia’s universities for ERA 2012.
In July 2011, the ARC called for nominations for the ERA 2012 Research Evaluation Committees (RECs)
from Australian universities, the four Learned Academies, the National Tertiary Education Union and the
Indigenous Higher Education Advisory Council. The ARC received approximately 650 nominations.
Nominations were received for researchers from Australia and overseas, with a wide range of disciplinary
expertise. The ARC announced the Chairs of the RECs on 24 October 2011 and the members of the RECs
on 8 March 2012.
Peer review is used to complement the expertise of the RECs in disciplines where citation metrics are not
used. These disciplines include humanities, creative arts, social sciences and some mathematics and
information sciences. In late 2011 the ARC called for expressions of interest for peer reviewers to take part
in ERA 2012. The ARC received over 800 nominations and undertook supplementary recruitment where
required. Over 1000 ERA peer reviewers were appointed.
Citation provider
The ARC announced Elsevier’s SciVerse Scopus as the successful tenderer to provide citation information
for the second round of ERA on 9 September 2011.
Strategic plan priority action for 2011–12: Review the ERA 2010 process, taking into
account feedback received through targeted and broad consultation, to inform
ERA 2012
In preparing for ERA 2012, the ARC consulted formally on the draft ERA 2012 journal list; the draft
ERA 2012 documents (including submission guidelines and discipline matrix); and any other general
issues related to ERA. In the general consultation, feedback was received on the discipline matrix,
applied measures and a range of other specified issues.
In addition to the formal consultation processes, representatives of the ARC conducted a range of
outreach activities. Members of the ERA 2010 Research Evaluation Committee also participated in
the review process.
ERA system and policy development
On 30 May 2011, Senator the Hon Kim Carr, the former Minister for Innovation, Industry, Science and
Research, announced enhancements to the ERA method.
The enhancements were based on feedback from the research community and a review of the ERA 2010
process. They included the following:
> the withdrawal of the ranked outlets indicator and the introduction of a refined journal indicator that does
not use prescriptive ranks.
> improved capability to accommodate interdisciplinary research. In an extension of an arrangement
successfully trialled in 2010 for the mathematical sciences, universities were permitted to code a journal
article with significant content (66 per cent or greater) not represented by the journal’s Fields of Research
(FoR) to the FoR code that best describes the content.
> for peer review disciplines, the low volume threshold was increased to 50 apportioned weighted outputs,
bringing it in line with the threshold for citation disciplines (50 apportioned indexed articles).
> a change in the rules for the attribution of patents, plant breeders’ rights and registered designs to allow
them to be submitted when they are granted to eligible researchers (as well as when they are granted to
universities).
Following the announcement of these enhancements, the ARC undertook a range of system and policy
development activities to incorporate the changes into the processes and documentation for ERA 2012. The
changes were reflected in draft documentation which was released for consultation and feedback before
being finalised in August–September 2011. Other improvements to the ERA IT system, and elements of the
data collection and data checking processes were developed and implemented for ERA 2012.
Documentation
In preparation for the submission phase of ERA 2012 the ARC prepared and released the following
documentation:
> ERA 2012 Journal List;
> ERA 2012 Submission Guidelines;
> ERA 2012 Discipline Matrix;
> ERA-SEER 2012 Technology Pack;
> ERA Indicator Principles; and
> ERA-SEER 2012 Business Rules.
The ARC released the ERA 2012 Journal List on 14 October 2011, following a consultation on the draft
conducted between 5 and 19 September 2011. The draft ERA 2012 submission documentation was
released on 16 September 2011, following a period of consultation which closed on 1 August 2011.
OBJECTIVES
Objective: Administering an evaluation framework that provides assurance of research
excellence
To facilitate ERA evaluations, universities submit comprehensive information about their research activities,
including details relating to staff, publications, awards, grants, commercial income and patents.
Committees of internationally-recognised researchers evaluate this material by discipline. Their expert
judgements are informed by a range of quantitative indicators and peer assessments based on the data
submitted by universities. This method provides robust evidence of research quality relative to world
standards and is recognised internationally as state of the art. The validity of ERA evaluations of research
quality is also widely recognised in Australia.
Significant contributions in 2011–12
> ERA 2010 outcomes were incorporated in the 2012 funding formula for the Australian Government’s
Sustainable Research Excellence program. In 2011–12 the ARC participated in consultations undertaken
by the Department of Industry, Innovation, Science, Research and Tertiary Education on options for the
inclusion of ERA in the funding allocation model for the Sustainable Research Excellence program.
Following the release of a consultation paper the ARC attended a series of workshops with universities in
each state. The final funding model for 2012 was approved in late 2011.
Strategic plan priority action for 2011–12: Commence ERA 2012
The ERA 2012 submission phase was completed successfully, with 41 universities submitting
comprehensive information about their research activities.
The ARC opened the submission phase of ERA 2012 on 5 March 2012. During this phase, all eligible
higher education institutions uploaded their ERA 2012 data into the ERA online system, the System to
Evaluate the Excellence of Research.
The submission process ended on 27 April 2012 with the certification of institutional ERA submissions
by each of those institution’s Vice-Chancellors.
Objective: Providing an overview of areas of research strength and areas with opportunities
for development
The outcomes of ERA evaluations provide detailed information about the strengths and capacities of
research disciplines at Australian universities at both a national and an institutional level. This information
assists government, local industry, professionals, students, international partners and the broader
community to engage successfully with the Australian research sector.
Significant contributions in 2011–12
> The ARC responded to requests for information about ERA outcomes from a wide range of sources in
Australia and overseas, including industry, students, universities, researchers and government.
> The ARC also provided information about ERA outcomes for a wide range of purposes, including the Chief
Scientist’s report on the Health of Australian Science and the development of the Australian Government’s
MyUniversity website.
EXTRACT FROM THE HEALTH OF AUSTRALIAN SCIENCE REPORT (PAGE 32)
The 2010 Excellence in Research for Australia, or ERA, exercise benchmarked
research in Australian universities against the world on the basis of research
outputs, measures of esteem and patents sealed in the period 2003 to 2008. In
total, 191 270 research outputs (journal articles, conference papers, book
chapters, books and non-traditional outputs), 2162 esteem measures and 659
patents sealed were reported in the science-related fields of research. Of the
12 broad fields of science-related research considered in this report, Australia
performed at world standard (an ERA rating of 3.0) or better in 10 of those
fields.
[Office of the Chief Scientist, May 2012]
Objective: Allowing comparisons of Australian research nationally and internationally for all
disciplines
The RECs that undertake ERA evaluations comprise researchers from Australia and overseas that are
recognised nationally and internationally for their disciplinary expertise.
ERA evaluations are informed by a range of discipline-specific national and international benchmarks based
on the ERA data submitted by universities to assist the committees to rate research activity relative to world
standards.
ERA evaluation processes are also broadly similar to a number of the research evaluation exercises
undertaken by comparable countries and this further facilitates international comparisons.
Significant contributions in 2011–12
> The ARC continued to develop ERA processes in accordance with international best practice, while taking
account of developments in research assessment exercises in a number of comparable countries. The
ARC had ongoing engagement in 2011–12 with overseas authorities involved in the development of
research evaluation policies and practices, including the Organisation for Economic Cooperation and
Development and research funding agencies in Canada, New Zealand, the United Kingdom and the
United States of America.
> The ARC appointed 147 internationally-recognised researchers with wide ranging disciplinary expertise to
the ERA 2012 RECs, as outlined on page 79.
> The ARC announced Elsevier’s SciVerse Scopus as the successful tenderer to provide citation
information for the second round of ERA on 9 September 2011. Scopus provided the citation information
for the 2009 ERA trial and the first full ERA evaluation in 2010, which was the first ever comprehensive
assessment of the research effort of Australia’s universities.
Objective: Allowing comparisons of research effort over time
The first full round of ERA evaluations took place in 2010 and a second full round is taking place in 2012.
ERA is designed to allow comparisons of Australia’s research effort over time.
Significant contributions in 2011–12
> The outcomes of ERA 2012 will allow for the establishment of data that tracks the research performance
of Australian universities over time.
> Comparisons between ERA 2010 and ERA 2012 will be facilitated by the use of similar submission and
evaluation processes for both evaluations:
– Universities have submitted data for ERA 2012 in accordance with reference periods that are similar to
those used in ERA 2010.
– ERA 2012 will use indicators of research quality that are very similar to those used in ERA 2010.
– The ERA 2012 RECs will follow similar evaluation guidelines to those adopted for ERA 2010.
– ERA 2012 will use the same five point rating scale as used in 2010. Under this scale, a rating of 3 is
world standard and a rating of 3 or above is an excellent outcome.
KEY PERFORMANCE INDICATORS
Table 7.3: ERA, performance against key performance indicators
KEY PERFORMANCE
INDICATOR
MEASURE
2011–12 TARGET
RESULT
Contribution to best
practice evaluation of
Australia’s research
investment in universities
[KPI 3.2 in the strategic
plan]
Evidence of contribution
to best practice evaluation
of research investment
Examples of contribution
to better practice
Consultation and review
processes resulted in
enhancements to the ERA
methodology for
ERA 2012
Achievement of
milestones for delivery of
ERA 2012.
[KPI 3.3 in the strategic
plan]
Production of key
documentation required
for institutions’ preparation
for ERA 2012
Successful opening of
submission phase of
ERA 2012
Submission phase
opened as planned on 5
March 2012
Successful outreach
initiatives that further
inform the sector and
other key stakeholders of
overarching ERA policy
and implementation
[KPI 3.4 in the strategic
plan]
Sector contribution to
development of ERA 2012
processes and policy
Sector involved in the
development of
enhancements to the ERA
methodology for 2012
Enhancements to the
ERA methodology
for 2012 were informed by
consultations with the
sector
PART 3
MANAGEMENT AND ACCOUNTABILITY
CHAPTER 8:
GOVERNANCE
CHAPTER 9:
EXTERNAL SCRUTINY
CHAPTER 10:
PEOPLE MANAGEMENT
CHAPTER 11:
FINANCIAL AND LEGAL SERVICES
CHAPTER 12:
ICT AND FACILITIES
CHAPTER 13:
COMMUNICATION
CHAPTER 8: GOVERNANCE
AT A GLANCE
The ARC’s governance framework includes:
ministerial oversight of the ARC;
enabling legislation;
roles of senior executive staff;
committee structures within the ARC;
strategic planning and reporting;
risk management and compliance processes;
internal audit; and
ethical values.
Specific accountabilities relating to human resources and finances are included in
Chapters 10 to 11.
MINISTER
At 30 June 2012 the Minister for Tertiary Education, Skills, Science and Research, Senator the Hon Chris
Evans, was the Minister responsible for the ARC. Senator Evans is also the Leader of the Government in the
Senate.
Senator Evans was appointed Minister for Tertiary Education, Skills, Science and Research on 12
December 2011, replacing Senator the Hon Kim Carr as the Minister responsible for research.
LEGISLATION
The ARC is established under the Australian Research Council Act 2001 (ARC Act). The Minister has a
range of powers under the ARC Act as detailed in Appendix 5.
Under the ARC Act particulars of any directions given by the Minister to the ARC in a financial year must be
included in the annual report.
The ARC received no formal ministerial directions during 2011–12. One ministerial direction issued
during 2002–03 continued to apply: the then Minister for Education, Science and Training directed the ARC
to take account of national research priorities in performing its functions under the ARC Act.
Under the ARC Act the functions of the Chief Executive Officer (CEO) are to:
> make recommendations to the Minister on proposals for funding;
> administer the financial assistance for research provided through the National Competitive Grants
Program (NCGP);
> provide advice to the Minister on research matters; and
> undertake any other function conferred on them by the ARC Act or any other Act.
The CEO also has statutory responsibilities for managing and leading the agency in accordance with the
requirements of the Public Service Act 1999 (PS Act), the Financial Management and Accountability Act
1997 (FMA Act) and other legislation.
10 YEAR ANNIVERSARY
Friday 1 July 2011 marked ten years since the ARC became an independent statutory authority.
To celebrate this significant milestone the ARC held a reception on 14 July 2011 and invited the
ARC’s first CEO, Professor Vicki Sara, to provide a historical retrospective of the agency’s road to
independence and reflect on the ARC’s accomplishments over the decade.
Attendees included previous and current Executive Directors and staff.
SENIOR STAFF
Chapter 3 outlines the responsibilities of the ARC’s senior staff as at 30 June 2012.
COMMITTEES
In addition to governance committees, the ARC convenes committees to assist with delivery of the NCGP
and Excellence in Research for Australia (ERA) as well as the Australian Research Integrity Committee
(ARIC) (Figure 8.1). Appendix 6 provides information on membership of the committees.
Governance
Advisory Council
Under the ARC Act the Minister may establish a designated committee to assist the CEO in carrying out her
or his functions.
At 30 June 2012 the ARC had one designated committee—the ARC Advisory Council.
The council provides the CEO with non-binding strategic and policy advice on issues relating to the ARC’s
mission; policy matters relating to innovation, research and research training; and matters relating to
research evaluation.
The CEO is the Chair of the council.
In addition, the council comprises up to nine other members, who are external to the ARC. Members are
appointed based on their research background or achievements in business research and development.
They are appointed for periods of up to three years.
The council met twice in 2011–12. Members discussed and provided advice on the ERA process;
international researchers; changes to the NCGP; and the ARC strategic plan.
Figure 8.1: Key ARC committees
CHIEF EXECUTIVE OFFICER
GOVERNANCE
(EXTERNAL)
ARC Advisory Council
ARC Audit Committee
GOVERNANCE
(INTERNAL)
Senior Management Group
Strategic Budget and Human Resources Committee
Salary Review Committee
Work Health and Safety Committee
People Management and Development Committee
ICT Governance Committee
ARC Security Committee
NCGP
(EXTERNAL)
ARC College
Appeals Committee
Scrutiny Committee
NCGP
(INTERNAL)
NCGP Executive Committee
ERA
(EXTERNAL)
Research Evaluation Committees
OTHER
(EXTERNAL)
Australian Research Integrity Committee
Audit Committee
The ARC Audit Committee is established by the CEO in accordance with the FMA Act. The committee
provides independent assurance and assistance to the CEO on the ARC’s risk, control and compliance
framework as well as the financial statements. The committee comprises two external contractors (one of
whom is the Chair) and two senior ARC staff members. The committee meets at least four times a year.
In 2011–12 the ARC Audit Committee Charter was reviewed and updated to reflect changes to the FMA
Regulations and the release of the Australian National Audit Office (ANAO) Better Practice Guide on Public
Sector Audit Committees. The CEO approved the revised charter in March 2012.
Other committees
Other committees reporting to the CEO in 2011–12 included the:
> Senior Management Group (SMG), which provides advice and direction on strategic and operational
issues and coordinates activities across the agency. The committee meets fortnightly.
> Strategic Budget and Human Resources Committee, which reviews and recommends internal budget
priorities and allocations. The committee meets monthly and as required.
> Salary Review Committee, which provides advice on salary and staff performance issues. The committee
meets twice a year following mid- and end-of-cycle performance reviews.
> Work Health and Safety (WHS) Committee, which develops and promotes initiatives that protect the
health and safety of ARC staff, contractors and visitors. It is also responsible for implementing and
reviewing the effectiveness of WHS policies and practices. The committee meets formally at least four
times a year and as required.
> People Management and Development Committee, which provides advice on staffing issues. The
committee is a staff consultative forum comprising four elected staff representatives, a union
representative and a management representative. The committee meets at least four times a year.
> ICT Governance Committee, which reviews ICT services requirements and provides guidance on
priorities. The committee meets annually and as required.
> ARC Security Committee, which oversees the effective and efficient adherence to physical, personnel,
and IT security measures. The committee meets annually and as required.
National Competitive Grants Program
ARC College
In early 2012 the ARC College of Experts was renamed the ARC College. The change in name was made
following the implementation of reforms to the ARC peer review process.
The ARC engages the college to identify research excellence, moderate external assessments and
recommend fundable proposals. The college also helps the ARC recruit and assign assessors and
implement peer review reforms in established and emerging disciplines as well as interdisciplinary areas.
The ARC appointed 33 new members to the ARC College in January 2012 after a competitive selection
process. The ARC took coverage of the expanding research areas of grant proposals, gender balance,
institutional affiliations and state/territory representation into consideration in appointing members to the
college.
The 2012 college comprises 85 members across five discipline clusters, comprising experts of international
standing drawn from the Australian research community—from higher education, industry and public sector
research organisations. Members are appointed for up to three years subject to an annual performance
review.
Meetings of ARC College members are convened during the year depending on scheme requirements.
Generally, larger multi-panel meetings are held in April and August each year, while smaller interdisciplinary
sub-groups meetings may be convened at the ARC or online at other times.
Appeals Committee
The Appeals Committee considers appeals submitted to the ARC in relation to the NCGP. For each appeal,
the committee determines if there was an administrative error related to a selection process that has
adversely affected a proposal. They then make a recommendation to the CEO about whether an appeal
should be upheld or dismissed. The Appeals Committee also provides general advice to the ARC in relation to
how administrative processes could be modified or improved. The committee consists of external members
appointed by the CEO.
In 2011–12 the committee met once to consider 28 appeals received by the ARC in relation to NCGP
proposals across the Discovery Early Career Researcher Award; Discovery Projects; Discovery Indigenous;
Linkage Infrastructure, Equipment and Facilities; and Future Fellowships schemes. Of these, five appeals
were upheld, including two that were subsequently funded.
Scrutiny Committee
The Scrutiny Committee scrutinises the probity of the assessment processes of the ARC College in relation
to funding proposals involving members of the college and/or ARC staff. On completion of the process, the
committee reports its findings and recommendations to the CEO. The committee consists of three members,
who are external to the ARC, but have prior experience of membership of the ARC College. New members
are appointed each year by the CEO. In 2011–12 the committee met twice.
NCGP Executive Committee
The NCGP Executive Committee provides strategic policy and operational advice on the NCGP. It also
makes recommendations on appointments to the ARC College and serves as the NCGP Eligibility
Committee.
Excellence in Research for Australia
The role of the ERA Research Evaluation Committees (RECs) is to evaluate research at Australian higher
education institutions by discipline. The committees comprise distinguished and internationally-recognised
researchers with expertise in research evaluation.
For the ERA 2012 evaluations 147 members were appointed to eight RECs.
Australian Research Integrity Committee
ARIC reviews the processes institutions use in their response to allegations of research misconduct. The
framework under which ARIC operates is designed to contribute to quality assurance and public confidence
regarding the integrity of Australia’s research effort.
Upon request, ARIC reviews whether an institution’s investigation of allegations of research misconduct is
consistent with the Australian Code for the Responsible Conduct of Research (2007) and the institution’s
own policies and procedures.
ARIC is established jointly by the ARC and the National Health and Medical Research Council (NHMRC) and
reports to both agencies. The Committee comprises four members.
Strategic plan priority action for 2011–12: Provide support to the Australian Research
Integrity Committee
In 2011–12 ARIC and its secretariat continued to work on refining the operational procedures within
which ARIC and its convened panels work. This revision is aimed at clarifying the roles of ARIC and
its supporting secretariat, improving responsiveness to applications, and ensuring accurate and
consistent application of the ARIC Framework (February 2011).
During the reporting period, ARIC received four requests for review. Three of the requests were deemed
to lie outside the scope of ARIC. One request, relating to research funded by the NHMRC, was reviewed
by an ARIC-NHMRC panel. The request contained 10 allegations, the majority of which were found by
ARIC to be unsubstantiated. ARIC reported its findings to the NHMRC CEO, who, in turn, notified the
relevant parties of the outcome of the review.
PLANNING AND REPORTING
Strategic Plan
Under the ARC Act, the ARC CEO is required to provide a strategic plan to the Minister each year for
approval and tabling.
The Minister tabled the ARC Strategic Plan 2011–12 to 2013–14 in Parliament in October 2011. The plan
establishes the ARC’s direction until 2014 and describes the key strategies which will be used by the ARC to
meet its three key objectives and two enabling objectives (see page 4). The plan also identifies performance
indicators to measure the organisation’s progress in achieving its key objectives and the priority actions to be
undertaken by the ARC for 2011–12. The strategic plan is on the ARC website.
To support the strategic plan, the ARC prepares a one-year operational plan that is reviewed annually. The
operational plan outlines the main actions undertaken by the ARC to implement the strategies in the strategic
plan.
Portfolio Budget Statements
The Portfolio Budget Statements (PBS), which are part of the Australian Government’s budget process,
summarise the planned outcomes, deliverables, key performance indicators and targets for a given financial
year. The ARC is included as a separate agency within the Portfolio Budget Statements 2011–12 Budget
Related Paper No. 1.14 Innovation, Industry, Science and Research Portfolio.
Reporting
The annual report is the primary mechanism through which the ARC reports to the Parliament. The report
provides information on the activities and performance of the ARC against the performance indicators in the
strategic plan and PBS for a given financial year.
Progress against the actions identified in the ARC operational plan is monitored internally throughout the
year. A final report, reviewing all actions against the operational plan, is prepared after 30 June each year.
RISK MANAGEMENT AND COMPLIANCE
Risk Management Framework
The ARC is committed to ensuring that a strong risk management culture exists within the agency. The ARC
manages risk to:
> meet its responsibilities with regard to delivery of the NCGP and ERA;
> meet its financial and social responsibilities; and
> support good decision-making in all areas of operation.
During 2011–12, the ARC reviewed and updated its risk management framework in accordance with Australian
Standard (AS/NZS ISO 31000:2009). An ARC Risk Management Policy Statement and ARC Risk Management
Plan and Toolkit, incorporating input from the ARC Audit Committee, were approved by the CEO in April 2012.
The documents were published on the ARC intranet and all members of staff were notified. Top-down and
bottom-up risk assessments were carried out in accordance with the new framework.
In 2011–12 executive staff as well as the Chief Information Officer and Senior Legal Counsel participated in
a strategic risk assessment of the ARC. The assessment identified strategic risks that may prevent or delay
delivery of the objectives set out in the ARC Strategic Plan 2011–12 to 2013–14 and/or the three programs
outlined in the 2011-12 PBS. The risks identified during this process were reported to the ARC Audit
Committee and used to develop a Strategic Risk Profile, which was approved by the CEO and
communicated across the ARC.
Informed by the results of the strategic risk assessment, all ARC business units conducted an operational
risk register review. The operational risk register review applied a systematic approach to reviewing and
collating ARC operational risks; ensured business units were treating all credible risks so they rated as
medium or low; and identified significant risks (high or extreme after treatment) for reporting to SMG and the
ARC Audit Committee.
The ARC participated in Comcover’s annual Risk Management Benchmarking survey. This provided the
opportunity to review the effectiveness of the ARC risk management framework and activities; identify areas
for improvement and assess the overall risk maturity of the agency.
Fraud Control
During 2011–12 the ARC reviewed and updated its Fraud Control Plan. The CEO distributed the updated
ARC Fraud Control Plan, including a Fraud Policy Statement, to all staff. The plan was also published on the
ARC intranet. Staff attended fraud control training and reported regularly to the Audit Committee on fraud
control matters.
The CEO has certified within the Letter of Transmittal (page iii) that the ARC has complied with the
requirements of the Commonwealth Fraud Control Guidelines.
Business Continuity and Disaster Recovery
In 2011–12 the ARC reviewed its Business Continuity Plan and associated Disaster Recovery Plan.
Disaster recovery scenario and testing
To ensure that the ARC is prepared to minimise any disruption to ARC business caused by a disaster event,
a series of simulated disaster scenarios are conducted annually with the impact and outcomes of those tests
recorded. This enables the ICT Services Branch to validate both the impact of disaster scenarios and the
procedures to be undertaken to re-establish services.
In late December 2011 there was an unplanned shutdown of the ARC ICT systems in Majura Park. As a
result, all associated ICT services automatically migrated to the infrastructure in the TransACT Data Centre
as Majura Park systems failed. This unplanned event demonstrated that the systems and processes
developed by the ICT Services Branch are sufficient to ensure business system continuity for the ARC’s key
ICT applications and services.
INTERNAL AUDIT
Internal audit is an integral part of the ARC corporate governance framework. It assists the ARC to manage
risks, achieve corporate objectives and legislative compliance, and improve business operations.
The Audit Committee reviews and monitors the internal audit strategic plan and its implementation. The
committee also reviews findings and recommendations and monitors management action in response to
recommendations.
In 2011 the ARC used the Department of Employment Education and Workplace Relations Accounting
Services Panel to obtain quotes for the provision of internal audit services. The outcome of the selection
process was the appointment of KPMG as the ARC Internal Auditor in December 2011.
Three internal audits were finalised by the Internal Auditor in 2011–12 in the areas of procurement, grant
administration and staff timekeeping. The results indicated that, generally, ARC processes were operating
effectively.
INSTITUTIONAL REVIEWS
During 2011–12 the ARC internally undertook two institutional reviews. The objective of the reviews was to
monitor and evaluate universities’ compliance with ARC funding agreement requirements. As part of the
reviews, testing was performed on the universities’ internal frameworks and discussions held with key
stakeholders.
ETHICAL BEHAVIOUR
Staff
High ethical standards are promoted by senior ARC leaders and the ARC Strategic Plan 2011–12 to 2013–
14 includes among its guiding principles ‘accountability through adherence to ethical standards’. Ethical
standards are incorporated into ARC governance policies and guidelines and an intranet site has been
developed to promote ethical behaviour and the Australian Public Service Commission Ethics Advisory
Service.
Induction training for new appointees includes an overview of the Australian Public Service (APS) Code of
Conduct and APS Values. The ARC provides new appointees with copies of the codes and the values. New
appointees are required to acknowledge that they understand and adopt the code and values before their
appointments are finalised. Biannual individual performance reviews provide on-going opportunities for staff
and supervisors to directly address ethical issues.
The ARC Audit Committee has continued to carry out its responsibility for reviewing whether management
has taken steps to embed a culture that promotes the proper use of Commonwealth resources and is
committed to ethical and lawful behaviour, as set out in the ARC Audit Committee Charter (March 2012).
The ARC social media policy covers the general requirements for official, professional and personal use of
social media. The policy was finalised in September 2011. It was published on the intranet and distributed to
all ARC staff and contractors by email.
Access to social media is monitored in accordance with ARC information technology security policy.
ARC-funded researchers
ARC-funded research is subject to the principles outlined in the Australian Code for the Responsible
Conduct of Research, 2007; the National Statement on Ethical Conduct in Human Research, 2007; the
Australian Code of Practice for the Care and Use of Animals for Scientific Purposes, 2004; and the National
Principles of Intellectual Property Management for Publicly Funded Research, 2001. The NCGP funding
rules and funding contracts clearly state requirements for ethical compliance.
The ARC Complaints Handling Policy and Procedures includes a formal process for handling research
misconduct allegations related to scientific fraud, ethical breaches and research misconduct that is external
to the ARC and associated with ARC-funded research. The ARC has a Research Misconduct Officer
responsible for registering, managing and reporting all cases of research misconduct allegations.
The ARC, together with the NHMRC, administers ARIC. ARIC provides a system to review institutional
processes to respond to allegations of research misconduct.
ARC committee members and assessors
The ARC is committed to preserving public confidence in the integrity, legitimacy, impartiality and fairness of
its decision-making processes. Selection committee members and assessors (or equivalent) are bound by
the ARC Guidelines for Disclosure of Interests and Confidentiality Obligations. The guidelines outline
confidentiality, code of conduct and conflict of interest obligations and ensure that real or perceived conflicts
are identified, disclosed and managed in a rigorous and transparent way. The guidelines are made available
to any relevant parties and are available on the ARC website.
The ARC Complaints Handling Policy and Procedures outlines reporting processes for ARC College
members or assessors who discover a possible case of research misconduct during the peer review of a
proposal.
CHAPTER 9:
EXTERNAL SCRUTINY
AT A GLANCE
The ARC is subject to external scrutiny by a range of bodies including:
the Australian Parliament;
the Australian National Audit Office (ANAO);
a range of other external bodies (including the Commonwealth Ombudsman, the
Privacy Commissioner and the Administrative Appeals Tribunal); and
stakeholder organisations.
As part of the scrutiny by parliament, the ARC is required to provide information in
its annual report on:
a number of matters required by legislation (work health and safety; advertising
and market research; ecologically sustainable development)
the grant programs it administers;
disability reporting;
social inclusion; and
freedom of information.
PARLIAMENTARY COMMITTEES
The ARC appeared before the Senate Economics Legislation Committee at estimates hearings held in
October 2011, February 2012 and May 2012. The ARC responded to six questions on notice arising from
these hearings. It also provided input to 75 questions on notice directed to the ARC’s portfolio department
(Department of Industry, Innovation, Science, Research and Tertiary Education).
On 15 March 2012 the Senate Economics Legislation Committee released its report on annual reports of the
agencies for which it is responsible (Annual reports (No. 1 of 2012)). The committee reported that it
considered that the ARC had met its reporting requirements under section 63 of the Public Service Act 1999,
the Financial Management and Accountability Act 1997 (FMA Act) and the Australian Research Council
Act 2001 (ARC Act).
In 2011–12 the ARC made a submission to the inquiry on the Defence Trade Controls Bill 2011 being
conducted by the Senate Standing Committee on Foreign Affairs, Defence and Trade. If passed, the Bill will
give effect to the Treaty between the Government of Australia and the Government of the United States of
America concerning Defense Trade Cooperation.
AUSTRALIAN NATIONAL AUDIT OFFICE
The ANAO is responsible for auditing the ARC’s annual financial statements. Chapter 15 of this report
provides details of the audit.
During 2011–12 the ANAO tabled two cross-agency audit reports involving input from the ARC. They were:
> Administration of Grant Reporting Obligations, Audit Report No. 21, tabled on 24 January 2012—the
ANAO reported that in the period under consideration the ARC had more than 20 instances of grant
program guidelines for which there was no evidence of the required approval (by the Expenditure Review
Committee) being obtained prior to their release.
> Development and Approval of Grant Program Guidelines, Audit Report No. 36, tabled on 30 May 2012—
the ANAO reported that the ARC had not met the requirements of the Commonwealth Grant Guidelines
with regard to posting of grants information on its website.
The ARC has subsequently implemented processes to ensure that it complies with both these requirements.
A standard data extraction has been formulated for the grants information and all funding rules are forwarded
to the Department of Finance and Deregulation for consideration.
In addition to the reports above, the ANAO released a number of audit reports with recommendations
relevant to the ARC including:
> Confidentiality in Government Contracts: Senate Order for Departmental and Agency Contracts (Calendar
Year 2010 Compliance), Audit Report No. 2, tabled on 25 August 2011;
> Development and Implementation of Key Performance Indicators to Support the Outcomes and Programs
Framework, Audit Report No. 5, tabled on 8 September 2011;
> Information and Communications Technology Security: Management of Portable Storage Devices; Audit
Report No. 18, tabled on 20 December 2011; and
> Establishment and Use of Procurement Panels, Audit Report No. 31, tabled on 1 May 2012.
The ANAO also released a number of Better Practice Guides relevant to the ARC including: Public Service
Audit Committees; Developing and Managing Contracts; and Public Sector Environmental Management.
OTHER EXTERNAL BODIES
During 2011–12:
> the Commonwealth Ombudsman’s Office did not initiate any investigations about ARC business;
> the Human Rights and Equal Opportunity Commissioner did not refer any complaints to the ARC;
> no complaints about the ARC were referred to the Federal Privacy Commissioner;
> there were no judicial decisions against the ARC under the Administrative Decisions (Judicial Review) Act
1977 (which provides for judicial review of most administrative decisions made under Commonwealth
enactments on grounds relating to the legality, rather than merits, of decisions);
> there were no claims received by the ARC under the Compensation for Detriment for Defective
Administration scheme (which allows people adversely affected by the maladministration of an Australian
Government agency to receive compensation when they have no legal redress— one claim that was
reported in last year’s annual report as being ongoing as at 30 June 2011 was finalised in July 2011); and
> there were two requests for the Office of the Australian Information Commissioner to review an ARC
freedom of information decision.
STAKEHOLDERS
Client Service Charter
In 2011–12 the ARC reviewed and updated the ARC Client Service Charter. The CEO approved the updated
charter and it was published on the ARC website in November 2011.
The charter sets out the standards of service clients and stakeholders should expect from the ARC. It also
provides guidance for the process clients and stakeholders can follow if they are dissatisfied with the level of
service they have received.
The ARC received no complaints in relation to the client service charter mechanism in 2011–12. Appendix 7
provides details of the ARC’s performance against the service standards in the charter.
Complaints handling
During the year the ARC developed and implemented a new complaints handling policy and procedures
document. The document was published on the ARC website in November 2011.
The policy aims to ensure a consistent approach to the management of complaints; provide a system that
facilitates management of complaints in a timely, sensitive and effective manner; increase awareness of
feedback and complaints management requirements; provide a framework of clear governance; and enable
a mechanism for using complaints and consumer feedback to improve services.
It covers complaints made by clients or stakeholders in the following three areas:
> general complaints about the ARC;
> appeals about the administrative processes of the NCGP; and
> research misconduct allegations related to scientific fraud, ethical breaches and research misconduct
external to the ARC, but associated with research funded by the ARC.
In 2011–12, 28 appeals about NCGP administrative processes and five research misconduct allegations
were submitted to the ARC. There were no instances of general complaints submitted to the ARC.
MANDATORY REPORTING IN ANNUAL REPORTS
Legislative requirements
In accordance with specific legislative requirements, an annual report must include matters in relation to:
> work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011);
> advertising and market research (section 311A, Commonwealth Electoral Act 1918);
> ecologically sustainable development and environmental performance (section 516A, Environment
Protection and Biodiversity Conservation Act 1999); and
> compliance with the agency’s obligations under the Carer Recognition Act 2010.
Appendices 8, 9 and 10 respectively provide reports against the first three requirements above. The ARC does
not have any obligations with regard to the Carer Recognition Act 2010, that is, it is not an agency as defined in
the Public Service Act 1999 that is responsible for the development, implementation, provision of evaluation of
policies, programs or services directed to carers or the persons for whom they care.
Other requirements
Grant programs
The ARC administers a number of funding schemes under the National Competitive Grants Program.
Appendix 2 provides a list of the funding schemes. Information on grants awarded by the ARC during the
period 1 July 2011 to 30 June 2012 is available at www.arc.gov.au.
Disability reporting
Since 1994, Commonwealth departments and agencies have reported on their performance as policy
adviser, purchaser, employer, regulator and provider under the Commonwealth Disability Strategy. In 2007–
08, reporting on the employer role was transferred to the Australian Public Service Commission’s State of the
Service Report and the APS Statistical Bulletin. These reports are available at www.apsc.gov.au.
From 2010–11, departments and agencies are no longer required to report on these functions.
The Commonwealth Disability Strategy has been overtaken by a new National Disability Strategy which sets
out a ten year national policy framework for improving life for Australians with disability, their families and
carers. A high-level report to track progress for people with disability at a national level will be produced by
the Standing Council on Community, Housing and Disability Services to the Council of Australian
Governments and will be available at www.fahcsia.gov.au.
The Social Inclusion Measurement and Reporting Strategy agreed by the Australian Government in
December 2009 will also include some reporting on disability matters in its regular How Australia is Faring
report and, if appropriate, in strategic change indicators in agency annual reports. More detail on social
inclusion matters can be found at www.socialinclusion.gov.au.
Social inclusion outcomes
For departments that have developed social inclusion strategic change indicators with the Social Inclusion
Unit of the Department of the Prime Minister and Cabinet, an annual report must contain information about
relevant programs and progress in relation to social inclusion strategic change indicators. This requirement
does not apply to the ARC.
Freedom of Information
Agencies subject to the Freedom of Information Act 1982 (FOI Act) are required to publish information to the
public as part of the Information Publication Scheme (IPS). This requirement is in Part II of the FOI Act and
has replaced the former requirement under the annual report requirements to publish a section 8 statement
in an annual report. Each agency must display on its website a plan showing what information it publishes in
accordance with the IPS requirements.
Correction of errors
Appendix 11 outlines the errors or omissions of fact identified in the ARC Annual Report 2010–11.
OTHER REPORTING
Commonwealth Grants Guidelines
The Commonwealth Grant Guidelines (CGGs) establish the grants policy and reporting framework for all
departments and agencies subject to the FMA Act. Under the CGGs the ARC must publish on its website
details of all grants within seven days of the signing of the grant agreement. This information is provided on
the ARC website at http://www.arc.gov.au/about_arc/grants.htm.
CHAPTER 10:
PEOPLE MANAGEMENT
AT A GLANCE
At 30 June 2012 the ARC had 125 staff primarily located in Canberra.
The ARC undertook several key people management initiatives during the year
including
finalising and implementing a new enterprise agreement;
reviewing and updating human resource policies to reflect the new agreement;
implementing new work health and safety requirements; and
encouraging staff development and strengthening leadership and management
skills.
STAFF STATISTICS
Statistics on ARC employees by classification level, full-time/part-time status, gender and employment
arrangement are provided in Appendix 12 (Tables A12.1 to A12.4). At 30 June 2012:
> The ARC had 125 staff compared to 112 at the same time last year. The largest number of staff were at
the Executive Level 1. (Figure 10.1)
> Over 92 per cent of total staff were ongoing and over 87 per cent were full-time. (Figure 10.2)
> 67 per cent of staff were female with the largest number of female staff employed at the Executive Level 1
level. (Figure 10.3)
– the numbers of female staff at the Senior Executive Service Band 1, Executive Level 1, APS6 and
APS4-5 levels have increased.
> The ARC had recorded 20 separations from the agency, compared to 35 in 2011.
Since our last annual report:
– the numbers of staff at the Executive Level 1, APS6 and APS4-5 levels increased.
Figure 10.1: ARC staff by classification
Figure 10.2: Ongoing and non-ongoing ARC staff
Figure 10.3: ARC staffing by gender
WORKFORCE PLANNING
The ARC undertakes a workforce planning exercise each year as part of internal budget deliberations.
Priorities for the upcoming year and resources required to meet those priorities are considered.
Various committees have input into ensuring the needs of the organisation and individuals are met.
Workforce planning in a small agency includes staff rotations within the organisation, training, knowledge
management and succession planning.
STAFF TURNOVER AND RETENTION
During 2011–12, 20 employees separated from the ARC (excluding the CEO). Table 10.1 shows the number
of staff separations by classification level and employment category.
The ARC has a range of human resource strategies in place which contribute to the retention of skilled staff.
These strategies include the provision of:
> flexible employment conditions;
> access to training and development opportunities;
> a safe and healthy work environment;
> workplace diversity;
> good communication strategies; and
> rewards and recognition.
EMPLOYMENT CONDITIONS
Overview
Table 10.2 shows the number of ARC staff under various workplace arrangements at 30 June 2011
and 2012.
At 30 June 2012 the ARC employed 122 non-SES staff under either the ARC Enterprise Agreement 2011-14
or an Australian Workplace Agreement (AWA). Four staff employed under the Enterprise Agreement were
also covered by Individual Flexibility Arrangements (IFAs). At 30 June 2012 there were four senior executive
service (SES) staff employed under common law contracts.
Table 10.1: Staff separations by classification level and employment category, 2010–11 and 2011–12
CLASSIFICATION
ONGOING
2010–11
NON-ONGOING
2011–12
2010–11
TOTAL
2011–12
2010–11
2011–12
SES Bands 1–3
1
0
1
2
2
2
Executive Level 2
2
0
0
1
2
1
Executive Level 1
5
2
2
0
7
2
10
3
4
0
14
3
APS 4–5 (ARC Level 2)
2
7
5
3
7
10
APS 1–3 (ARC Level 1)
1
1
2
1
3
2
21
13
14
7
35
20
STAFF
2011
(NO.)
2012
(NO.)
SES
0
0
Non-SES
94
115
SES
0
0
Non-SES
13
7
SES1
5
4
Non-SES
0
0
SES
0
0
Non-SES2
4
2
SES
0
0
Non-SES2
0
4
APS 6 (ARC Level 3)
TOTAL
Table 10.2: Employment arrangements covering staff (at 30 June 2011 and 2012)
EMPLOYMENT ARRANGEMENT
ARC Enterprise Agreement
Australian Workplace Agreements
Common Law Contracts
s. 24(1) Determinations
Individual Flexibility Arrangements
1.
2.
The Acting CEO was covered by a common law contract but not included in staffing figures.
Non-SES Employees with a section 24(1) Determination or IFA are also covered by the Enterprise Agreement. As a result the total
number of agreements is higher than the total number of staff by the number of s. 24(1) Determinations and IFAs.
Workplace arrangements
Enterprise agreement
The Enterprise Agreement came into effect on 20 September 2011. Features of the agreement include the
following:
> three pay increases, each of three per cent, payable from the date of commencement;
1 July 2012; and 1 July 2013;
> payment of a Healthy Lifestyle Allowance of $250 per year;
> extension of access to part-time work arrangements for parents until a child is six years old (up from two
years old in previous agreement);
> a new provision for access to annual leave at half pay (for periods of absence of up to 10 days);
> an increase in compassionate leave to three days per occasion;
> provision of training for supervisors on the Performance Management System to improve feedback to staff
and consistency in the implementation of the system;
> provision of an allowance for Harassment Contact Officers; and
> provision for staff training on preventing and dealing with bullying and harassment.
The agreement is consistent with the Australian Public Service Bargaining Framework.
Individual flexibility arrangements
Staff covered by the Enterprise Agreement may agree to make an IFA to vary the effect of terms of the
agreement. IFAs within the ARC generally deal with retention allowances or remuneration allowing the CEO
to remunerate specialised employees based on market forces and experience.
Australian Workplace Agreements
Some non-SES staff were covered by AWAs in 2011–12. These AWAs were in place prior to the changes to
the Workplace Relations Act 1996 which stipulated that no new AWA may be entered into on or after 13
February 2008.
Section 24(1) Determinations
Under Section 24(1) Determinations of the Public Service Act, the CEO can offer staff remuneration or
conditions to supplement those available under an enterprise agreement or AWA in order to avoid
disadvantage. Section 24(1) Determinations used in the ARC are individual arrangements and in general
provide for a specified retention allowance. The Enterprise Agreement obviates the need for new
determinations although existing determinations will continue.
Common Law Contracts
Employee arrangements under common law contracts set the terms and conditions for employment of SES
staff at the ARC.
Remuneration
Non-SES staff
The 2011–12 salary ranges for non-SES staff at the ARC are as follows:
> Executive Level 2—$107,846–$150,000;
> Executive Level 1—$89,881–$96,790;
> APS6—$70,372–$78,590;
> APS5—$63,560–$67,169;
> APS4—$58,506–$61,827;
> APS3—$52,043–$54,996;
> APS2—$46,599–$50,623; and
> APS1—$43,104–$44,208.
The ranges include salaries under all workplace arrangements outlined above.
SES staff
At 30 June 2012 the notional salary range for SES Band 1 and Band 2 officers was between $164 800 and
$267 800. In the financial statements, Note 13 provides additional information on executive remuneration
in 2011–12 (see Part 4, page 157).
Individual common law contracts determine the nature and amount of remuneration provided to SES
employees. The CEO reviews remuneration annually taking into account the individual’s personal skills,
knowledge, experience and capabilities as well as achievements against goals set in the preceding
performance cycle.
Performance pay
Performance pay is not available to employees at the ARC.
TRAINING AND DEVELOPMENT
Expenditure
The ARC spent a total of $128 791 on learning and development activities, including formal training
programs, in 2011–12 (Table 10.3).
The average training and development expenditure was $1030 per person (based on 125 employees) with an
average attendance of 2.5 days per person. The ARC spent a total of $12 111 on studies assistance for six staff
members to undertake studies approved under the ARC Studies Assistance Guidelines during 2011–12.
Internal training
During the year all new employees were required to attend three programs—Introduction to ARC,
Introduction to the APS and Introduction to Administrative Law. The Enterprise Agreement included access
to these programs to ensure continuation of the initiative.
In 2011–12 the ARC also introduced performance management training for supervisors following from a
commitment made in the ARC’s new agreement.
SAFE AND HEALTHY WORK
ENVIRONMENT
Appendix 8 provides information on the ARC’s work health and safety performance, as required under the
Work Health and Safety Act 2011 (Cth) (WHS Act).
On 1 January 2012 the WHS Act commenced for the Commonwealth jurisdiction. The WHS Act replaces the
now retracted Occupational Health and Safety Act 1991 (OHS Act). In preparation for commencement of the
WHS Act, People and Services:
> undertook a gap analysis of the OHS Act and the WHS Act to understand how the ARC was placed to
manage the transition and the changes needed to achieve compliance;
> reviewed and adapted the existing Health and Safety Management Arrangements to reflect the consultative
arrangements requirement of the WHS Act and the various other changes to terminology and roles;
> developed guidance material for officers to assist them to understand the extent of their duties and what they need to
do to satisfy the ‘due diligence’ requirement of their duty;
> educated ARC staff about the WHS Act (including providing guidance material and a self-training module prepared by
Comcare on the ARC intranet); and
> identified changes that needed to be made to the wording of contracts.
In 2011–12 the ARC’s Occupational Health and Safety committee was renamed the Work Health and Safety committee.
Table 10.3: Training and development by classification level, 2011–12
CLASSIFICATION
STAFF
(NO.)
CEO and SES
PERSON DAYS
USED (NO.)
EXPENDITURE
($)
4
4.5
7 085
Executive Level 1–2
35
111.1
48 331
APS 1–6
57
190.8
73 375
TOTAL
96
306.4
128 791
WORKPLACE POLICIES
During 2011–12 the ARC reviewed its Workplace Diversity Plan and Discrimination and Harassment-free
Workplace Policy.
The Enterprise Agreement included an ongoing commitment to promoting a productive workplace that
provides employees with a fair, flexible, safe and rewarding workplace, characterised by respect, courtesy,
inclusion and equity; and early intervention and resolution in instances of workplace harassment, bullying or
discrimination and fair treatment of employees involved. It also included a commitment to provide staff with a
training course on preventing and dealing with bullying and harassment in the workplace.
The ARC is committed to making all reasonable endeavours to increase Aboriginal and Torres Strait Islander
employment within the ARC. During 2011–12 several staff undertook cultural competency training.
PRODUCTIVITY GAINS
In 2011–12 the ARC made productivity gains by:
> using the portfolio department for corporate services such as training;
> strengthening the performance management framework;
> implementing various retention strategies;
> improving links with business planning and human resources strategic plans;
> improving business processes;
> expanding and strengthening learning and development opportunities;
> strengthening the governance framework; and
> improving the efficiency of corporate functions.
COMMUNICATION
In 2011–12 the ARC reviewed its intranet and implemented new and improved features to better inform staff
about issues relating to the agency. The changes included home page alerts on recent updates and
improving the accessibility of information on key policies, procedures and governance issues.
REWARDS AND RECOGNITION
Each year the ARC awards Australia Day Achievement Medallions. Details are provided on page 102.
AUSTRALIA DAY ACHIEVEMENT MEDALLIONS
The Australia Day Achievement Medallions provide government departments and agencies with the
opportunity to acknowledge the contribution of their staff for outstanding performance of special projects or in
performance of their core duties.
On 25 January 2012, at an Australian Day Barbeque, the CEO presented six Australia Day Achievement
Medallions to ARC staff and teams.
Recipients were:
> Laurence Garner for his professionalism and dedication to the ARC in maintaining the new ICT
infrastructure.
> Jennie Thanopoulos for her management of several high-quality ministerial announcement events
during 2011 and taking on roles beyond her executive assistant and ERA duties.
> Letitia Abela for her unfailing commitment to help the ARC with legal issues.
> The RMS Assignment Module Redevelopment team (Salesi Akauola, Lien Nguyen, Scott Egan, Alex
Brown, Adrian Sawade and Annette Vincent) for delivering the new RMS assignment module in a
compressed time frame, providing the ARC with significant improvements to business productivity)
> The Discovery Early Career Researcher Award team (Claudia Stien, Isa Chan and Akshra Kaul) for
seamlessly getting the DECRA scheme up and running under short notice.
> The Quality Assurance and Business Systems Team (Cherie Atkinson, Belinda Graham and Beverley
Biglia) for their hard work in providing essential communication and quality control services between
Program Operations, RMS support and data management.
CHAPTER 11:
FINANCIAL AND LEGAL
SERVICES
AT A GLANCE
This chapter provides an outline of:
the ARC’s procurement framework including the use of consultants; and
the ARC’s arrangements for legal services.
FINANCIAL SERVICES
Purchasing
The Commonwealth Procurement Guidelines (CPGs) set out the key principles of purchasing which are:
> value for money;
> encouraging competition;
> efficient, effective, economical and ethical use of resources; and
> accountability and transparency.
The ARC complies with the Australian Government’s purchasing polices as articulated in the CPGs,
including procuring goods and services through a whole of government arrangement where applicable.
The governance framework includes the ARC Chief Executive Instructions (CEIs) which outline mandatory
requirements, internal procedure manuals and instructions that expand on the CEIs by setting out
operational requirements. In 2011–12, specific and detailed instructions on procurement were developed and
issued to all Regulation 9 delegates and additional guidance material was placed on the ARC’s intranet.
The Finance Unit has overall responsibility for procurement within the ARC. Staff of the unit provide
information and training about procurement policies and procedures as required.
The ARC makes information on procurements expected each year available in the ARC Annual Procurement
Plan, available from the AusTender website www.tenders.gov.au. This plan outlines the more significant
planned procurements for the forthcoming year and gives potential suppliers early notice.
Consultants
Policy on selection and engagement of consultants
The ARC engages consultants where it lacks specialist expertise or when independent research, review or
assessment is required. Consultants are typically engaged to investigate or diagnose a defined issue or
problem; carry out defined reviews or evaluations; or provide independent advice, information or creative
solutions to assist in the ARC’s decision making.
Prior to engaging consultants, the ARC takes into account the skills and resources required for the task, the
skills available internally, and the cost-effectiveness of engaging external expertise. The decision to engage
a consultant is made in accordance with the Financial Management and Accountability Act 1997 (FMA Act)
and related regulations including the CPGs. The ARC’s policy on selecting and engaging consultants is also
set out in its CEIs and in related procurement instructions and guidance material.
Expenditure
During 2011–12, the ARC entered into 182 new consultancy contracts involving total actual expenditure of
$830 000. In addition, 24 ongoing consultancy contracts were active during the 2011–12 year, involving total
actual expenditure of $252 000.
The majority of the new consultancy contracts in 2011–12 were payments for services relating to ARC
committees, including the ARC College and the ERA Research Evaluation Committees.
Over the past three years the ARC’s expenditure on consultancy contracts was:
> $1 081 686 in 2011–12;
> $2 640 108 in 2010–11; and
> $1 358 696 in 2009–10.
Annual reports contain information about actual expenditure on contracts for consultancies. Information on
the value of contracts and consultancies is available on the AusTender website www.tenders.gov.au.
Exempt contracts
The Chief Executive Officer did not exempt any contracts from publication on the AusTender website on the
basis that their release would disclose exempt matters under the Freedom of Information Act 1982.
Australian National Audit Office access clauses
All contracts let during the reporting period of $100 000 or more (inclusive of GST) provided for the AuditorGeneral to have access to the contractor’s premises.
LEGAL SERVICES
Overview
The ARC in-house Legal Counsel provides general legal advice across the ARC’s corporate and program
responsibilities as well as about the agency’s compliance with various reporting requirements (including
those in relation to freedom of information and legal services). External legal advice is sought as required.
Legal services expenditure
Under the Legal Services Directions 2005 the ARC is required to make publicly available by 30 October each
year details of its legal services expenditure for the previous financial year. The ARC makes this information
available in its annual report (Appendix 13).
Freedom of Information
In 2011–12 the ARC received 12 requests for access to ARC documents under the Freedom of Information
Act 1988 (FOI Act)—a slight increase over the number of requests received in 2010–11. Table 11.1 shows
the status of requests made under the FOI Act since 2009–10.
Table 11.1: Requests under the FOI Act, 2009–10 to 2011–12
REQUESTS
YEAR
2009–10
2010–11
2011–12
Received
7
9
12
Granted in full or in part
4
7
9
Denied
0
0
3
Not finalised (as at 30 June)
3
1
0
Transferred to another agency
0
0
0
Withdrawn
0
1
0
Proceeded to internal review
1
0
1
CHAPTER 12:
ICT AND FACILITIES
AT A GLANCE
ICT Services supplies the ICT infrastructure, help desk services, data
management, software development and technical support to enable the delivery
of the ARC’s two key initiatives—Excellence in Research for Australia (ERA) and
the National Competitive Grants Program—as well as the ARC’s corporate
functions.
At June 2012, the ARC’s external IT systems were accessed by over 65 000 users
in the research community. The ARC’s internal systems support over 100 ARC
staff mainly located in Canberra.
The ARC leases office space in Majura Park Canberra. The Facilities team is
responsible for liaison with the building owners regarding property and
maintenance matters.
Other key responsibilities include records management, mail services, pool
vehicle, security and parking passes, stationery and office equipment, and a range
of work health and safety activities.
ICT SERVICES
Planning
The ICT Operational Plan sets key milestones that enable ICT support of business functions within the ARC
from both an infrastructure and software development perspective. Traffic light reporting provides a quick
and easy assessment against the targets and is reviewed monthly by ICT leadership and reported to the ICT
Governance Committee.
In addition, the ARC Software Development Plan, a component within the ICT Operational Plan, sets an 18
to 24 month view of both business as usual and new software development projects.
Delivery of the National Competitive Grants Program
The Research Management System (RMS) is a web-based system used to prepare and submit research
proposals, assessments and rejoinders. RMS is used by:
> researchers to complete pre-submission eligibility issues, proposals and rejoinders and submit them to the
relevant administering organisation;
> researchers to update personal information and their expertise;
> administering organisations (research offices) to check pre-submission eligibility issues, proposals and
rejoinders and submit them to the ARC;
> administering organisations (research offices) to maintain internal user account records; and
> ARC administrators.
The RMS application currently has 65 493 registered ‘active’ users made up of researchers,
researcher/assessors, research office staff and ARC staff. The RMS was available to the research sector for
99.999 per cent of planned available time for the 2011–12 financial year.
Stakeholder engagement
The RMS Help Desk service operates 9am–5pm on each business day. The current service, both automated
and manual, offers RMS users immediate automated assistance for password resets and personal
assistance for issues of a technical/business nature and also tracks calls escalated for resolution. Typically,
all calls are resolved on first contact; if not, the caller is updated on the status of their query within 48 hours.
The Help Desk routinely receives e-mails of praise and complaint on how RMS functions impact individual
researchers. There were no significant complaints from the sector during this period.
Delivery of Excellence in Research for Australia
The System for the Evaluation of Excellence in Research (SEER) was redeveloped to support Excellence in
Research for Australia (ERA) 2012. Four system releases were successfully developed and implemented to
provide the enhanced and additional functionality required for the second ERA evaluation. The changes
were delivered on time and within budget.
Stakeholder engagement
SEER experienced seven unplanned outages during 2011–2012 resulting in 99.7 per cent availability. The
outages caused minimal disruption to users with only two being longer than 30 minutes.
IT infrastructure and services
In early 2012, ICT Services completed an agency-wide desktop hardware and software refresh which
delivered new tools across the agency including desktop video conferencing for internal and external
collaboration.
FACILITIES
Property Management
ARC head office is at Majura Park, Canberra Airport. During 2011–12 the ARC also occupied share offices in
Brisbane and Hobart. The facilities team manages the leases, memorandum of understanding and licence
agreements for the ARC’s property portfolio.
The ARC has a Property Management Plan to cover all occupied leases to ensure better practise in property
management planning. The ARC has met the Australian Government occupational density target of 16
square metres per occupied workpoint.
Asset Management
Asset management is not a significant aspect of the ARC’s strategic business.
The agency’s assets include office fit out, furniture, IT software and ‘portable and attractive’ equipment held
at the ARC offices at Majura Park Canberra and at the Brisbane and Hobart offices.
The ARC reviews its asset holdings annually to ensure cost effectiveness and whole-of-life asset utilisation.
In February 2012 the ARC conducted a stocktake of its assets located at Majura Park Canberra, Brisbane
and Hobart offices. While the facilities team coordinates asset management activities, responsibility for the
safekeeping of assets remains within each functional area of the ARC.
Records Management
The ARC’s records are a major component of its corporate memory and as such are a vital asset that
supports ongoing operations and provides valuable evidence of business activities over time. The ARC is
committed to implementing best practice record keeping systems to ensure the creation, maintenance and
protection of records with appropriate evidential characteristics.
The Facilities team coordinates responsibility for records management activity within the ARC.
During 2011–12:
> the ARC records management policy and procedures were updated and placed on the ARC intranet;
> all staff with file management responsibilities received training; and
> information on records management was included as part of induction training.
Physical Security
Facilities manages the ARC security passes for ongoing and non-ongoing staff and contractors. The ARC
complies with the advice on protective security provided by the Australian Government Information
Management Office. In 2011–12 the ARC implemented recommendations on identification card design which
are aimed at achieving standardisation and transparency in the policies and practises relating to staff identity
and identity management across the Australian Government.
CHAPTER 13:
COMMUNICATION
AT A GLANCE
This chapter provides a report on the ARC’s activities:
as an advocate for the benefits of Australian research; and
in maintaining productive relationships with its stakeholders.
The ARC’s key stakeholders are Australian higher education institutions and their
partners in the government, private, and non-profit sectors, the Parliament of
Australia, and the Australian public.
PROMOTION
Grants announcement events
In 2011–12 the ARC arranged three events for the Minister to announce the outcomes of selection rounds
conducted under the National Competitive Grants Program (NNGP) schemes:
> Australian Laureate Fellowships on August 2011;
> Discovery Projects, Discovery Indigenous, Linkage Infrastructure, Equipment and Facilities and Linkage
Projects on 1 November 2011; and
> Discovery Early Career Researcher Award and Future Fellowships on 14 November 2011.
Research Expo
The ARC held a research expo in conjunction with the major grants announcement in November. At the
expo, the ARC, the Department of Innovation, Industry, Science and Research (DIISR) and Australian
universities showcased publicly-funded research and highlighted the Australian Government’s support for
research and innovation in Australia.
Researchers, senior members of the academic community, industry representatives, parliamentarians and
members of the general community (including primary and secondary school students) attended the expo. It
was an opportunity to increase student awareness of research to engage and excite them to pursue future
research careers.
Media releases and publications
The Minister and the ARC made a total of 34 media announcements during the year about ARC matters. Of
the 34, 26 media releases were to announce funding outcomes and the remaining eight were about:
> an extension in funding awarded to the ARC Centre of Excellence for Policing and Security;
> the number of international researchers that come to Australia with ARC support;
> ARC-funded researchers who were made fellows of the Learned Academies;
> the appointment of the Research Evaluation Committees Chairs for Excellence in Research for Australia
(ERA) 2012, and the appointment of the committee members;
> Australia’s Nobel Laureate in Physics, Professor Brian Schmidt;
> the appointment of the citation provider for ERA 2012; and
> the ten-year anniversary of the ARC.
Media releases are listed in Appendix 14.
Sponsorship
Australasian Research Management Society
The ARC sponsored the Australasian Research Management Society (ARMS) 13th Annual National
Conference ‘Imagine the Transformation. Transform your Imagination’ held in Sydney on 13 to 16
September 2011.
The ARMS Annual Conference is the principal research meeting for research managers and administrators
in Australasia, attracting researchers and a wide range of industry professionals from both public and private
organisations and other research management institutes. The aim of the conference is to provide a
stimulating and practical program with social events and networking opportunities.
The ARC is a ‘bronze’ sponsor of the event, providing $8 500 (including GST) in sponsorship funding
towards the event.
Eureka Prize for Excellence in Research by an Interdisciplinary Team
The ARC sponsored the Eureka Prize for Excellence in Research by an Interdisciplinary Team for the third
time in 2011. The $10 000 prize rewards an Australian research partnership, group or team for a ground
breaking outcome that has involved collaboration and integration between researchers from two or more
unrelated disciplines.
Communicating research outcomes
Subject to commercial sensitivities and Intellectual Property considerations, the ARC expects researchers
and research institutions to communicate the outcomes of ARC-funded research projects to the research
community and, where appropriate and possible, to the community at large.
The ARC also showcases the outcomes of ARC-funded research, including through participation in
conferences and exhibitions.
An example – Super Science Fellows symposium
An inaugural symposium of Super Science Fellows in astronomy was held in Tasmania on 18–20 April 2012,
hosted and organised by the School of Mathematics and Physics at the University of Tasmania.
The event was opened by His Excellency the Honourable Peter Underwood AC, Governor of Tasmania and
the University of Tasmania Vice-Chancellor, Professor Peter Rathjen. It featured talks from Super Science
Fellows, with general attendance open to all members of the astronomy and space-science community.
Showcasing of the ARC and ARC-funded research
The ARC showcased ARC-funded research at the Innovation in Australia showcase in Brisbane. Hosted by
DIISR, the Innovation Showcase was held on 7 December 2011. The showcase coincided with the
announcement of award winners from The Australian Innovation Challenge. The ARC also hosted a stall at the
CRC Association annual conference Collaborate, Innovate 2012, held in Adelaide 15–17 May 2012.
STAKEHOLDER ENGAGEMENT
Consultations
The ARC undertook a number of stakeholder consultations during the year including:
> the Linkage Infrastructure, Equipment and Facilities consultation;
> the ERA public consultation; and
> the ERA Ranked Outlets consultation.
Part 2 of this report provides further information on these consultations.
Participation in national and international forums
National
Ex-officio membership
During 2011–12 the ARC Chief Executive Officer (CEO) was a member of the: Australia-India Council Board;
Cooperative Research Centres Committee; National Research Infrastructure Committee; National Research
Foundation of Korea; Prime Minister’s Science, Engineering and Innovation Council; and Science Industry
Endowment Fund Advisory Council.
Portfolio
The ARC worked closely with the Department of Industry, Innovation, Science, Research and Tertiary
Education across a range of areas relating to research policy and programs including:
> the development of the funding allocation methodology for the Sustainable Research Excellence program
in which ERA outcomes are an integral element;
> liaising with the Tertiary Education Quality Standards Agency on the development of the research
standards as part of its regulation of higher education;
> the implementation of key elements of the Research Workforce Strategy; and
> the development of the Australian Government’s Feasibility Study on Research Impact Assessment.
The ARC also worked with the department to provide information and advice for the Focusing Australia’s
Publicly Funded Research Review, the Chief Scientist’s Health of Australian Science Report, and the
Australian Research Committee’s National Research Investment Plan.
Submissions to Australian Government Reviews and Inquiries
During 2011–12 the ARC made submissions to:
> the development of a White Paper on Australia in the Asian Century; and
> the Strategic Review of Health and Medical Research.
EUREKA PRIZE
The Australian Museum presents the Eureka Prizes annually. The prizes reward excellence in a range of
fields including research and innovation, science leadership, school science and science journalism and
communication.
The 2011 Eureka Prizes were presented at the Eureka Prizes annual gala awards dinner held in Sydney on 6
September 2011. The winner of the Eureka Prize for Excellence in Research by an Interdisciplinary Team was
the Nanopatch Vaccination team. Professor Mark Kendall, an ARC Future Fellow from the Australian Institute
for Bioengineering and Nanotechnology at The University of Queensland, led this ground breaking work.
The Nanopatch vaccination team includes engineers, mathematicians, materials scientists and immunologists.
It also receives input from the laboratories of cervical cancer vaccine inventor Professor Ian Frazer, the
Translational Research Institute at Brisbane’s Princess Alexandra Hospital; Professor Michael Roberts,
Director of the Therapeutics Research Unit at The University of Queensland’s School of Medicine; and The
University of Melbourne’s Professor Lorena Brown from the Department of Immunology and Microbiology.
Inspiring Australia contact officers group
The ARC continued to participate in the Inspiring Australia contact officers group. The group, formed to
further the communication of science and innovation to the general public, consists of representatives from
many science-related Commonwealth Departments and agencies. During 2011–12 the working group met
three times to discuss upcoming opportunities for the promotion of science and research, and to seek
opportunities for collaboration between agencies.
Ocean and Coastal Communicators Network
The ARC participated in the Ocean and Coastal Communicators Network, which is established under the
Oceans Policy Science Advisory Group to encourage the wider communication of marine-related science
and research. The network also consists of representatives from the Australian Institute of Marine Science,
CSIRO, Geosciences Australia, the University of Tasmania’s Integrated Marine Observing System and the
Australian Antarctic Division.
Through regular monthly teleconferences and two face-to-face meetings during 2011–12, the group
collaborated on opportunities to promote marine-related science outcomes including an event at Parliament
House on 16 August 2011 to celebrate the Census of Marine Life.
International
During the year ARC representatives visited a range of research agencies and organisations overseas to
participate in conferences; seek new ideas and common ground on research policy; exchange information
about research assessment processes; and further develop methods of, and coach others on best practice
in, evaluating research excellence.
Visits made included the following:
> opening of the Sino-Australia Neurogenetics Laboratory (Shanghai, China) August 2011;
> China-Australia Joint Science and Technology Commission (Shanghai, China) August 2011;
> Shanghai Jiao Tong University (Shanghai, China) August 2011;
> Natural Sciences and Engineering Research Council of Canada (Ottawa, Canada) October 2011;
> Social Sciences and Humanities Research Council of Canada (Ottawa, Canada) October 2011;
> Global Merit Review Meeting of Asia Pacific Region countries (Delhi, India) December 2011;
> Higher Education Funding Council for England (London, United Kingdom) January 2012;
>
>
>
>
>
>
>
Thomson Reuters (London, United Kingdom) January 2012;
Elsevier (Amsterdam, Netherlands) January 2012;
National Research Council of Thailand (Bangkok, Thailand) January 2012;
Engineering and Physical Sciences Research Council (London, United Kingdom) February 2012;
Vitae (London, United Kingdom) February 2012;
Inaugural Global Summit on Merit Review (Washington DC, United States of America) May 2012; and
International Network of Research Management Societies Conference (Copenhagen, Denmark)
May 2012.
The ARC also hosted visits from overseas agencies including the:
> Agency for Science, Technology and Research, Singapore;
> National Research Council of Thailand;
> Alexander von Humboldt Foundation, Germany;
> National Research Foundation, Korea;
> National Natural Science Foundation of China; and
> Natural Sciences and Engineering Research Council of Canada.
Provision of information
Visits to institutions
ARC representatives visited higher education institutions on request and published the presentation material
related to those visits on the ARC website.
ARC forums
The ARC hosted a one-day forum for ARC Centre Directors (or delegates) on 26 September 2011.
Participants included representatives of 23 ARC Centres of Excellence, three co-funded Centres and three
Special Research Initiatives. The forum was themed with several presentations made by participants and
ARC executives on three topics:
> Starting Out—prospects for establishing a successful ARC Centre of Excellence;
> Looking Back—lessons from building a successful ARC Centre of Excellence; and
> Looking Ahead—positioning for a future beyond initial ARC funding.
Feedback from the forum was very positive with a proposal to hold a similar forum on an annual basis in the
future.
ARC/NHMRC Research Administrators seminar
Each year the ARC, together with the Australasian Research Management Society and the National Health
and Medical Research Council (NHMRC), holds a Research Administrators’ Seminar. The 2011 seminar was
held on 7–8 November 2011 in Canberra. Three hundred people, from approximately 70 institutions,
attended the seminar which provided information on the development of NCGP funding schemes, policies
and programs.
ARC website
The ARC website provides information about the ARC to national and international researchers and
stakeholders, and interested parties.
The website recorded 1 117 529 visits in 2011–12 compared with 1 069 397 in 2010–11. The peak period of
web traffic occurred in October and November 2011 with two peak days of visits:
> 31 154 visits on Monday 31 October 2011 due to the major grants announcement for the Discovery
Projects, Linkage Projects, Linkage Infrastructure, Equipment and Facilities and Discovery Indigenous
schemes; and
> 21 457 visits on Sunday 13 November 2011 due to the release of the funding outcomes for Discovery
Early Career Researcher Award and Future Fellowships schemes.
In March 2012, the ARC began reviewing its website to comply with the requirements of the Australian
Government’s new Web Content Accessibility Guidelines 2.0 (WCAG 2.0). These guidelines require all federal
websites to meet the medium conformance level AA by the end of 2014.
While undertaking the review for the WCAG 2.0 the ARC took the opportunity to improve and update the content
of the ARC website to better promote and communicate processes and activities.
Network messages
During 2011–12 the ARC issued 45 network messages. The ARC uses network messages to communicate
information to institutional research offices and administration stakeholders. The messages provide
information about ARC funding and processes—from application to announcement—and other relevant
information that may assist the research offices in their contact with the ARC.
Social media
In addition to posting information on its website and through network messages, the ARC also has Facebook
and Twitter accounts.
PART 4
FINANCIAL PERFORMANCE
CHAPTER 14: FINANCIAL OVERVIEW
CHAPTER 15: FINANCIAL STATEMENTS
CHAPTER 14:
FINANCIAL OVERVIEW
AT A GLANCE
This chapter should be read in conjunction with the audited financial statements
for 2011–12 which appear in the next chapter.
The ARC supports both departmental and administered expenses.
Departmental expenses involve the use of assets, liabilities, revenue and
expenses controlled or incurred by the agency in its own right.
Administered expenses involve the management or oversight by the agency, on
behalf of the Australian Government, of items controlled or incurred by the
Australian Government.
INTRODUCTION
This chapter provides a summary of the ARC’s 2011–12 financial performance. The Parliament of Australia
provides the ARC with two types of funding: administered and departmental where:
> administered funding is managed by agencies on behalf of the Australian Government, including for
example, grants, subsidies and benefits.
> departmental items are assets, liabilities, revenues and expenses that are controlled by the agency in
providing its outputs, including for example, employees expenses, supplier expenses, and other
operational expenses.
ANALYSIS OF PERFORMANCE
The ARC’s total annual appropriated resources for 2011–12 were $833.3 million. This comprised:
> $811.3 million for the administered appropriation ($808.8 million special appropriation for the National
Competitive Grants Program and $2.5 million for annual administered appropriation); and
> $22.0 million for the departmental appropriation ($18.8 million for operating expenses, $1.7 million for the
Departmental Capital Budget and $1.5 million for an equity injection).
In 2011–12 the ARC disclosed an operating deficit of $0.386 million due to the removal of depreciation
funding as part of the Operation Sunlight net cash appropriations framework. To ensure the ERA election
commitment is met, the Minister for Finance and Deregulation approved the transfer of Administered Annual
Appropriation of $0.55 million for Excellence in Research for Australia (ERA) from 2011–12 to 2012–13 and
$2.30 million of future funds from 2013–14 to 2012–13. The transfer of funds is required to provide
appropriate support and remuneration for the committee members associated with the ERA evaluation
process.
The Minister for Finance and Deregulation approved for Excellence in Research for Australia the movement
of Administered Annual Appropriation of $0.550 million initiative from 2011–12 to 2012–13 and $2.300 million
of future funds from 2013–14 to 2012–13 to ensure the ERA election commitment is met. The transfer of
funds is required to provide appropriate support and remuneration for the committee members associated
with the ERA evaluation process.
A resource summary of the ARC’s departmental and administered expenses is provided in Appendix 15.
Actual expenses at year-end varied from budgeted expenses in the following area:
> The 2011–12 departmental operating expenses are $2 million less than the budget estimate. This is due
to the implementation of a range of strategies to manage departmental expenditure.
Further information on the financial performance of the ARC is in the financial statements and accompanying
notes. The Australian National Audit Office found that the ARC’s financial statements, including lead
schedules and reconciliations, were appropriate for the needs of the audit, and that controls were operating
effectively and information was being accurately captured in all relevant systems.
CHAPTER 15: FINANCIAL
STATEMENTS
AT A GLANCE
The following pages provide the financial statements for the Australian Research
Council (ARC) for the financial period ended 30 June 2012. They have been
submitted to the Auditor General for scrutiny as required by section 57 of the
Financial Management and Accountability Act 1997.
Page No.
Audit Report .............................................................................................................................................. 119
Statement by the Chief Executive and Chief Financial Officer .................................................................. 121
Statement of Comprehensive Income ...................................................................................................... 122
Balance Sheet .......................................................................................................................................... 123
Statement of Changes in Equity ............................................................................................................... 124
Cash Flow Statement................................................................................................................................ 125
Schedule of Commitments ........................................................................................................................ 126
Schedule of Administered Items ............................................................................................................... 128
Notes of the Financial Statements ............................................................................................................ 133
The financial statements have been removed from this version, but are
available in the PDF version on the ARC website at: www.arc.gov.au.
PART 5
APPENDICES
APPENDIX 1:
APPENDIX 2:
APPENDIX 3:
APPENDIX 4:
APPENDIX 5:
APPENDIX 6:
APPENDIX 7:
APPENDIX 8:
APPENDIX 9:
APPENDIX 10:
APPENDIX 11:
APPENDIX 12:
APPENDIX 13:
APPENDIX 14:
APPENDIX 15:
PERFORMANCE FRAMEWORK
NATIONAL COMPETITIVE GRANTS PROGRAM,
DESCRIPTION
NATIONAL COMPETITIVE GRANTS PROGRAM,
SUMMARY STATISTICS
NATIONAL COMPETITIVE GRANTS PROGRAM,
PERFORMANCE INFORMATION
RESPONSIBILITIES OF THE MINISTER
MEMBERSHIP OF COMMITTEES
CLIENT SERVICE CHARTER
WORK HEALTH AND SAFETY
ADVERTISING AND MARKET RESEARCH
ECOLOGICALLY SUSTAINABLE DEVELOPMENT
CORRECTION OF ERRORS
STAFF STATISTICS
LEGAL SERVICES EXPENDITURE
COMMUNICATION AND OUTREACH
AGENCY RESOURCE STATEMENTS
APPENDIX 1:
PERFORMANCE
FRAMEWORK
The ARC is required to report in its annual report against the key performance indicators identified in the
ARC strategic plan and the Portfolio Budget Statements (PBS).
Table A1.1 maps the indicators and measures identified in the ARC Strategic Plan 2011–12 to 2013–14 to
the key performance indicators identified in 2011–12 PBS.
Table A1.1: Mapping of key performance indicators
STRATEGIC PLAN
PORTFOLIO BUDGET
STATEMENTS
KEY OBJECTIVE / KEY PERFORMANCE INDICATOR / MEASURE
PROGRAM
1: RESEARCH
1.1 Outputs and outcomes arising from ARC-supported research are of a high
quality and produce national benefits
Program 1.1: Discovery
Program 1.2: Linkage
Evidence of impact of ARC-funded research
Program 1.1: Discovery
Outcomes arising from ARC-funded research that provide social, economic,
environmental and cultural benefits
Program 1.1: Discovery
Program 1.2: Linkage
1.2 There is a high level of collaboration between ARC-funded researchers and
those within other components of the national and international innovation systems
Program 1.1: Discovery
Program 1.2: Linkage
Financial commitment (cash and in-kind) from partner organisations for every dollar
contributed by the ARC (Linkage Projects scheme)
Program 1.2: Linkage
Proportion of partner organisations that indicated that their involvement in projects
was beneficial or very beneficial (Linkage Projects scheme)
Program 1.2: Linkage
Proportion of projects involving international collaboration
Program 1.1: Discovery
Program 1.2: Linkage
Average number of organisations involved in projects funded (Linkage
Infrastructure, Equipment and Facilities scheme)
Program 1.2: Linkage
2: CAPACITY
2.1 ARC funding supports excellent researchers
Program 1.1: Discovery
External recognition of the achievements of ARC-funded researchers
Program 1.1: Discovery
Evidence of impact of research conducted by ARC-funded fellows
Program 1.1: Discovery
2.2 ARC-supported research contributes significantly to high quality research
training
Program 1.1: Discovery
Program 1.2: Linkage
STRATEGIC PLAN
PORTFOLIO BUDGET
STATEMENTS
KEY OBJECTIVE / KEY PERFORMANCE INDICATOR / MEASURE
PROGRAM
Proportion of ARC-funded researchers who are early career researchers
(within five years of completion of their PhD)
Program 1.1: Discovery
Program 1.2: Linkage
2.3 ARC-funded research makes a significant contribution to research activity and
capability in areas of national need
Program 1.1: Discovery
Program 1.2: Linkage
Proportion of funded proposals that address the National Research Priorities
(NRPs)
Program 1.1: Discovery
Program 1.2: Linkage
Evidence of impact in NRP areas
Program 1.1: Discovery
Program 1.2: Linkage
3: POLICY AND EVALUATION
3.1 Policy advice that enhances Australia’s capacity and excellence in research
Program 1.1: Discovery
Program 1.2: Linkage
Evidence of impact of policy advice
Program 1.1: Discovery
Program 1.2: Linkage
3.2 Contribution to best practice evaluation of Australia’s research investment in
higher education institutions
Program 1.3: ERA
Evidence of contribution to best practice evaluation of research investment
Program 1.3: ERA
3.3 Achievement of milestones for delivery of ERA 2012
Program 1.3: ERA
Production of key documentation required for institutions’ preparation for ERA 2012
Program 1.3: ERA
3.4 Successful outreach initiatives that further inform and engage the sector and
other key stakeholders of overarching ERA policy and implementation
Program 1.3: ERA
Sector contribution to development of ERA 2012 processes and policy
Program 1.3: ERA
APPENDIX 2:
NATIONAL COMPETITIVE
GRANTS PROGRAM,
DESCRIPTION
The ARC administers one grant program, the National Competitive Grants Program (NCGP). At 30
June 2012 the NCGP comprised the funding schemes listed in Tables A2.1 and A2.2.
PROGRAM 1.1: DISCOVERY
Table A2.1: Discovery Program funding schemes
DESCRIPTION
AUSTRALIAN LAUREATE FELLOWSHIPS
First selection round
Funding commencing in 2009
Frequency
Annual
Description
The Australian Laureate Fellowships scheme is aimed at attracting and retaining
outstanding researchers in Australia. The scheme provides eligible Fellows with project
funding in addition to a salary supplement and salary-related (on-cost) support.
DISCOVERY EARLY CAREER RESEARCHER AWARD
First selection round
Funding commencing in 2012
Frequency
Annual
Description
The Discovery Early Career Researcher Award scheme is aimed at supporting earlycareer researchers.
DISCOVERY INDIGENOUS
First selection round
Funding commencing in 2002 (Discovery Indigenous Researcher Development); funding
commencing in 2012 (Discovery Indigenous)
Frequency
Annual
Description
The Discovery Indigenous scheme supports the development of indigenous researchers’
skills and expertise. It replaces the Discovery Indigenous Researchers Development
scheme, the last selection round of which was conducted for funding commencing
in 2011.
DISCOVERY PROJECTS
First selection round
Funding commencing in 2002
Frequency
Annual
Description
The Discovery Projects scheme provides funding for research projects undertaken by
excellent individual researchers and research teams.
DESCRIPTION
FUTURE FELLOWSHIPS
First selection round
Funding commencing in 2009
Frequency
Annual
Description
The Future Fellowships scheme is aimed at attracting and retaining the best and brightest
mid-career researchers.
PROGRAM 1.2: LINKAGE
Table A2.2: Linkage Program funding schemes
DESCRIPTION
ARC CENTRES OF EXCELLENCE
First selection round
Funding commencing in 2003
Frequency
Periodic
Description
The ARC Centres of Excellence scheme is aimed at building critical mass in areas of
research. Funding of between $1 million and $4 million per annum for up to seven years
may be awarded for each ARC Centre of Excellence.
LINKAGE INFRASTRUCTURE, EQUIPMENT AND FACILITIES
First selection round
Funding commencing in 2002
Frequency
Annual
Description
The Linkage Infrastructure, Equipment and Facilities scheme encourages institutions to
develop collaborative organisational arrangements to develop research infrastructure.
LINKAGE LEARNED ACADEMIES SPECIAL PROJECTS
First selection round
Funding commencing in 2002
Frequency
Every three years
Description
The Linkage Learned Academies Special Projects scheme funds the Australian Council
of Learned Academies and the Learned Academies to undertake research-related
projects.
LINKAGE PROJECTS
First selection round
Funding commencing in 2002
Frequency
Twice per year (until 2012)
Description
The Linkage Projects scheme supports collaborative research and research training
between universities and partner organisations.
SPECIAL RESEARCH INITIATIVES
First selection round
Funding commencing in 2002
Frequency
As required
Description
Under the Special Research Initiatives scheme, the ARC identifies new or emerging
areas of research for funding. Applications for funding may be submitted only when
invited by the ARC by means of a call for proposal(s).
APPENDIX 3:
NATIONAL COMPETITIVE
GRANTS PROGRAM,
SUMMARY STATISTICS
Tables A3.1 and A3.2 provide details of new funding commencing under the Discovery and Linkage
Programs of the NCGP in financial years 2009–10 to 2011–12. Outcomes announced prior to or
during 2011–12 for funding commencing in 2012–13 will be reported in next year’s annual report. This
includes the outcomes of Linkage Projects Round 2 for funding commencing in 2012.
PROGRAM 1.1: DISCOVERY
Table A3.1: Discovery Program, new funding commencing in 2009–10 to 2011–12
SELECTION ROUNDS FOR FUNDING COMMENCING IN
2009–10
2010–11
2011–12
2009
2010
2011
148
97
139
15
15
17
41 627 752
35 541 053
44 516 902
10.0
15.5
12.2
–
–
2012
Number of proposals
n/a
n/a
2159
Number of awards
n/a
n/a
277
Total $
n/a
n/a
103 875 000
% success rate
n/a
n/a
12.8
2010
2011
2012
23
20
29
9
9
10
1 809 820
2 045 759
3 850 751
% success rate
39.1
45.0
34.5
DISCOVERY PROJECTS
2010
2011
2012
AUSTRALIAN LAUREATE FELLOWSHIPS
Number of proposals
Number of awards
Total $
% success rate
DISCOVERY EARLY CAREER RESEARCHER
AWARD
DISCOVERY INDIGENOUS¹
Number of proposals
Number of awards
Total $
SELECTION ROUNDS FOR FUNDING COMMENCING IN
2009–10
2010–11
2011–12
4 068
4 230
3 544
925
931
778
325 575 289
318 162 472
236 837 254
% success rate
22.7
22.0
22.0
FUTURE FELLOWSHIPS
2009
2010
2011
Number of proposals
975
759
661
Number of awards
200
200
203
147 422 468
143 760 941
144 342 673
% success rate
20.5
26.4
30.7
SUPER SCIENCE FELLOWSHIPS²
2009
2010
2011
Number of proposals
n/a
149
124
Number of awards
n/a
50
50
Total $
n/a
13 920 000
13 920 000
% success rate
n/a
33.6
40.3
Number of proposals
Number of awards
Total $
Total $
General notes
n/a
not applicable
Discovery Program notes
1 The Discovery Indigenous scheme replaced the Discovery Indigenous Researchers Development scheme in 2011 (for funding
commencing in 2012).
2 Table A3.1 reports the number of Super Science Fellowships not the number of Super Science Fellowships projects. Each project can
include up to three fellows.
PROGRAM 1.2: LINKAGE
Table A3.2: Linkage Program, new funding commencing in 2009–10 to 2011–12
SELECTION ROUNDS FOR FUNDING COMMENCING IN
2009–10
2010–11
2011–12
–
2011
–
Number of proposals
n/a
111
n/a
Number of awards
n/a
13
n/a
Total $
n/a
255 900 000
n/a
% success rate
n/a
11.7
n/a
2010
2011
2012
170
165
170
73
78
77
30 957 412
30 873 624
28 300 078
% success rate
42.9
47.3
45.3
LINKAGE LEARNED ACADEMIES SPECIAL
PROJECTS
2010
–
2012
Number of proposals
5
n/a
6
Number of awards
5
n/a
6
1 439 000
n/a
10 000 000
100
n/a
100
2010
2011
2012
Number of proposals
470
398
418
Number of awards
211
186
151
66 827 891
56 235 992
42 789 355
% success rate
44.9
46.7
36.1
LINKAGE PROJECTS (ROUND 2/JULY)
2009
2010
2011
Number of proposals
522
512
535
Number of awards
239
218
219
71 856 782
66 753 570
67 393 349
ARC CENTRES OF EXCELLENCE1
LINKAGE INFRASTRUCTURE, EQUIPMENT AND
ACILITIES
Number of proposals
Number of awards
Total $
Total $
% success rate
LINKAGE PROJECTS (ROUND 1/JANUARY)
Total $
Total $
SELECTION ROUNDS FOR FUNDING COMMENCING IN
2009–10
2010–11
2011–12
% success rate
45.8
42.6
40.9
SPECIAL RESEARCH INITIATIVES2
2010
–
2011 & 2012
Number of proposals
7
n/a
3
Number of awards
2
n/a
2
50 000 000
n/a
46 000 000
Total $
General Notes
n/a – not applicable
Linkage Program notes
1 The 2011 ARC Centres of Excellence selection round included a preliminary expression of interest (EOI) stage. The number of
proposals recorded in Table A3.2 is the number of EOIs received for consideration.
2 The Special Research Initiatives scheme includes the Research in Bionic Vision Science and Technology Initiative (2010), the Special
Research Initiative in Stem Cell Science (July 2011) and the Special Research Initiative in Synchrotron Science (2012).
APPENDIX 4:
NATIONAL COMPETITIVE
GRANTS PROGRAM,
PERFORMANCE
INFORMATION
OVERVIEW
This appendix provides additional information to support the performance data for the National
NCGP provided in Chapters 5 and 6.
EXCELLENT RESEARCH
Academic and Commercialisation Outputs [Tables A4.1 and A4.7]
> Under the Discovery Program, research projects and fellowships initially funded in 2007 produced on
average 15.7 academic outputs per research project, and a total of 114 commercialisation outputs.
> Under the Linkage Program, research projects and fellowships initially funded in 2007 produced an
average of 11.6 academic outputs per research project, and a total of 70 commercialisation outputs.
> In 2011, ARC Centres of Excellence initially funded in 2005, 2007 and 2011 produced on average 178
academic outputs and a total of 35 commercialisation outputs.
EXCELLENT RESEARCHERS
Research Training and Career Development [Tables A4.2, A4.3 and A4.7]
> The ARC funded 598 fellowships and awards commencing in 2011–12 compared to 636 commencing
in 2010–11. The small drop in numbers reflects the discontinuation of the Australian Postgraduate Awards
Industry under the Linkage Projects scheme in 2011. The number of fellowships and awards for doctoratequalified researchers has increased from 495 to 598.
> The funding schemes of the NCGP also encourage research training and career development indirectly
(through funding provided to support the employment of researchers on ARC-funded research projects).
– Each Discovery Projects grant and Linkage Projects grant initially funded in 2007 respectively
supported 6.4 and 9.8 research personnel on average (including postgraduate students) other than
those named in the proposal (Table A4.3).
– The ARC Centres of Excellence also provide a training environment for postgraduate research students
(Table A4.7). In 2011 there were 1263 honours, masters and PhD students enrolled across the 25
Centres and 392 research students completed their degrees. A total of 436 early-career researchers
were also associated with the Centres.
COLLABORATION
Linkages between researchers and end-users [Table A4.4]
> The funding schemes under the Linkage Program encourage the development of partnerships with enduser organisations (including industry, government and community partners, in Australia and
internationally). Through the Linkage Projects scheme these partner organisations provide cash and inkind contributions, which at least match those of the ARC, to support the research.
– For the two Linkage Projects selection rounds for funding commencing in 2011–12, there were 370
successful proposals which involved 806 partner organisations. These partner organisations pledged
over $225.9 million in cash and in-kind contributions to the projects.
– Government organisations contributed approximately 24.8 per cent of the total financial support pledged
by partner organisations, while domestic and international companies or industry bodies provided
47.0 per cent.
International collaboration [Table A4.5]
> The funding schemes of the NCGP are aimed at encouraging collaboration with overseas researchers and
institutions. This is achieved through eligibility arrangements as well as providing funding for specific
budget items and separate awards (International Collaboration Awards under the Discovery Projects
scheme).
> Applicants for ARC funding are able to identify if their research project intends to involve international
collaboration. Under the ARC’s main funding programs in 2011–12, the proportion of funded proposals
involving international collaboration ranged from 40.7 per cent under the Linkage Program to 67.6 per cent
under the Discovery Program.
RESEARCH IN AREAS OF PRIORITY
National Research Priorities [Table A4.6]
> The funding schemes of the NCGP are aimed at supporting research and research training of national
benefit, including in the National Research Priorities (NRP). The NRPs are areas of particular social,
economic and environmental importance to Australia, and areas in which a whole of government focus
has the potential to improve research and broader policy outcomes.
> Across both the Discovery and Linkage Programs, the largest proportion of research proposals identify
themselves as being relevant to the priority area of ‘Frontier technologies for building and transforming
Australian industries’ (36.6 per cent across the Discovery Program and 36.9 per cent across the Linkage
Program).
SUPPORTING DATA
Table A4.1: Discovery and Linkage Program, research outputs
2005
2006
2007
Books and book chapters
2 095
1 324
1 101
Journal articles
8 861
6 119
4 793
Conference publications
8 377
6 067
4 578
Other
1 939
1 375
1 067
Total
21 272
14 885
11 539
23
167
35
5
8
5
Patents-filed
52
53
62
Patents-pending
17
22
8
5
9
4
102
259
114
Number of final reports
841
949
740
Average number of outputs/research projects
25.4
16.0
15.7
691
362
352
Journal articles
2 076
1 996
1 782
Conference publications
3 102
2 367
1 784
Other
2 360
534
599
Total
8 229
5 259
4 517
35
39
23
7
8
2
44
23
32
DISCOVERY PROGRAM
Academic Outputs
Commercialisation outputs
Invention disclosures
Licences executed
Start-up companies
Total
Summary
LINKAGE PROGRAM
Academic Outputs
Books and book chapters
Commercialisation outputs
Invention disclosures
Licences executed
Patents-filed
2005
2006
2007
21
22
11
6
5
2
113
97
70
Number of final reports
588
500
396
Average number of outputs/research projects
14.2
10.7
11.6
Patents-pending
Start-up companies
Total
Summary
Table A4.2: Discovery and Linkage Programs, fellowships and awards
FUNDING COMMENCING IN
2009–10
2010–11
2011–12
15
15
17
Australian Postdoctoral Fellowships
112
108
n/a
Australian Professorial Fellowships
27
30
n/a
Australian Research Fellowships/Queen Elizabeth II
Fellowships
64
55
n/a
2
3
n/a
Discovery Early Career Researcher Award
n/a
n/a
277
Discovery Indigenous Award
n/a
n/a
5
Discovery Outstanding Researcher Award
n/a
n/a
26
Future Fellowships
200
200
203
3
3
n/a
n/a
50
50
32
27
20
351
141
n/a
1
4
0
DISCOVERY PROGRAM
Australian Laureate Fellowships
Australian Research Fellowship—Indigenous
Indigenous Researcher Fellowships
Super Science Fellowships
LINKAGE PROGRAM
Australian Postdoctoral Fellowships Industry
Australian Postgraduate Awards Industry
Linkage Industry Fellowships
Table A4.3: Discovery Projects and Linkage Projects schemes, research personnel outputs for funding
commencing in 2007
SCHEME
TYPE OF PERSONNEL
DISCOVERY
PROJECTS
LINKAGE
PROJECTS
242
154
30
9
PhD students receiving research support but not stipends
744
131
Masters students receiving research support but not stipends
168
57
Honours students receiving research support but not stipends
782
210
Overseas PhD students involved in the project
385
46
Overseas research Masters students involved in the project
113
42
90
54
455
101
Research associates/assistants funded (full-time)
362
148
Research associates/assistants funded (part-time)
861
391
92
68
8
730
397
313
4 729
2 454
Number of final reports
736
251
Total number of research projects awarded funding
822
392
RESEARCH
PhD students receiving stipends and research support*
Masters students receiving stipends and research support*
Overseas Honours students involved in the project
Early career researchers (excluding those named in the application)
OTHER EMPLOYED PERSONNEL
Professional and/or technical officers
Industry partner employees
Other personnel involved
TOTAL
* In their final report, grant recipients are asked to indicate the number of students involved with the project that received ARC-funded
stipends under Discovery and Linkage, rather than those receiving stipends funded from the specific grant to which the final reports
relates. Therefore, there may be a small amount of double counting if some research students have been involved with more than one
ARC-funded project.
Table A4.4: Linkage Projects scheme, partner organisation contributions by type of organisation
2009–10
ORGANISATION TYPE
2010–11
2011–12
CASH
($M)
TOTAL
($M)
CASH
($M)
TOTAL
($M)
CASH
($M)
TOTAL
($M)
12.70
40.70
14.17
42.64
17.00
49.02
4.70
14.80
3.96
12.47
3.74
13.04
Commonwealth
1.80
3.70
1.50
5.04
1.47
3.86
International
1.20
2.90
0.03
0.49
0.29
1.15
State & Local
15.50
45.30
6.96
21.93
7.46
26.68
Australian
6.20
19.40
3.56
17.63
2.59
11.44
International
0.20
1.20
0.03
0.15
0.9
1.38
-
-
8.81
27.86
9.07
32.55
42.30
128.00
39.02
128.21
42.52
139.14
13.80
44.30
11.76
34.37
10.87
33.07
8.50
25.10
3.13
9.37
2.65
11.11
Commonwealth
1.70
3.70
2.83
6.36
1.42
4.59
International
0.10
0.90
0.02
0.23
0.23
1.35
State & Local
10.10
32.10
9.16
27.03
6.65
18.39
Australian
2.40
11.30
1.07
4.10
1.07
4.35
International
0.30
1.20
0.08
0.36
1.41
2.43
ROUND 2 (JULY)
Company/Industry body
Australian
International
Government
Non-profit
Other
Other
TOTAL
ROUND 1 (JANUARY)
Company/Industry body
Australian
International
Government
Non-profit
2009–10
ORGANISATION TYPE
2010–11
2011–12
CASH
($M)
TOTAL
($M)
CASH
($M)
TOTAL
($M)
CASH
($M)
TOTAL
($M)
0.20
2.80
8.82
35.41
2.65
11.42
37.10
121.40
36.88
117.22
26.94
86.74
Other
Other
TOTAL
Table A4.5: Discovery and Linkage Programs, projects involving international collaboration as a
proportion of total projects funded
SCHEME
FUNDING COMMENCING IN
2009–10 (%)
2010–11 (%)
2011–12 (%)
100.0
93.3
100.0
n/a
n/a
10.0
Discovery Projects
65.8
63.9
61.7
Future Fellowships
84.0
90.0
90.1
n/a
66.7
71.4
n/a
100.0
n/a
Linkage Infrastructure
50.7
47.4
45.5
Linkage Projects
37.3
42.8
39.7
DISCOVERY PROGRAM
Australian Laureate Fellowships
Discovery Indigenous
Super Science Fellowships
LINKAGE PROGRAM
ARC Centres of Excellence
Table A4.6: Discovery and Linkage Programs, research in national research priority areas, 2011–12
DISCOVERY PROGRAM
NATIONAL RESEARCH PRIORITY
AUSTRALIAN
LAUREATE
FELLOWSHIPS
2011
Environment
$
None selected
SUPER SCIENCE
FELLOWSHIPS
2011
LINKAGE
INFRASTRUCTURE
LINKAGE
PROJECTS
LINKAGE
PROJECTS
2011 (RD 2)
2012 (RD 1)
2012
2012
46 269 307
30 310 816
5 289 600
5 744 078
23 159 330
12 684 653
2
47
141
42
8
16
62
40
15 143 556
27 375 000
41 907 382
40 449 162
1 392 000
3 660 000
20 553 955
12 947 798
6
73
153
56
2
11
70
48
19 417 174
36 375 000
100 168 355
47 201 148
6 681 600
17 761 000
19 147 016
14 814 279
7
97
293
67
10
47
66
52
4 756 289
17 250 000
24 269 277
22 220 622
-
805 000
3 425 329
1 272 625
No.
2
46
97
32
-
2
14
6
$
-
5 250 000
24 222 933
4 160 925
556 800
330 000
1 107 719
1 070 000
No.
-
14
94
6
1
1
7
5
67 393 349
42 789 355
219
151
$
$
No.
Security
2012
FUTURE
FELLOWSHIPS
2011
17 625 000
No.
Industry
DISCOVERY
PROJECTS
5 199 883
No.
Health
DISCOVERY
EARLY CAREER
RESEARCHER AWARD
LINKAGE PROGRAM
$
TOTAL
$
NO.
44 516 902
17
103 875 000
277
236 837 254
778
144 342 673
203
13 920 000
21
28 300 078
77
Table A4.7: ARC Centres of Excellence, research outputs, 2011
TYPE OF OUTPUT
2005
CENTRES
2007
CENTRES
2011
CENTRES
Books
16
10
9
Book chapters
93
39
50
933
58
1014
34
6
53
Unpublished reports
179
6
19
Conference publications
898
91
850
Audio-visual recordings
5
1
22
Computer software
5
0
7
Designs
0
0
0
Patents – filed
7
0
6
Patents – pending
0
0
22
Creative works
2
0
15
Number of national collaborating institutions (average per centre)
13
4
10
Number of international collaborating institutions (average per centre)
52
9
20
Number of countries involved in collaboration (average per centre)
19
6
11
Number of countries from which international visitors originated
(average per centre)
13
15
12
Number of international visitors (average per centre)
48
47
37
Number of overseas visits by Centre personnel (average per centre)
57
26
41
109
3
42
Number of Masters students graduated
37
0
27
Number of Honours students graduated
72
6
96
Number of PhD students enrolled
452
49
402
Number of Masters students enrolled
107
3
47
RESEARCH
Journal articles (articles in scholarly refereed journal)
Journal articles (other)
COLLABORATION
TRAINING
Number of PhD graduated
TYPE OF OUTPUT
2005
CENTRES
2007
CENTRES
2011
CENTRES
83
6
114
Number of early career researchers
(within 5 years of PhD completion)
188
6
242
Training programs/teaching packages conducted
188
30
188
11
1
13
Number of Honours students enrolled
TOTAL NUMBER OF CENTRES
APPENDIX 5:
RESPONSIBILITIES OF THE
MINISTER
Table A5.1: Powers and responsibilities of the Minister under the Australian Research Council Act 2001
POWER
SECTION
COMMITTEES
To establish a committee or committees (designated committees) to assist in
carrying out the functions of the CEO
Subsection 30 (1)
To dissolve a designated committee at any time
Subsection 30 (2)
Give directions to a designated committee
Subsection 31 (2)
Appoint members to a designated committee, including a Chair
Subsections 32 (1) and (3)
Determine the terms and conditions, including termination of a member
Subsections 33 (1), (2) and (4)
CHIEF EXECUTIVE OFFICER
To direct the CEO about the performance of the CEO’s functions
Subsection 33C (1)
To appoint a CEO by written instrument for the period specified in the
instrument. That period must not exceed 5 years
Subsection 34 (1)
May appoint a person to act as the CEO during a vacancy in the office of the
CEO or during any period when the CEO is absent from duty, or from
Australia, or is for any reason unable to perform the duties of the office
Subsection 35 (1)
May approve a CEO’s need to engage paid employment outside of the ARC
Subsection 38 (1)
May at any time, in writing, terminate the appointment of the CEO
Subsection 38 (3)
To accept the CEO’s written resignation
Subsection 40
STRATEGIC PLAN
May or may not approve the strategic plan prepared by the CEO
Subsection 43 (1)
Can give the strategic plan back to the CEO with a written request, to revise
the plan to take account of specified concerns of the Minister
Subsection 43 (1)(b)
Must cause a copy of the approved strategic plan to be laid before each
House of the Parliament within 15 days of that House after approval
Subsection 43 (3)
To approve a variation to the strategic plan
Subsection 44 (3)
Must cause a copy of a varied strategic plan to be laid before each House of
the Parliament within 15 days of that House after approval
Subsection 44 (2)
ANNUAL REPORT
POWER
SECTION
May, by notice in writing, ask the CEO to deal with matters in the annual report
Subsection 46 (1)(b)
Must cause a copy of the report to be laid before each House of Parliament
within 15 sitting days of that House after the day on which the Minister
receives the report
Subsection 46 (3)
FUNDING
To determine the funding cap between different categories of research
programs
Subsection 50 (1)
In writing, can vary a determination for a year as long as it still complies with
subsection (1)
Subsection 50 (3)
The Minister may, in a single instrument, make a determination covering two
or more years
Subsection 50 (4)
To approve a proposal for expenditure by an organisation on a research
program as a proposal deserving financial assistance
Subsection 51 (1)
To determine an amount as the estimated total annual expenditure and an
amount of approved expenditure
Subsection 51 (2)
Cause a copy of the determinations to be laid before each House of the
Parliament within 15 sitting days of that House after the day on which the
determination is made
Subsection 51 (3)
In deciding what proposals to approve under subsection 51(1), the Minister
may (but is not required) rely solely on recommendations made by the CEO
under subsection 1 of this section
Subsection 52 (4)
Financial assistance is paid in such amounts, and at such times, as the
Minister determines
Subsection 55 (4)
May, in writing, vary a funding approval as provided for in the governing
funding rules
Subsection 54 (1)
May make arrangements for the making of advances to an organisation, by
way of financial assistance to the organisation, on account of an amount that
is expected to become payable in respect of a research program and a year to
which this division applies
Subsection 56 (1)
May report whether the organisation fails to fulfil a condition applicable to the
financial assistance, the organisation will pay to the Commonwealth the
amount specified, not exceeding the amount of the financial assistance
Subsection 58 (1)(c)
FUNDING RULES
To approve funding rules under section 60
Subsection 60 (1)
May request the CEO to give him/her a revised set of rules
Subsection 60 (2)
To approve a varied set of rules
Subsection 61 (2)
RESEARCH ENDOWMENT FUND
May approve expenditure by the CEO for funding assistance from the
Research Endowment Fund
Subsection 64 (1)(b)
May approve terms and conditions of the funding assistance
Subsection 65
POWER
SECTION
MISCELLANEOUS
May delegate all or any of her/his powers or functions to the CEO or a
member of ARC staff
Subsection 66 (1)
APPENDIX 6:
MEMBERSHIP OF
COMMITTEES
GOVERNANCE
ARC Advisory Council
Table A6.1: ARC Advisory Council, 2011–12
MEMBER
DATE OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
Professor M Sheil, Australian Research Council (Chair)
18/12/2007
25/04/2012
Professor P Buckskin, David Unaipon College of Indigenous Education
& Research, University of South Australia
01/01/2011
31/12/2012
Professor S Garton, The University of Sydney
01/01/2011
31/12/2012
Professor M Harding, The Australian National University
01/01/2011
31/12/2012
Professor P Johnson, The University of Western Australia
01/01/2011
31/12/2012
Professor A Lawson, University of Wollongong
01/01/2011
31/12/2012
Professor I Young, The Australian National University
01/01/2010
31/12/2012
Professor R Owens, The University of Western Australia
01/01/2010
31/12/2011
Professor Emeritus D Siddle, The University of Queensland
01/01/2010
31/12/2011
DATE OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
Mr P Kennedy, External (Chair)
1/01/2010
30/09/2012
Mr B Burmester, External
1/10/2010
30/09/2012
21/08/2008
31/12/2011
Ms L Harvey, Australian Research Council
-/02/2009
30/06/2013
Ms T Leahey, Australian Research Council
10/04/2012
30/06/2013
Mr S Sedgley, Australian Research Council
-/02/2009
30/06/2013
ARC Audit Committee
Table A6.2: ARC Audit Committee, 2011–12
MEMBER
Dr B Hart, External
Other ARC Governance Committees
Table A6.3: Other ARC governance committees, 2011–12
COMMITTEE
MEMBERSHIP
Senior Management Group
Nine members comprising the CEO (Chair); other Executive staff; Chief
Financial Officer; Directors (People and Services, Policy Coordination
and Governance and Stakeholder Relations).
Strategic Budget and Human
Resources Committee
Five members comprising the CEO (Chair); Executive General
Manager; Deputy CEO; Chief Financial Officer and Director, People
and Services. Observers may be invited to assist the Committee on
matters under consideration.
Salary Review Committee
Four members comprising the Executive General Manager (Chair); an
Executive Director; Branch Manager, Strategy and Programs
and Director, People and Services.
Work Health and Safety Committee
Four members comprising the Director, People and Services (Chair);
the Health and Safety Representative; Deputy Health and Safety
Representative; and the Facilities Manager. While guests may be
invited to assist the committee on matters under consideration, they do
not form part of the ongoing committee membership.
People Management and Development
Committee
Six members comprising the Executive General Manager (Chair);
Director, People and Services; and four self-nominated staff
representatives. The committee can invite two additional employee
representatives to attend meetings.
ICT Governance Committee
Three members comprising the Executive General Manager; Chief
Information Officer; and Executive Director, Physical, Mathematical and
Information Sciences. The Committee may invite guests to attend as
required.
ARC Security Committee
Four members comprising the Executive General Manager (Chair);
Chief Information Officer; Director, People and Services and IT
Security Adviser.
NATIONAL COMPETITIVE GRANTS PROGRAM
ARC Appeals Committee
Table A6.4: ARC Appeals Committee, 2011–12
MEMBER
YEAR OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
Professor P Sheehan AO (Chair 2011–13)
2008
31/12/2013
Emeritus Professor R MacDonald
2008
31/12/2013
Professor M Poole
2011
31/12/2013
ARC College
Table A6.5: ARC College, 2011–12
PANEL; MEMBER; INSTITUTION
YEAR OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
Professor M Bellgard, Murdoch University
2012
31/12/2014
Associate Professor K Belov, The University of Sydney (Chair 2012)
2011
31/12/2013
Professor M Bull, The Flinders University of South Australia
2009
31/12/2011
Professor J Cairney, University of Western Sydney
2011
31/12/2013
Professor S Collin, The University of Western Australia
2010
31/12/2012
Professor B Degnan, The University of Queensland
2009
31/12/2011
Professor C Dickman, The University of Sydney
2011
31/12/2013
Professor A Dulhunty, The Australian National University
2012
31/12/2014
Professor D Eamus, University of Technology, Sydney
2010
31/12/2011
Professor G Egan, Monash University
2011
31/12/2013
Dr W Gerlach, self-employed
2011
31/12/2013
Professor L Griffiths, Griffith University
2012
31/12/2014
Professor R Henry, Southern Cross University
2010
31/12/2012
Professor D Hutmacher, Queensland Institute of Technology
2010
31/12/2012
Professor K Jones, The University of Newcastle
2009
31/12/2011
Dr A Koltunow, The University of Adelaide
2010
31/12/2012
Associate Professor J Luck, CRC Plant Biosecurity
2011
31/12/2013
Professor J Martin, The University of Queensland (Chair 2011)
2009
31/12/2011
Associate Professor J Mitchell, The Flinders University of South Australia
2012
31/12/2014
Professor H Nevalainen, Macquarie University
2009
31/12/2011
from 19/3/2012
31/12/2012
Professor G Otting, The Australian National University
2011
31/12/2013
Professor M Sleeman, Monash University
2012
31/12/2014
BIOLOGICAL SCIENCES AND BIOTECHNOLOGY
Professor P Newsholme, Curtin University of Technology
ENGINEERING, MATHEMATICS AND INFORMATICS
PANEL; MEMBER; INSTITUTION
YEAR OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
Professor S Armfield, The University of Sydney
2012
31/12/2014
Professor J Armstrong, Monash University
2012
31/12/2014
Professor H Bachor, The Australian National University
2010
31/12/2012
Professor J Bell, Queensland University of Technology
2012
31/12/2014
Professor M Biggs, The University of Adelaide
2010
31/12/2012
Professor S Bouzerdoum, University of Wollongong
2009
31/12/2011
Professor M Bradford, The University of New South Wales
2010
31/12/2012
Winthrop Professor M Cassidy, The University of Western Australia
(Chair 2012)
2011
31/12/2013
Professor M Forsyth, Deakin University
2009
31/12/2011
Professor V Gaitsgory, University of South Australia
2010
31/12/2012
Professor J Keller, The University of Queensland
2011
31/12/2013
Professor J Lloyd, The Australian National University
2011
31/12/2013
Professor A Lucey, Curtin University of Technology
2012
31/12/2014
Professor I Marusic, The University of Melbourne (Chair 2011)
2009
31/12/2011
Professor B Ninness, The University of Newcastle
2011
31/12/2013
Professor L Padgham, RMIT University
2009
31/12/2011
Winthrop Professor C Praeger, The University of Western Australia
2011
31/12/2013
Professor J Ramagge, University of Wollongong
2010
31/12/2012
Professor V Sahajwalla, The University of New South Wales
2011
31/12/2013
Professor M Sanderson, RMIT University
2012
31/12/2014
Professor C Standing, Edith Cowan University
2011
31/12/2013
Professor L Sterling, Swinburne University of Technology
2012
31/12/2014
Dr G Steven, Strand7 Pty Ltd
2009
31/12/2011
Professor V Varadharajan, Macquarie University
2011
31/12/2013
Professor B Vucetic, The University of Sydney
2009
31/12/2011
Professor C Zhang, University of Technology, Sydney
2012
31/12/2014
HUMANITIES AND CREATIVE ARTS
PANEL; MEMBER; INSTITUTION
YEAR OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
Professor J Bennett, The University of New South Wales
2010
31/12/2012
Professor A Corn, The Australian National University
2012
31/12/2014
Professor M Davies, The Flinders University of South Australia
(Chair 2011)
2010
31/12/2012
Professor J Hartley, Queensland University of Technology
2011
31/12/2013
Professor K Howard, The University of Sydney
2010
31/12/2011
Professor M Jolly, The Australian National University
2010
31/12/2011
Professor S Kaji-O’Grady, The University of Sydney
2011
31/12/2013
Professor M Macintyre, The University of Melbourne
2012
31/12/2014
Professor C Mackenzie, Macquarie University (Chair 2012)
2010
31/12/2012
Professor G Mackenzie, Bond University
2012
31/12/2014
Professor J Maynard, The University of Newcastle
2010
31/12/2012
Professor C Mews, Monash University
2009
31/12/2011
Professor Pauline Nestor, Monash University
2012
31/12/2014
Professor S O’Connor, The Australian National University
2012
31/12/2014
Professor G Sluga, The University of Sydney
2011
31/12/2013
Associate Professor C Smith, The Flinders University of South Australia
2009
31/12/2011
Professor J Tompkins, The University of Queensland
2011
31/12/2013
Professor G Wigglesworth, The University of Melbourne
2011
31/12/2013
Professor A Abell, The University of Adelaide
2011
31/12/2013
Associate J Beck, University of Wollongong (Chair 2012)
2010
31/12/2012
from 9/2/2009
31/12/2011
Professor I Bray, Curtin University of Technology
2009
31/12/2011
Professor W Couch, Swinburne University of Technology
2010
31/12/2012
Professor S Dou, University of Wollongong
2012
31/12/2014
Dr P Fraser, CSIRO
2012
31/12/2014
Professor K Grice, Curtin University of Technology
2009
31/12/2011
PHYSICS, CHEMISTRY AND EARTH SCIENCES
Professor P Bouwknegt, The Australian National University
PANEL; MEMBER; INSTITUTION
YEAR OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
from 6/5/2009
31/12/2011
Professor A Hamilton, The University of New South Wales
2009
31/12/2011
Dr A Hill, CSIRO
2010
31/12/2011
Professor T Ireland, The Australian National University
2010
31/12/2012
Professor G Ivey, The University of Western Australia
2010
31/12/2012
Professor D Jamieson, The University of Melbourne
2012
31/12/2014
Professor I McArthur, The University of Western Australia
2010
31/12/2012
Professor N McClure-Griffiths, CSIRO
2012
31/12/2014
Professor L Moresi, Monash University
2012
31/12/2014
Associate Professor S Perrier, The University of Sydney
2011
31/12/2013
Professor M Sandiford, The University of Melbourne
2009
31/12/2011
Professor L Sullivan, Southern Cross University
2012
31/12/2014
Professor A Williams, The University of Adelaide
2012
31/12/2014
Professor H Wiseman, Griffith University
2012
31/12/2014
Professor B Yates, University of Tasmania (Chair 2011)
2010
31/12/2012
from 21/6/2009
31/12/2011
Professor L Adkins, The University of Newcastle
2011
31/12/2013
Professor B Barber, Murdoch University
2010
31/12/2012
Professor J Baxter, The University of Queensland
2012
31/12/2014
Professor A Beer, The University of Adelaide
2012
31/12/2014
Professor M Bell, The University of Queensland
2009
31/12/2011
Professor B Byrne, The University of New England
2010
31/12/2012
Professor M Dungey, University of Tasmania
2011
31/12/2013
Professor P Fairbrother, RMIT University
2011
31/12/2013
Professor L Given, Charles Sturt University
2012
31/12/2014
Professor M Goot, Macquarie University
2011
31/12/2011
Professor B Head, The University of Queensland
2012
31/12/2014
Professor R Griffiths, The Australian National University
Professor C Zhang, University of Wollongong
SOCIAL, BEHAVIOURAL AND ECONOMIC SCIENCES
PANEL; MEMBER; INSTITUTION
YEAR OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
Professor E Kendall, Griffith University (Chair 2011 and 2012)
2010
31/12/2012
Professor C Kulik, University of South Australia
2010
31/12/2012
Professor L Lockyer, University of Wollongong
2011
31/12/2013
Professor P Lovibond, The University of New South Wales
2009
31/12/2011
from 1/7/2011
31/12/2014
Professor L Mazerolle, The University of Queensland
2010
31/12/2011
Professor V Minichiello, The University of New England
2009
31/12/2011
Professor J Piggott, The University of New South Wales
2009
31/12/2011
Professor D Schofield, The University of Sydney
2012
31/12/2014
Professor T Smith, The Australian National University
2010
31/12/2012
Professor K Stacey, The University of Melbourne
2009
31/12/2011
Professor G Venville, The University of Western Australia
2012
31/12/2014
YEAR OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
Professor S Bouzerdoum, University of Wollongong
2012
31/12/2012
Professor S Donald, The University of New South Wales (Chair, 2012)
2011
31/12/2012
Professor B Lewis, The Australian National University
2011
31/12/2011
Professor M Olsson, University of Wollongong (Chair, 2011)
2010
31/12/2011
Professor L Spiccia, Monash University
2012
31/12/2012
Professor T Lowrie, Charles Sturt University
ARC Scrutiny Committee
Table A6.6: ARC Scrutiny Committee, 2011–12
MEMBER, INSTITUTION
ARC Selection Advisory Committees (NCGP)
Table A6.7: Australian Laureate Fellowships Selection Advisory Committee (SAC), 2012
MEMBER; INSTITUTION
FOR FUNDING
COMMENCING IN
Professor L Astheimer, Deakin University (Chair)
2012
Professor M Bailes, Swinburne University of Technology
2012
MEMBER; INSTITUTION
FOR FUNDING
COMMENCING IN
Professor F Baum, The Flinders University of South Australia
2012
Professor M Dasgupta, The Australian National University
2012
Professor M England, The University of New South Wales
2012
Professor M Finnane, Griffith University
2012
Professor S Garton, The University of Sydney
2012
Professor P Goodyear, The University of Sydney
2012
Professor A Hurn, Queensland University of Technology
2012
Professor M Johnson, Macquarie University
2012
Professor J Martin, The University of Queensland
2012
Professor P Mulvaney, The University of Melbourne
2012
Professor J Ramagge, University of Wollongong
2012
Professor M Renfree, The University of Melbourne
2012
Professor B Uy, University of Western Sydney
2012
Professor G Wallace, University of Wollongong
2012
Professor M Westoby, Macquarie University
2012
Professor G Whitlock, The University of Queensland
2012
Table A6.8: Future Fellowships SAC, 2011
PANEL; MEMBER; INSTITUTION
FOR FUNDING
COMMENCING IN
BIOLOGICAL SCIENCES, BIOTECHNOLOGY, ENVIRONMENTAL, MEDICAL AND HEALTH SCIENCES
Professor M Barton, University of South Australia
2011
Professor M Bellgard, Murdoch University
2011
Professor P Bhalla, The University of Melbourne
2011
Professor S Crozier, The University of Queensland
2011
Professor L Griffiths, Griffith University
2011
Professor W Heath, The University of Melbourne
2011
Professor C Johnson, University of Tasmania
2011
PANEL; MEMBER; INSTITUTION
FOR FUNDING
COMMENCING IN
Professor S Meikle, The University of Sydney
2011
Professor B Neilan, The University of New South Wales
2011
Professor P Ralph, University of Technology, Sydney
2011
Professor M Renfree, The University of Melbourne
2011
Professor M Rosa, Monash University (Chair)
2011
Dr E Roughead, University of South Australia
2011
Dr E Scarr, The University of Melbourne
2011
Professor W Stock, Edith Cowan University
2011
HUMANITIES AND CREATIVE ARTS, SOCIAL, BEHAVIOURAL AND ECONOMIC SCIENCES
Professor N Anderson, James Cook University
2011
Professor Dr N Aroney, The University of Queensland
2011
Professor R Bailie, Charles Darwin University
2011
Professor F Baum, The Flinders University of South Australia (Chair)
2011
Professor R Bryan, The University of Sydney
2011
Professor E Carson, University of South Australia
2011
Professor A Cranny-Francis, University of Technology, Sydney
2011
Professor B Head, The University of Queensland
2011
Dr J Lydon, Monash University
2011
Professor V Mackie, University of Wollongong
2011
Associate Professor H Maxwell-Stewart, University of Tasmania
2011
Professor M McKenzie, The University of Sydney
2011
Professor S Muecke, The University of New South Wales
2011
Professor S Roach Anleu, The Flinders University of South Australia
2011
PHYSICAL, MATHEMATICAL AND INFORMATION SCIENCES AND ENGINEERING
Professor J Bell, Queensland University of Technology
2011
Professor J Bland-Hawthorn, The University of Sydney
2011
Professor J Carter, The University of Newcastle (Chair)
2011
Associate Professor M Coote, The Australian National University
2011
PANEL; MEMBER; INSTITUTION
FOR FUNDING
COMMENCING IN
Professor P Koy Lam, The Australian National University
2011
Dr K Meissner, The University of New South Wales
2011
Professor D Nesic, The University of Melbourne
2011
Professor S O’Reilly, Macquarie University
2011
Professor K Ostrikov, CSIRO
2011
Professor E Sonenberg, The University of Melbourne
2011
Dr T Tian, Monash University
2011
Professor S Tingay, Curtin University of Technology
2011
Professor A Vinu, The University of Queensland
2011
Professor G Wallace, University of Wollongong
2011
Professor H Wang, Monash University
2011
Professor X Zhou, The University of Queensland
2011
Table A6.9: Synchrotron SAC, 2012
MEMBER; INSTITUTION
FOR FUNDING
COMMENCING IN
Dr L Dan, Australian Research Council (Chair)
2012
Ms V Hart, National Health and Medical Research Council
2012
Dr T Powell, STIR Science Services
2012
EXCELLENCE IN RESEARCH FOR AUSTRALIA
Research Evaluation Committees
Table A6.10: ERA 2012 Research Evaluation Committees
PANEL; MEMBER
INSTITUTION
PHYSICAL, CHEMICAL AND EARTH SCIENCES
Professor R Vincent (Chair)
The University of Adelaide
Professor M Banwell
The Australian National University
Professor N Barnett
Deakin University
Professor P Bouwknegt
The Australian National University
Professor M Brunger
The Flinders University of South Australia
Professor A Chivas
University of Wollongong
Professor K Ghiggino
The University of Melbourne
Professor A Green
The University of Sydney
Professor M Humphrey
The Australian National University
Professor M Kennedy
The University of Adelaide
Professor B Messerle
The University of New South Wales
Professor J O’Connor
The University of Newcastle
Professor S O’Reilly
Macquarie University
Professor T Ralph
The University of Queensland
Professor N Tapper
Monash University
Professor M Tobar
The University of Western Australia
Associate Professor E Wanless
The University of Newcastle
Dr K Watson
The University of Melbourne
HUMANITIES AND CREATIVE ARTS
Professor J Damousi (Chair)
The University of Melbourne
Professor M Burry
RMIT University
Professor C Cole
The University of Wollongong
Professor S Crain
Macquarie University
Professor J Davidson
The University of Western Australia
Professor S H Donald
The University of New South Wales
PANEL; MEMBER
INSTITUTION
Professor T Flew
Queensland University of Technology
Professor D Frankel
La Trobe University
Professor N Frankham
University of Tasmania
Professor J Gascoigne
The University of New South Wales
Professor P Griffiths
The University of Sydney
Professor B Hodge
University of Western Sydney
Professor A Liddicoat
University of South Australia
Professor J Macarthur
The University of Queensland
Professor M Möllering
Macquarie University
Professor G Oppy
Monash University
Professor D Prasad
The University of New South Wales
Professor C Rhodes
The University of Sydney
Professor I Richards
University of South Australia
Professor J Riley
The University of Sydney
Professor P Tait
La Trobe University
Professor V L Taylor
The Australian National University
Professor G Whitlock
The University of Queensland
ENGINEERING AND ENVIRONMENTAL SCIENCES
Professor R Amal (Chair)
The University of New South Wales
Professor G Alici
University of Wollongong
Professor S Bhatia
The University of Queensland
Professor J Carter
The University of Newcastle
Professor F Caruso
The University of Melbourne
Professor I Cosic
RMIT University
Professor B Falzon
Monash University
Professor M James
The Australian National University
Professor K Kwok
University of Western Sydney
Professor A McBratney
The University of Sydney
Professor R Minasian
The University of Sydney
PANEL; MEMBER
INSTITUTION
Professor H Nguyen
University of Technology, Sydney
Professor J Patterson
The University of Sydney
Professor Z Rengel
The University of Western Australia
Professor Z Xu
Griffith University
W/Professor D Zhang
The University of Western Australia
EDUCATION AND HUMAN SOCIETY
Professor M Western (Chair)
The University of Queensland
Professor D Berthelsen
Queensland University of Technology
Professor S Billett
Griffith University
Professor J Brett
La Trobe University
Professor J Chan
The University of New South Wales
Professor F Devine
The University of Manchester, UK
Professor C Diezmann
Queensland University of Technology
Professor S Dinham
The University of Melbourne
Professor J J Fox
The Australian National University
Professor B Fraser
Curtin University of Technology
Professor G Gill
The University of Sydney
Professor M Goos
The University of Queensland
Professor J Gray
The University of Adelaide
Professor P Harris
University of South Australia
Professor L Head
University of Wollongong
Professor R Homel
Griffith University
Professor S Webb
The University of Newcastle
Professor A Welch
The University of Sydney
Professor C Wyatt-Smith
Griffith University
Professor N Yelland
Victoria University
ECONOMICS AND COMMERCE
Professor K Langfield-Smith (Chair)
Monash University
Professor S Benn
University of Technology, Sydney
PANEL; MEMBER
INSTITUTION
Professor J Borland
The University of Melbourne
Professor V Callan
The University of Queensland
Professor E Cowley
The University of Sydney
Professor C Edwards
Kingston University London, UK
Professor D Grant
The University of Sydney
Professor S Grant
The University of Queensland
Professor R Heaney
The University of Western Australia
E/Professor R Layton
The University of New South Wales
Professor A O’Cass
University of Tasmania
Professor R Pomfret
The University of Adelaide
Professor D S P Rao
The University of Queensland
Professor G Soutar
The University of Western Australia
Professor K Trotman
The University of New South Wales
Professor S Ville
University of Wollongong
MATHEMATICS, INFORMATION AND COMPUTING SCIENCE
Professor M A Williams (Chair)
University of Technology, Sydney
Professor V Anh
Queensland University of Technology
Professor J Borwein
The University of Newcastle
Professor P Corke
Queensland University of Technology
Professor E N Dancer
The University of Sydney
Professor P Forrester
The University of Melbourne
Professor D G Green
Monash University
Professor J Grundy
Swinburne University of Technology
Professor J Hu
The University of New South Wales
Professor J Hunter
The University of Queensland
Professor M Papazoglou
Tilburg University, The Netherlands
Professor I Shparlinski
Macquarie University
Professor S Simoff
The University of Western Sydney
Professor M Stumptner
University of South Australia
PANEL; MEMBER
INSTITUTION
Professor W Susilo
University of Wollongong
Professor A Welsh
The Australian National University
BIOLOGICAL AND BIOTECHNOLOGICAL SCIENCES
Professor J Schwartz (Chair)
Griffith University
Professor R Coppel
Monash University
Professor A Elizur
University of the Sunshine Coast
Professor N Enright
Murdoch University
Professor F Geiser
The University of New England
Professor W Hein
James Cook University
Professor N Hoogenraad
La Trobe University
Professor K Jones
The University of Newcastle
Professor G King
Southern Cross University
Professor H Lambers
The University of Western Australia
Professor D Lambert
Griffith University
Professor R Leigh
The University of Adelaide
Professor E Mackie
The University of Melbourne
Professor B Nowak
University of Tasmania
Professor P Timms
Queensland University of Technology
Professor H Wallace
University of the Sunshine Coast
MEDICAL AND HEALTH SCIENCES
Professor H Barrett (Chair)
The University of Western Australia
Professor L Brown
University of Southern Queensland
Professor A Castles
Macquarie University
Professor P Davidson
University of Technology Sydney
Professor G Davis
The University of Sydney
Associate Professor K Denton
Monash University
Professor P Foster
The University of Newcastle
Professor N Johnson
Griffith University
Professor C Jones
The University of Sydney
PANEL; MEMBER
INSTITUTION
Professor B Kent
Deakin University
Professor S Killcross
The University of New South Wales
Professor C Levi
The University of Newcastle
Professor O Lipp
The University of Queensland
Professor J Lynch
The University of Adelaide/University of Bristol, UK
Professor V Macefield
University of Western Sydney
Professor H Morris
University of South Australia
Professor C Saunders
The University of Western Australia
Professor A Somogyi
The University of Adelaide
Professor T Sorrell
The University of Sydney
Professor L Tapsell
University of Wollongong
Professor R Widdop
Monash University
Professor J Wood
Queensland University of Technology
OTHER
Australian Research Integrity Committee
Table A6.11: Australian Research Integrity Committee
MEMBER
YEAR OF
APPOINTMENT
EXPIRY OF
APPOINTMENT
Mr R Brent (Chair)
2011
2013
Dr K Breen
2011
2013
Ms J Hamblin
2011
2013
Emeritus Professor S Shaver
2011
2013
APPENDIX 7:
CLIENT SERVICE CHARTER
Table A7.1: Summary of performance against the ARC client service charter, 2011–12
STANDARD
PERFORMANCE
COMMUNICATION
In our dealings with you we will:
– be courteous;
– treat you fairly and professionally;
provide timely advice that is clear, concise, accurate
and complete;
– keep any confidential information provided to us as in
confidence except where disclosure is required by
law.
The ARC did not receive any general complaints in
relation to the communication standards set out in the
client service charter.
If you phone use we will:
– answer phone calls promptly during normal business
hours and identify ourselves; and
– aim to resolve your enquiry during the call or if we
can’t take your details and arrange for the
appropriate person to return your call as soon
as possible.
The ARC did not receive any general complaints
in relation to answering and/or resolving phone
call queries.
If you write to us we will:
– for simple requests, aim to respond to you within ten
working days; and
– for more complex inquiries, aim to respond within 20
working days.
The ARC did not receive any general complaints in
relation to response times to written requests.
ADMINISTRATION OF NCGP
We will make available on our website accurate advice
and information about our funding schemes.
The ARC website contains extensive information about
NCGP funding schemes.
We will promote equitable access to our schemes and
services.
NCGP funding rules aim to provide equitable access to
funding for eligible researchers.
We will act fairly, in accordance with our published
guidelines, criteria, regulations or legislation.
NCGP funding rules make provision for an appeals
process, whereby appeals will be considered against
administrative process issues.
We will, when reviewing funding schemes and scheme
funding rules, consult widely and provide reasonable
timeframes for consultation with interested parties.
In 2011–12 the ARC has consulted relevant
stakeholders when reviewing and developing NCGP
schemes including the Industrial Transformation
Research Program, Linkage Infrastructure, Equipment
and Facilities scheme, Science of Learning Research
Centre and Aboriginal and Torres Strait Islander
Researchers’ Network.
ADMINISTRATION OF ERA
We will make available on our website accurate advice
The ARC website contains extensive information about
STANDARD
PERFORMANCE
and information about the initiative.
the ERA initiative.
We will act fairly in accordance with our published
guidelines.
The ARC did not receive any general complaints in
relation to the administration of ERA.
We will, when reviewing ERA policy and processes,
consult widely and provide reasonable timeframes for
consultation.
Three ERA consultations were undertaken in 2011–12
with feedback informing the development of the rules
and documentation for ERA 2012.
POLICY ADVICE
We will consult with appropriate parties to ensure the
views of all stakeholders are properly considered.
Where appropriate the ARC has consulted
stakeholders when developing policy advice.
We will ensure policy decisions are evidence based.
Wherever possible the ARC analyses collected data to
inform policy decisions.
We will provide a reasonable timeframe for comments.
The ARC did not receive any general complaints in
relation to timeframes provided when seeking
comments.
We will provide information about our decision.
Where appropriate the ARC provides information about
decisions to stakeholders directly or by publishing on
the ARC website.
ONLINE SERVICES
We will aim to have the ARC website accessible at
least 98 per cent of the time. There may be times when
it is not accessible due to technical upgrades or
scheduled maintenance. The ARC will endeavour to
keep down times to a minimum.
The ARC website was available greater than
98 per cent of the time during 2011–12.
PRIVACY
We will respect the confidentiality of your personal
information and use it only in accordance with the law.
We will give you access to your personal information if
you request it.
The ARC has clearly defined procedures for dealing
with personal information gathered as part of the
agency’s responsibilities for the NCGP and ERA.
APPENDIX 8:
WORK HEALTH AND SAFETY
Under the Work Health and Safety Act 2011 (WHS Act) the ARC is required to report in its annual report on
the following matters:
(a) initiatives taken during the year to ensure the health, safety and welfare of workers who carry out work for
the ARC;
(b) health and safety outcomes achieved as a result of the initiatives mentioned;
(c) statistics of any notifiable incidents of which the ARC became aware during the year that arose out of the
conduct of businesses or undertakings by the agency;
(d) any investigations conducted during the year that related to businesses or undertakings conducted by the
ARC, including details of all notices given to the entity during the year under Part 10 of the WHS Act; and
(e) such other matters as are required by the guidelines approved on behalf of the Parliament by the Joint
Committee of Public Accounts and Audit.
HEALTH AND SAFETY INITIATIVES
During the year the ARC undertook a range of initiatives in preparation for commencement of the WHS Act.
Chapter 10 provides further details. The ARC held Work Health and Safety Committee meetings and
continued to provide:
> first aid training to nominated first aid officers within the ARC;
> employer-subsidised eyesight testing for screen-based work;
> training for fire wardens and health and safety representatives;
> influenza vaccinations to employees and contractors; and
> workstation assessments.
HEALTH AND SAFETY OUTCOMES
Four incidents were reported to the Director, People and Services, in accordance with the department’s
incident notification and reporting procedures.
NOTIFIABLE INCIDENTS
Under the WHS Act, a notifiable incident is one involving death of a person, serious injury or illness of a
person, or a dangerous incident. The ARC had no notifiable incidents during 2011–12.
INVESTIGATIONS INCLUDING DETAILS OF ALL NOTICES
Under the WHS Act, improvement, prohibition or non-disturbance notices may be issued to the agency. The
ARC was not issued with any notices and there were no investigations undertaken during 2011–12.
ANY OTHER MATTERS
There are no other matters required by the guidelines.
APPENDIX 9:
ADVERTISING AND
MARKET RESEARCH
Under section 311(a) of the Commonwealth Electoral Act 1918 agencies are required to report in their
annual report on payments made to advertising agencies, market research organisations, polling
organisations, direct mail organisations and media advertising organisations.
In 2011–12 the ARC paid a total of $32 706 to Adcorp Australia Ltd, $3086 to the Australian Public Service
Commission, $700 to the National Web Directory Pty Ltd and $500 to Uni Jobs – CBT Corp Pty Ltd for
advertising costs. The advertising was undertaken to promote the ARC, advertise ARC programs and to
recruit employees.
No advertising campaigns were undertaken by the ARC during 2011–2012. The ARC did not employ the
services of market research, polling or direct mail organisations during the year.
APPENDIX 10:
ECOLOGICALLY
SUSTAINABLE
DEVELOPMENT
This report on ecologically sustainable development and environmental matters is provided in accordance
with section 516(a) of the Environment Protection and Biodiversity Conservation Act 1999.
ACCORDANCE OF THE ACTIVITIES OF THE ORGANISATION
AND THE ADMINISTRATION OF LEGISLATION BY THE
ORGANISATION WITH THE PRINCIPLES OF ECOLOGICALLY
SUSTAINABLE DEVELOPMENT
The NCGP provides funding for all disciplines including research relevant to ecologically sustainable
development and environmental protection.
‘An environmentally sustainable Australia’ is one of the four national research priorities of the Australian
Government.
A summary of research projects with funding commencing in 2011–12 in the area of an environmentally
sustainable Australia is provided in Table A10.1.
CONTRIBUTION OF THE OUTCOMES SPECIFIED IN A
RELEVANT APPROPRIATION ACT TO ECOLOGICALLY
SUSTAINABLE DEVELOPMENT
The ARC receives its administered funding through an appropriation in the Australian Research Council
Act 2001. This funding is reported in the PBS under a single outcome: Growth of knowledge and innovation
through managing research funding schemes, measuring research excellence and providing advice.
Under the NCGP the ARC supports a research capability that addresses issues of national significance
including health, social welfare, defence, transport, communications, and the environment.
EFFECT OF THE ARC’S ACTIVITIES ON THE ENVIRONMENT
As indicated in Table A10.1, under the NCGP the ARC supports a broad range of research relevant to
ecologically sustainable development. The research outcomes will benefit Australians by increasing
understanding of, and offering solutions to, problems such as the efficient and sustainable use of finite
resources.
The ARC recognises its daily activities have a negative impact on the environment through the use of
electricity, vehicles, water, paper and other materials, and the generation of waste. Measures to minimise
such impact are outlined below.
Table A10.1: New ARC-funded research projects in the area of an environmentally sustainable Australia,
funding commencing in 2011–12
SCHEME
Australian Laureate
Fellowships 2011
PROJECTS (NO.)
AND % OF TOTAL
TOTAL FUNDING
($) AND % OF
TOTAL
2
5 199 883
17
44 516 902
11.8
11.7
42
30 310 816
Total funded proposals
203
144 342 673
Environment as % of total
20.7
21.0
Environment proposals funded
141
46 269 307
Total funded proposals
778
236 837 254
Environment as % of total
18.1
19.5
Environment proposals funded
102
35 843 983
Total funded proposals
370
110 182 704
Environment as % of total
27.6
32.5
Environment proposals funded
16
5 744 078
Total funded proposals
77
28 300 078
20.8
20.3
8
5 289 600
21
13 920 000
38.1
38
Environment proposals funded
Total funded proposals
Environment as % of total
ARC Future Fellowships 2011
Discovery Projects 2012
Linkage Projects 2011 (Rd 2)
and 2012 (Rd 1)
Linkage Infrastructure,
Equipment and Facilities 2012
Environment proposals funded
Environment as % of total
Super Science
Fellowships 2011*
Environment proposals funded
Total funded proposals
Environment as % of total
* The data for Super Science Fellowships refers only to Round 2 Projects for funding commencing in 2011. It refers to the number of
projects awarded rather than the number of fellowships.
MEASURES BEING TAKEN TO MINIMISE THE IMPACT OF THE
ARC’S ACTIVITIES ON THE ENVIRONMENT
Building
The ARC leases office space in 11 Lancaster Place Majura Park, Canberra. Majura Park houses one of the
largest tri-generation plants in Australia. Tri-generation is a process wherein natural gas is used as the single
input source of energy to generate electricity. Excess energy that would have been lost during the production
of electricity is used to heat the buildings in winter and cool them in summer.
In addition to producing three forms of energy, tri-generation provides efficiencies of 90 per cent. This far
surpasses the Commonwealth Green Lease Requirement of 4.5 Star NABERS (The National Australian
Building Environment Rating System). It also equates to less than half the carbon dioxide emissions of a 5
Star NABERS building.
In 2011–12 ARC staff participated in the ‘Earth Hour 2012’ initiative held on 31 March 2012 by switching off
computers and other electrical appliances. Staff were asked not to enter ARC offices during this period. The
initiative aimed to raise awareness about energy usage.
ICT services
In 2011–12 the ARC made significant ICT infrastructure changes through the in‑sourcing of all ICT services.
Changes to the ARC server, storage, network, desktop and application delivery and management have all
contributed to the overall sustainability and greening of ICT within the ARC.
The Australian Government ICT Sustainability Plan provides target guidelines for agencies to measure
against over the five-year plan. The ARC has exceeded the mid-point targets and in some cases has also
exceeded the year five targets for sustainability. This has been achieved through awareness of products and
services that not only help the agency meet these targets but also return financial savings to the agency.
In terms of the Summary Measures of the ICT Sustainability Plan the ARC can record the following
achievements.
Sustainable procurement
The ARC is using approved procurement practices introduced from July 2012 and has recently introduced
the use of 50 per cent recycled office copy and print paper. All hardware purchased during the desktop
refresh in 2011–12 had gold certification from EPEAT (the global registry for greener electronics), meaning
that it met all required environmental criteria plus more than 75 per cent of optional criteria.
Table A10.2: Managing resource consumption and demand
TARGET
CONSUMPTION
13
10
Desktop computers to printer ratio
14:1
16:1
Desktop devices per end user
1.4:1
1.12:1
Internal copy paper per end user (reams per annum)
Managing eWaste
In relation to e-waste reused or recycle – as part of the recent ARC desktop refresh all PCs, Monitors and
Peripherals were donated to the Computers for Schools initiative managed by the Department of Education,
Employment and Workplace Relations.
In relation to ICT packaging recycled – all packaging accompanying ICT equipment received by the ARC is
recycled using services and facilities provided by the Canberra Airport Group as a facility lease inclusions.
Table A10.3: Managing energy consumptions
TARGET
CONSUMPTION
Desktop energy per end user (kWh per annum and averaged across agency)
400
105
Power usage effectiveness in data centres and server room
2.5
2.0 (est)
90%
ARC ICT policy
Desktop computers off after hours
Mechanisms, if any, for reviewing and increasing the effectiveness of these measures
The Canberra Airport Group has control over all building-related matters for all tenants, including the ARC,
within Majura Park.
Assessment of the effectiveness of ICT environmental strategies is undertaken at the ARC Senior
Management Group, Strategic Budget and Human Resources, and ICT Governance committee meetings.
APPENDIX 11:
CORRECTION OF ERRORS
Under the Annual Report Requirements agencies are required to identify errors in the previous annual
report.
The Australian Research Council (ARC) Annual Report 2010–11 omitted to provide information about
investigations conducted by the Commonwealth Ombudsman’s Office that had been finalised during the year
(page 87 of the report).
In the ARC Annual Report 2009–10, the ARC reported that the Commonwealth Ombudsman’s Office had
initiated two investigations during that year and that, as at 30 June 2010, the ARC had not been advised of
the outcome of one of those investigations. The ARC received advice from the Ombudsman’s office in
September 2010 that it had recorded an administrative deficiency in relation to this matter.
APPENDIX 12:
STAFF STATISTICS
CLASSIFICATION LEVEL
Table A12.1: All staff by classification level (at 30 June 2011 and 2012) (actuals)
CLASSIFICATION
2011
2012
SES Band 3
0
0
SES Band 2
1
0
SES Band 1
5
4
Executive Level 2
15
16
Executive Level 1
30
36
APS 6 (ARC Level 3)
27
32
APS 4–5 (ARC Level 2)
29
32
APS 1–3 (ARC Level 1)
5
5
112
125
TOTAL
EMPLOYMENT STATUS
Table A12.2: All staff by employment category, employment status and gender (at 30 June 2011
and 2012)
EMPLOYMENT
CATEGORY / STATUS
MALE
FEMALE
TOTAL
FEMALES AS %
OF TOTAL
2011
2012
2011
2012
2011
2012
2011
2012
Full-time
32
38
54
61
86
99
63
62
Part-time
0
1
12
15
12
16
100
94
Sub-total
32
39
66
76
98
115
67
66
Full-time
8
2
5
8
13
10
38
80
Part-time
0
0
1
0
1
0
100
0
Sub-total
8
2
6
8
14
10
43
80
40
41
72
84
112
125
64
67
ONGOING
NON-ONGOING
TOTAL
GENDER
Table A12.3: All staff by classification level and gender (at 30 June 2011 and 2012)
CLASSIFICATION
MALE
FEMALE
TOTAL
FEMALES AS %
OF TOTAL
2011
2012
2011
2012
2011
2012
2011
2012
SES Band 3
0
0
0
0
0
0
0
0
SES Band 2
0
0
1
0
1
0
100
0
SES Band 1
4
1
1
3
5
4
20
75
Executive Level 2
6
7
9
9
15
16
60
56
Executive Level 1
6
11
24
25
30
36
80
69
APS 6 (ARC Level 3)
11
11
16
21
27
32
59
66
APS 4/5 (ARC Level 2)
11
9
18
23
29
32
62
72
APS 1–3 (ARC Level 1)
2
2
3
3
5
5
60
60
40
41
72
84
112
125
64
67
TOTAL
EMPLOYMENT ARRANGEMENTS
Table A12.4: Employment arrangements covering staff (at 30 June 2011 and 2012)
EMPLOYMENT ARRANGEMENT
ARC Enterprise Agreement
Australian Workplace Agreements
Common Law Contracts
s. 24(1) Determinations
Individual Flexibility Arrangements (IFAs)
STAFF
2011
(NO.)
2012
(NO.)
SES
0
0
Non-SES
94
115
SES
0
0
Non-SES
13
7
SES
5
4
Non-SES
0
0
SES
0
0
Non-SES1
4
2
SES
0
0
Non-SES
0
4
1 Non-SES Employees with a section 24(1) Determination or IFA are also covered by the Enterprise Agreement. As a result the total
number of agreements is higher than the total number of staff by the number of section 24(1) Determinations and IFAs. The acting CEO
is also covered by a Common Law Contract but not included in staffing figures as an Office holder.
APPENDIX 13:
LEGAL SERVICES
EXPENDITURE
Table 13.1 reports on the ARC’s legal services expenditure in accordance with the Legal Services Directions
(2005). The Directions require Chief Executives of FMA Act agencies to ensure that their agency publishes
its legal services expenditure by 30 October each year. The ARC publishes this information in its annual
report.
Table A13.1: Legal services expenditure report (inclusive of GST), 2011–12
TOTALS
Total Costs Recovered
$
0.00
Total External Legal Services Expenditure
49 703.09
Total Internal Legal Services Expenditure
298 468.71
Total (External + Internal) Expenditure
348 171.80
SUMMARY OF EXTERNAL LEGAL SERVICES EXPENDITURE
Total value of briefs to counsel (A)
Total value of disbursements (excluding counsel) (B)
0.00
143.69
Total value of professional fees paid (C)
49 559.40
Total External Legal Services Expenditure (A + B + C)
49 703.09
COUNSEL
Number of briefs to male counsel
0
Number of briefs to female counsel
0
Total number of briefs to counsel
0
Number of direct briefs to male counsel (including direct briefs)
0
Number of direct briefs to female counsel (including direct briefs)
0
Total number of direct briefs to counsel (A)
0
Total value of briefs to male counsel (including direct briefs)
0.00
Total value of briefs to female counsel (including direct briefs)
0.00
Total value of briefs to Counsel (A)
0.00
DISBURSEMENTS
Total value of disbursements (excluding counsel) (B)
143.69
TOTALS
$
PROFESSIONAL FEES
Australian Government Solicitor
49 559.40
Total value of professional fees paid (C)
49 559.40
APPENDIX 14:
COMMUNICATION
MEDIA RELEASES 2011–12
Issued by the Minister for Tertiary Education, Skills, Science and Research
June 2012
> Industry-based research solving 21st century problems (30 June 2012)
> Research to help secure Australia’s future (26 June 2012)
> Australia’s synchrotron to continue conducting world leading research (22 June 2012)
May 2012
> New CEO of the Australian Research Council (28 May 2012)
April 2012
> $10 million boost for Prime Minister’s Science Engineering and Innovation Council (11 April 2012)
March 2012
> Million dollar grant to help Nobel Laureate to continue mapping southern skies (30 March 2012)
Issued by the Minister for Innovation, Industry, Science and Research
December 2011
> $249 million for university-business R & D partnerships (9 December 2011)
> A big thank you to our Australian Research Council CEO (6 December 2011)
November 2011
>
>
>
>
>
>
>
>
>
>
>
>
>
>
>
>
>
The next big thing in flight simulation (18 November 2011)
Starting – and keeping – researchers on the path of discovery (14 November 2011)
Stem cells may hold the answers (10 November 2011)
Research for a richer, fairer, greener and healthier future (1 November 2011)
Transforming our manufacturing industry through research (1 November 2011)
Future looks tastier thanks to Australian researchers (1 November 2011)
Researchers protect Australia against climate change (1 November 2011)
Research for a healthier future (1 November 2011)
Improving the lives of Indigenous Australians (1 November 2011)
ACT researchers map the night sky and help predict tsunamis (1 November 2011)
NSW researchers to develop search and rescue robots (1 November 2011)
NT researchers help preserve Indigenous literature (1 November 2011)
QLD researchers analyse social media use during emergencies (1 November 2011)
SA researchers study ancient climates and create smart wine bungs (1 November 2011)
Tasmanian researchers study climate change and fight malaria (1 November 2011)
Greener cards on the horizon thanks to local researchers (1 November 2011)
WA researchers lay foundations for national broadband network (1 November 2011)
August 2011
> The world’s best minds helping improve Australian lives (10 August 2011)
July 2011
> A Decade of Discovery – Australian Research Council (14 July 2011)
Issued by the Australian Research Council
April 2012
> Empowering a secure and safer Australia (18 April 2012)
> International researchers make Australia home (5 April 2012)
March 2012
> ARC Fellows honoured (27 March 2012)
> 147 standout researchers to help evaluate our research strengths (8 March 2012)
October 2011
> ERA 2012 Research Evaluation Committee Chairs (24 October 2011)
> ARC congratulates our Nobel Fellow (5 October 2011)
September 2011
> SciVerse Scopus to be citation provider for ERA 2012 (9 September 2011)
APPENDIX 15:
AGENCY RESOURCE
STATEMENTS
Table A15.1: Agency Resource Statement 2011–12
ACTUAL AVAILABLE
APPROPRIATION
FOR 2011–12
$’000
(A)
PAYMENTS
MADE 2011–12
$’000
(B)
BALANCE
REMAINING
2011–12
$’000
(A)-(B)
Ordinary annual services
Departmental appropriation1
26 322
19 260
7 062
Total
26 322
19 260
7 062
Administered expenses
Outcome 1
2 539
2 646
Total
2 539
2 646
28 861
21 906
Total ordinary annual services
A
Other services
Departmental non-operating
Equity injections2
2 954
1 132
1 822
Total
2 954
1 132
1 822
Total other services
B
Total available annual appropriations
and payments
2 954
1 132
31 815
23 038
Special appropriations
Special appropriations limited by criteria/entitlement
ARC Act 2001
Total special appropriations
808 837
C
808 837
Special accounts
Opening balance
Appropriation receipts
3 933
15 376
797 873
797 873
ACTUAL AVAILABLE
APPROPRIATION
FOR 2011–12
$’000
(A)
Appropriation receipts – other agencies3
6 901
Payments made
Total special account
TOTAL RESOURCING AND PAYMENTS
BALANCE
REMAINING
2011–12
$’000
(A)-(B)
PAYMENTS
MADE 2011–12
$’000
(B)
16 662
D
26 210
16 662
A+B+C+D
866 862
837 573
15 376
15 376
851 486
822 197
Less appropriations drawn from annual or
special appropriations above and credited
to special accounts through annual
appropriations
TOTAL NET RESOURCING AND PAYMENTS FOR ARC
9 548
1Appropriation
Bill (No.1) 2011-12 and Appropriation Bill (No.3) 2011-12. This includes Prior Year departmental appropriation and S.31
relevant agency receipts. Includes an amount of $1.677m in 2011–12 for the Departmental Capital Budget. For accounting purposes
this amount has been designated as ‘contributions by owners’.
2
Appropriation Bill (No.2) 2011–12 and Appropriation Bill (No.4) 2011–12.
3
Appropriation receipts from other agencies credited to ARC’s Research Endowment Account (special account).
Table A15.2: Expenses and Resources for Outcome 1
OUTCOME 1: GROWTH OF KNOWLEDGE AND
INNOVATION THROUGH MANAGING RESEARCH FUNDING
SCHEMES, MEASURING RESEARCH EXCELLENCE AND
PROVIDING ADVICE.
ACTUAL
EXPENSES
2011–12
$’000
(B)
VARIATION
2011–12
$’000
(A)-(B)
40
6
34
502 229
533 635
-31 406
7 589
7 350
239
465
316
149
510 323
541 307
-30 984
534
480
54
314 399
284 283
30 116
BUDGET
2011–12
$’000
(A)
PROGRAM 1.1: DISCOVERY—RESEARCH AND RESEARCH TRAINING
Administered expenses
Ordinary annual services (Appropriation Bill No. 1)
Special appropriations
Departmental expenses
Ordinary annual services (Appropriation Bill No. 1)
Expenses not requiring appropriation in the Budget year
Total for Program 1.1
PROGRAM 1.2: LINKAGE—CROSS-SECTOR RESEARCH PARTNERSHIPS
Administered expenses
Ordinary annual services (Appropriation Bill No. 1)
Special appropriations
OUTCOME 1: GROWTH OF KNOWLEDGE AND
INNOVATION THROUGH MANAGING RESEARCH FUNDING
SCHEMES, MEASURING RESEARCH EXCELLENCE AND
PROVIDING ADVICE.
Special Accounts
BUDGET
2011–12
$’000
(A)
ACTUAL
EXPENSES
2011–12
$’000
(B)
VARIATION
2011–12
$’000
(A)-(B)
11 209
16 662
-5 453
9 507
9 208
299
465
316
149
336 114
310 949
25 165
1 965
1 941
24
3 586
1 997
1 589
465
315
150
6 016
4 253
1 763
2 539
2 427
112
816 628
817 918
-1 290
11 209
16 662
-5 453
20 682
18 555
2 127
1 395
947
448
852 453
856 509
-4 056
2010–11
2011–12
107
107
Departmental expenses
Ordinary annual services (Appropriation Bill No. 1)
Expenses not requiring appropriation in the Budget year
Total for Program 1.2
PROGRAM 1.3: EXCELLENCE IN RESEARCH FOR AUSTRALIA
Administered expenses
Ordinary annual services (Appropriation Bill No. 1)
Departmental expenses
Ordinary annual services (Appropriation Bill No. 1)
Expenses not requiring appropriation in the Budget year
Total for Program 1.3
OUTCOME 1: TOTALS BY APPROPRIATION TYPE
Administered expenses
Ordinary annual services (Appropriation Bill No. 1)
Special appropriations
Special Accounts
Departmental expenses
Ordinary annual services (Appropriation Bill No. 1)
Expenses not requiring appropriation in the Budget year
Total expenses for Outcome 1
Average Staffing Level (number)
* Full-year budget, including any subsequent adjustment made to the 2011–12 Budget.
PART 6
REFERENCE
LIST OF FIGURES AND TABLES
ABBREVIATIONS AND ACRONYMS
GLOSSARY
COMPLIANCE INDEX
ALPHABETICAL INDEX
LIST OF FIGURES AND
TABLES
FIGURES
Page
Figure 3.1: ARC total appropriated resources, 2011–12
18
Figure 3.2: Structure of the ARC
19
Figure 3.3: ARC performance framework
23
Figure 8.1: Key ARC committees
86
Figure 10.1: ARC staff by classification
97
Figure 10.2: Ongoing and non-ongoing ARC staff
97
Figure 10.3: ARC staffing by gender
97
TABLES
Page
Table 1.1: Summary of progress against 2011–12 priority actions
6
Table 5.1: Discovery Program performance framework
41
Table 5.2: Discovery Program deliverables
42
Table 5.3: Discovery Program, performance against key performance indicators
50
Table 6.1: Linkage Program performance framework
60
Table 6.2: Linkage Program deliverables
61
Table 6.3: Linkage Program, performance against key performance indicators
68
Table 7.1: ERA performance framework
76
Table 7.2: ERA deliverables
77
Table 7.3: ERA, performance against key performance indicators
82
Table 10.1: Staff separations by classification level and employment category, 2010–11 and 2011–12
98
Table 10.2: Employment arrangements covering staff (at 30 June 2011 and 2012)
99
Table 10.3: Training and development by classification level, 2011–12
101
Table 11.1: Requests under the FOI Act, 2009–10 to 2011–12
105
Table A1.1: Mapping of key performance indicators
186
Table A2.1: Discovery Program funding schemes
188
Table A2.2: Linkage Program funding schemes
189
Table A3.1: Discovery Program, new funding commencing in 2009–10 to 2011–12
190
Table A3.2: Linkage Program, new funding commencing in 2009–10 to 2011–12
191
Table A4.1: Discovery and Linkage Program, research outputs
195
Table A4.2: Discovery and Linkage Programs, fellowships and awards
196
Table A4.3: Discovery Projects and Linkage Projects schemes, research personnel outputs for
funding commencing in 2007
197
Table A4.4: Linkage Projects scheme, partner organisation contributions by type of organisation
198
Table A4.5: Discovery and Linkage Programs, projects involving international collaboration as a
proportion of total projects funded
199
Table A4.6: Discovery and Linkage Programs, research in national research priority areas, 2011–12
200
Table A4.7: ARC Centres of Excellence, research outputs, 2011
201
Table A5.1: Powers and responsibilities of the Minister under the Australian Research Council
Act 2001
202
Table A6.1: ARC Advisory Council, 2011–12
204
Table A6.2: ARC Audit Committee, 2011–12
204
Table A6.3: Other ARC governance committees, 2011–12
205
Table A6.4: ARC Appeals Committee, 2011–12
205
Table A6.5: ARC College, 2011–12
206
Table A6.6: ARC Scrutiny Committee, 2011–12
210
Table A6.7: Australian Laureate Fellowships Selection Advisory Committee (SAC), 2012
210
Table A6.8: Future Fellowships SAC, 2011
211
Table A6.9: Synchrotron SAC, 2012
212
Table A6.10: ERA 2012 Research Evaluation Committees
213
Table A6.11: Australian Research Integrity Committee
217
Table A7.1: Summary of performance against the ARC client service charter, 2011–12
218
Table A10.1: New ARC-funded research projects in the area of an environmentally sustainable
Australia, funding commencing in 2011–12
223
Table A10.2: Managing resource consumption and demand
225
Table A10.3: Managing energy consumptions
225
Table A12.1: All staff by classification level (at 30 June 2011 and 2012) (actuals)
227
Table A12.2: All staff by employment category, employment status and gender (at 30 June 2011
and 2012)
227
Table A12.3: All staff by classification level and gender (at 30 June 2011 and 2012)
228
Table A12.4: Employment arrangements covering staff (at 30 June 2011 and 2012)
228
Table A13.1: Legal services expenditure report (inclusive of GST), 2011–12
229
Table A15.1: Agency Resource Statement 2011–12
232
Table A15.2: Expenses and Resources for Outcome 1
233
ABBREVIATIONS AND
ACRONYMS
A
ABC
ACPFG
ANAO
ANU
APAI
APDI
APS
ARC
ARC Act
ARIC
ARMS
ATSIRN
AWA
Australian Broadcasting Commission
Australian Centre for Plant Functional Genomics
Australian National Audit Office
Australian National University
Australian Postgraduate Award Industry
Australian Postdoctoral Fellowship (Industry)
Australian Public Service
Australian Research Council
Australian Research Council Act 2001
Australian Research Integrity Committee
Australasian Research Management Society
Special Research Initiative for Aboriginal and Torres Strait Islander Research Network
Australian Workplace Agreement
C
Cardiac-ARIA
CCI
CEED
CEIs
CEO
CILR
CPGs
CSIRO
Cardiac Accessibility and Remoteness Index for Australia
ARC Centre of Excellence for Creative Industries and Innovation
ARC Centre of Excellence for Environmental Decisions
ARC Chief Executive Instructions
Chief Executive Officer
ARC Centre of Excellence for Integrative Legume Research
Commonwealth Procurement Guidelines
Commonwealth Scientific and Industrial Research Organisation
D
DECRA
DIISR
DIISRTE
DP
Discovery Early Career Researcher Award
Department of Innovation, Industry, Science and Research
Department of Industry, Innovation, Science, Research and Tertiary Education
Discovery Projects scheme
E
ECR
EOI
ERA
early career researcher
expression of interest
Excellence in Research for Australia
F
FMA Act
FOI
FOI Act
Financial Management and Accountability Act 1997
freedom of information
Freedom of Information Act 1982
FOR
FT
field of research
Future Fellowships scheme
G
GST
goods and services tax
I
ICA
ICT
IFA
IPS
IT
International Collaboration Awards
information and communications technology
Individual Flexibility Arrangement
Information Publication Scheme
information technology
K
KPI
key performance indicator
L
LIEF
LP
Linkage Infrastructure, Equipment and Facilities scheme
Linkage Projects scheme
M
Minister, the
Minister for Tertiary Education, Skills, Science and Research
N
NCGP
NCGRT
NCI
NHMRC
NICTA
NLA
NRP
NWC
National Competitive Grants Program
National Centre for Groundwater Research and Training
National Computational Infrastructure
National Health and Medical Research Council
National ICT Australia
National Library of Australia
national research priority
National Water Commission
O
OHS Act
Occupational Health and Safety (Commonwealth Employment) Act 1991
P
PBS
PMSEIC
PS Act
Portfolio Budget Statements
Prime Minister’s Science, Engineering and Innovation Council
Public Service Act 1999
Q
QEII
Queen Elizabeth II Fellowship
R
R&D
REC
RFID
RMS
research and development
Research Evaluation Committee
Radio Frequency Identification
Research Management System
S
SAC
SEER
SES
STEM
Selection Advisory Committee
System to Evaluate the Excellence of Research
Senior Executive Service
Science, Technology, Engineering and Mathematics
U
US
USA
United States
United States of America
W
WCAGs
WHS
Web Content Accessibility Guidelines
Work Health and Safety
GLOSSARY
Administered items
Those assets, liabilities, revenues and expenses controlled by the Australian Government and managed or
overseen by agencies or authorities on behalf of the Australian Government.
Chief Investigator
A researcher who takes significant intellectual responsibility for the conduct of an ARC-funded project. They
must have the capacity to make a serious commitment to carrying out the project, be employed by an eligible
organisation and meet the other eligibility requirements for the scheme.
Citation
A reference to a research publication in another research publication. The number of citations received by a
publication is considered to provide an indication of the potential use of a researcher’s work by fellow
researchers. The basic premise is that a frequently cited paper has had a greater influence on subsequent
research activities than a paper with no citations or only a few.
Collaborating organisations
Include administering organisations, eligible organisations and partner organisations.
Departmental items
Those assets, liabilities, revenues and expenses controlled by agencies or authorities and used in producing
their outputs.
Early career researcher
A researcher who has held a PhD or equivalent research doctorate for a period of five years or fewer at the
time of application.
Early career researcher-only proposal
A proposal on which all proposed chief investigators and fellows are early-career researchers.
Final report
Successful applicants for funding under the NCGP are required to provide a report to the ARC on completion
of their research project (within six months of completing the research). The report includes a range of data
and information including a description of research outcomes, academic and commercialisation outputs and
details of collaboration.
Funding round
The year funding for new grants commences.
Host Organisation
An organisation, other than the administering organisation, where a Future Fellow does their research.
Invention disclosure
An invention disclosure occurs when a device, substance, method or process that is apparently new, useful
and involves an inventive step is made known to personnel within an institution who have responsibility for
managing the institution’s patenting and research commercialisation activities.
Licence agreement
A licence agreement formalises the transfer of technology between two parties, where the owner of the
technology (the licensor) permits the other party (the licensee) to share the rights to use the technology.
Non-traditional research outputs
Research outputs which do not take the form of tradition research books, book chapters, journal articles,
conference publications.
Partner investigator
Researchers who are not eligible to be Chief Investigators under Discovery Projects and Linkage Projects
grants, but who are taking significant intellectual responsibility for the research, can apply as Partner
Investigators.
Patent
A patent is an intellectual property right relating to inventions. A patent for an invention is granted to the
applicant, and gives him or her the right for a limited period to stop others from making, using or selling the
invention without permission.
Portable and attractive equipment
Items with a value below the ARC’s asset capitalisation threshold of $2000 and are susceptible to theft or
loss due to their portable nature and attractiveness for personal use or resale.
Start-up companies
In this annual report, start-up companies refers to companies engaged in businesses that were dependent,
for their formation, upon licensing or assignment of technology developed in ARC-funded research projects.
Success rate
The number of awards made in a year as a percentage of the total number of applications (excluding those
applications withdrawn prior to the assessment process).
COMPLIANCE INDEX
AUSTRALIAN RESEARCH COUNCIL ACT 2001
REPORT SECTION / DESCRIPTION
REQUIREMENT
PAGE(S)
DESCRIPTION
Particulars of any Ministerial requests for advice about research matters
Mandatory
N/A
Particulars of any Ministerial directions about performance of the ARC’s
functions
Mandatory
85
Particulars of any Ministerial notifications of general policies of the
Commonwealth that are to apply to the ARC, its committees or the staff
Mandatory
N/A
An assessment of the ARC’s performance against the performance indicators
set out in the strategic plan
Mandatory
50–51,
68–69, 82
Preparation in accordance with guidelines of the Joint Committee of Public
Accounts and Audit (JCPAA)
Mandatory
See below
Mandatory
49, 50, 69,
194, 200
MINISTERIAL DIRECTIONS ISSUED UNDER THE ARC ACT
In December 2002 the Minister provided a direction to the ARC about the
implementation of national research priorities. The direction included a
requirement (part (e)) that ‘the ARC will report on national research priorities
through documents such as its strategic plan, annual report and the
Innovation Report’.
REQUIREMENTS FOR ANNUAL REPORTS
REPORT SECTION / DESCRIPTION
REQUIREMENT
PAGE(S)
GENERAL
Letter of transmittal
Mandatory
iii
Table of contents
Mandatory
iv–v
Index
Mandatory
247–253
Glossary
Mandatory
241–42
Contact officer(s)
Mandatory
vi
Internet home page address and Internet address for report
Mandatory
vi
Review by CEO
Mandatory
2–5
Summary of significant issues and developments
Suggested
3
REVIEW BY CHIEF EXECUTIVE OFFICER
REPORT SECTION / DESCRIPTION
REQUIREMENT
PAGE(S)
Overview of performance and financial results
Suggested
3–5
Outlook for following year
Suggested
5
Significant issues and developments–portfolio
Suggested
N/A
Role and functions
Mandatory
15
Organisational structure
Mandatory
19
Outcome and program structure
Mandatory
22
Where outcome and program structures differ from PBS/PAES or other
portfolio statements accompanying any other additional appropriation bills,
details of variation and reasons for change
Mandatory
N/A
Portfolio structure
Mandatory
N/A
Review of performance during the year in relation to programs and contribution
to outcomes
Mandatory
25–82
Actual performance in relation to deliverables and KPIs set out in PBS/PAES
or other portfolio statements
Mandatory
50–51,
68–69, 82
Where performance targets differ from the PBS/PAES, details of both former
and new targets, and reasons for the change
Mandatory
22
Narrative discussion and analysis of performance
Mandatory
25–82
Trend information
Mandatory
190–201
Significant changes in nature of principal functions/services
Suggested
N/A
Performance of purchaser/provider arrangements
Suggested
N/A
Factors, events or trends influencing departmental performance
Suggested
N/A
Contribution of risk management in achieving objectives
Suggested
89–90
Social inclusion outcomes
If applicable,
mandatory
N/A
Performance against service charter customer service standards, complaints
data and response to complaints
If applicable,
mandatory
94
Discussion and analysis of financial performance
Mandatory
117
Discussion of any significant changes from the prior year or from the budget or
anticipated to have a significant impact on future operations
Mandatory
117
Agency resource statement and summary resource tables by outcomes
Mandatory
232–34
DEPARTMENTAL OVERVIEW
REPORT ON PERFORMANCE
CORPORATE GOVERNANCE
REPORT SECTION / DESCRIPTION
REQUIREMENT
PAGE(S)
Agency heads are required to certify that their agency comply with the
Commonwealth Fraud Control Guidelines
Mandatory
iii
Statement of the main corporate governance practices in place
Mandatory
84–91
Names of the senior executive and their responsibilities
Suggested
20–21
Senior management committees and their roles
Suggested
86–88
Corporate and operational planning and associated performance reporting and
review
Suggested
89
Approach adopted to identifying areas of significant financial or operational risk
Suggested
89–90
Policy and practices on the establishment and maintenance of appropriate
ethical standards
Suggested
91
How nature and amount of remuneration for SES officers is determined
Suggested
100
Significant developments in external scrutiny
Mandatory
92–95
Judicial decisions and decisions of administrative tribunals
Mandatory
94
Reports by the Auditor-General, a Parliamentary Committee or the
Commonwealth Ombudsman
Mandatory
93–94
Assessment of effectiveness in managing and developing human resources to
achieve objectives
Mandatory
96
Workforce planning, staff turnover and retention
Suggested
98
Impact and features of enterprise or collective agreements, individual flexibility
arrangements (IFAs), determinations, common law contracts and Australian
Workplace Agreements (AWAs)
Suggested
98–100
Training and development undertaken and its impact
Suggested
100
Work health and safety performance
Suggested
100–1
Productivity gains
Suggested
101
Statistics on staffing
Mandatory
97
Enterprise or collective agreements, IFAs, determinations, common law
contracts and AWAs
Mandatory
98–100
Performance pay
Mandatory
100
If applicable,
mandatory
108
EXTERNAL SCRUTINY
MANAGEMENT OF HUMAN RESOURCES
ASSETS MANAGEMENT
Assessment of effectiveness of assets management
REPORT SECTION / DESCRIPTION
REQUIREMENT
PAGE(S)
PURCHASING
Assessment of purchasing against core policies and principles
Mandatory
104
Summary statement detailing the number of new consultancy services
contracts let during the year; the total actual expenditure on all new
consultancy contracts let during the year (inclusive of GST); the number of
ongoing consultancy contracts that were active in the reporting year; and the
total actual expenditure in the reporting year on the ongoing consultancy
contracts (inclusive of GST)
Mandatory
104
Statement noting that information on contracts and consultancies is available
through the AusTender website
Mandatory
104
Mandatory
105
Mandatory
105
Mandatory
118–83
Work health and safety (Schedule 2, Part 4 of the Work Health and Safety
Act 2011)
Mandatory
220
Advertising and market research (section 311A of the Commonwealth
Electoral Act 1918) and statement on advertising campaigns
Mandatory
221
Ecologically sustainable development and environmental performance (section
516A of the Environment Protection and Biodiversity Conservation Act 1999)
Mandatory
222–25
Compliance with the agency’s obligations under the Carer Recognition
Act 2010
If applicable,
mandatory
Grant programs
Mandatory
95
Disability reporting–explicit and transparent reference to agency-level
information available through other reporting mechanisms
Mandatory
95
Information Publication Scheme statement
Mandatory
95
Correction of material errors in previous annual report
If applicable,
mandatory
95
List of requirements
Mandatory
CONSULTANTS
AUSTRALIAN NATIONAL AUDIT OFFICE ACCESS CLAUSES
Absence of provision in contracts allowing access by the Auditor-General
EXEMPT CONTRACTS
Contracts exempt from AusTender
FINANCIAL STATEMENTS
Financial statements
OTHER MANDATORY INFORMATION
N/A
243–46
ALPHABETICAL INDEX
A
Aboriginal and Torres Strait Islander Researchers’ Network 3, 6, 62, 65
advertising and market research 221
Advisory Council 38, 86
membership of 204
Andersen, Tony 21
appeals 88, 94, 218
Appeals Committee 88
membership 205
ARC College 87
membership 206–9
asset management 108
Audit Committee 86–7
membership of 204
audits
auditors report 119–20
Australian National Audit Office 93
institutional reviews 91
internal 90
Australia Day Medallions 102
Australian Academy of Science awards 53
Australian Centre for Plant Functional Genomics 66
Australian Code for Responsible Conduct of Research 88
Australia in the Asian Century White Paper 12, 43, 62, 112
Australia−India Council 62
The Australian Innovation Challenge awards 53
Australian Innovation System Report 2011 8, 12
Australian Laureate Fellowships 8, 38–9, 42, 43, 46, 48, 188, 190
selection advisory committee 210
Australian National Audit Office 4, 93
Australian National University 11, 28, 32
Australian Research Council Act 2001 15, 85
Australian Research Integrity Committee 3–4, 6, 88-89
establishment 5, 12, 88
joint administration of 17
membership 217
operational procedures 89
role 88
Australian Research Management Society 110–1
Australian Synchrotron 11
Australian Workplace Agreements 99
awards 52-3, 101-2, 112
B
bionic vision
Research in Bionic Vision Science and Technology Initiative 65
Botten, Professor Lindsay 32, 32
budget 5, 10, 18, 74, 89, 117, 172−4, 232−4
Business Continuity Plan 90
Byrne, Professor Aidan 2, 11, 20
C
Cameron, Dr Fiona 20
capacity, key objective 6, 16, 186
Carr, Kim 8, 43, 79, 85
see also Minister for Innovation, Industry, Science and Research
Centres of Excellence 58, 64, 189–90, 201
for Autonomous Systems 57
for Creative Industries and Innovation 34
for Environmental Decisions 33
for Integrative Legume Research 35
for Policing and Security 10, 65
in Ore Deposits 31
Chan, Isa 102
Chen, Professor Min 52
Chief Executive Officer 2
functions 85
review 3–5
Chubb, Professor Ian 11
Client Service Charter 218–19
co-funded centres 64, 66–7
Australian Centre for Plant Functional Genomics 66
National Centre for Groundwater Research and Training 64, 67, 67
National ICT Australia 66
Coleman, Professor Richard 20
College of Experts see ARC College
consultations 111
committees, key 86–8
Appeals Committee 88, 205–6
ARC Advisory Council 86, 204
ARC Audit Committee 86–7, 204
ARC College 87, 206–9
ARC Guidelines for Disclosure of Interests and Confidentiality Obligations 91
ARC Security Committee 86–7, 205
Australian Research Integrity Committee 88
ICT Governance Committee 86–7, 205
members, ethical behaviour 91
NCGP Executive Committee 88
People Management and Development Committee 86–7, 205
Research Evaluation Committees 77, 80
Salary Review Committee 86–7, 205
Scrutiny Committee 88, 210
selection advisory committees 210–12
Senior Management Group 86–7, 205
Strategic Budget and Human Resources Committee 86–7, 205
Work Health and Safety Committee 87, 205
Commonwealth Grants Guidelines 95
Commonwealth Procurement Guidelines 104
communication 101, 109
Discovery Program activities 42
enabling objective 16
forums 111, 114
grants announcement events 110
Inspiring Australia 113
Linkage Program activities 61
media releases and publications
network messages 114
Oceans and Coastal Communicators Network 113
research outcomes 111
social media 114
sponsorship 110
website 114
complaints 94
ARC Complaints Handling Policy and Procedures 91
compliance 4
index 243–6
consultants 104
expenditure on 104
selection 104
correction of errors 95, 226
Cram, Professor Lawrence 8
D
Dasgupta, Professor Mahananda 8, 43, 46
Department of Broadband, Communications and the Digital Economy 66
Department of Employment, Education and Workplace Relations 90, 225
Department of Finance and Deregulation 93
Department of Industry, Innovation, Science, Research and Tertiary Education 32, 43, 79, 93, 112
see also Department of Innovation, Industry, Science and Research
Department of Innovation, Industry, Science and Research 12-3, 110-1
Department of Prime Minister and Cabinet 12, 95
disability reporting 95
Disaster Recovery Plan 90
Discovery Early Career Researcher Award scheme 6, 9, 20, 38–9, 42, 46–7, 188, 190
Discovery Indigenous scheme 4, 21, 28, 38, 42, 46, 188, 190
Discovery Indigenous Awards 46
Discovery Program 4, 6, 15, 39–51, 56–7, 188
assessment 45
changes 47
collaboration 48
communication activities 42
deliverables 41–2
funding 47–8
funding awarded 42
funding rules, revised 43
grants awarded 42
international networking 48
key performance indicators 41, 51–2, 193–201
NRP implementation 49
objectives 40–1
outcome and performance 40–1
overview 39
policy advice 43
postgraduate/postdoctoral support 46
recipients, progress and final reports 45
researchers supported 42, 46–7
Discovery Projects scheme 4, 6, 15, 20, 30, 39, 47, 188, 190
Discovery Outstanding Researcher Awards 46-7
E
ecologically sustainable development 222–5
Elsevier
SciVerse Scopus 8, 80
employment conditions 98-100
enabling objectives see objectives, enabling
enterprise agreement 3, 8, 99
ERA see Excellence in Research for Australia
ethical behaviour 91
Eureka Prizes 52, 111–12
Evans, Chris 2, 9, 10, 15, 15, 85
Excellence in Research for Australia 3–4, 15, 37, 75–81
committees 77
deliverables 76–7
documentation 78
evaluations 81
funding 74
key performance indicators 76, 82
mission 76
objectives 76, 79
outcome 76, 79–81
overview 74–5
performance targets 37
processes, enhancements 78
Research Evaluation Committees 77, 80, 213–17
SEER 107
submissions 10, 79
external scrutiny 92–5
Australian National Audit Office 93
Office of the Australian Information Commissioner 94
parliamentary committees 93
Senate Economics Legislation Committee 92
F
facilities
asset management 108
physical security 108
property management 108
records management 108
financial performance 116–17
financial services
consultants 104
contracts, exempt 104
purchasing 104
financial statements 121–83
Focusing Australia’s Publicly Funded Research 12
forums, participation 111, 114
fraud control 90
Freedom of Information 95, 105
requests 105
functions of the ARC 3, 15
funding 196
appropriated 5, 18
international research facilities 64
funding awarded
Discovery Program 42
Linkage Program 61
Future Fellowships 9, 20, 38–9, 46, 48, 188, 190
collaboration 48
selection advisory committee 211–12
G
Garner, Laurence 102
Georgina Sweet Australian Laureate Fellowship 8, 46
Global Research Council 44
Global Summit on Merit Review 6, 10, 43–4, 62
merit review principles 44
governance 84
Australian Research Council Act 2001 15, 85
Minister for Tertiary Education, Skills, Science and Research 2, 8, 85
Public Service Act 1999 85
grants announcement events 110
grants awarded 42, 61
Gresshoff, Professor Peter 35, 35
ground water research 64
National Centre for Groundwater Research and Training 64, 67
Guidelines for Disclosure of Interests and Confidentiality Obligations 91
guiding principles 17
H
Harvey, Leanne 3, 2–5, 10, 20
Health of Australian Science 11–12, 80
Health of Australian Science Advisory Group 43
I
ICT see information and communications technology
ICT Governance Committee 86–7
membership 205
Indigenous Australians
Discovery Indigenous Researchers Development scheme 28
Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network 3, 62, 65
individual flexibility arrangements 99
Industrial Transformation Research Program 6, 9, 62
Industrial Transformation Training Centres scheme 63, 65
information and communications technology
ecologically sustainable development 222–5
ICT Governance Committee 86–7
National ICT Australia 66
overview 106
RMS 107
SEER 107
services 107
Innovation and Research Strategy for Growth 13
Innovation in Australia showcase 111
Inspiring Australia 113
institutional reviews 91
Integrated Ocean Drilling Program 64
international
ARC international strategy 6, 43
collaboration 4, 43, 48, 51, 58, 68, 194, 199
comparisons 80
networking and mobility 38, 48
policy discussions 6, 38, 43-4, 62, 86
reports released 13
research facilities 64
research partners 4, 198, 201
visits and delegations 113, 201
International Collaboration Awards 48
ISIS Neutron Spallation Source 64
J
Jia, Dr Baohua 56, 56
Johnson, Professor Alan 8
K
Karmakar, Associate Professor Nemai 72, 72
Kathleen Fitzpatrick Australian Laureate Fellowship 8, 46
Kaul, Akshra 102
Kelly, Dr Mary 21
Kendall, Professor Mark 53, 112, 112
key objectives see objectives, key
key performance indicators, 186
Discovery Program 41, 51–2
ERA 76, 82
Linkage Program 60, 68–9
Kitzler, Ondrej 28
L
Large, Professor Ross 31, 31
legal services 105
expenditure 229
legislation 15, 85, 94
Linkage Infrastructure, Equipment and Facilities scheme 20, 32, 58, 64, 189–90
Linkage Learned Academies Special Projects scheme 11, 58, 62, 189, 192
Linkage Program 189
collaboration 63
communication activities 61
deliverables 60–1
funding awarded 61
grants 61
key performance indicators 60, 68–9, 193–201
mission 60
objectives 60
outcome 60
overview 58
performance 59–60
policy advice 62
postgraduate/postdoctoral opportunities 63
researchers 61
selection rounds 62–3
Linkage Projects scheme 6, 11, 15, 29, 36, 58–73, 189
M
McKay, Dr Aaron 28
Maher, Dr Carol 36, 36
manufacturing
Prime Minister’s Taskforce on Manufacturing 12
Maximising the Innovation Dividend 12
media releases and publications 110, 230
merit review principles 44
Mildren, Professor Richard 28, 28
Millar, Professor A Harvey 53
Minister for Innovation, Industry, Science and Research
see also Carr, Kim
media releases 230
Minister for Tertiary Education, Skills, Science and Research 2, 8, 10, 15
see also Evans, Chris
media releases 230
responsibilities and role 202–3
mission 16, 26
mission-based compacts 37
Monash University 72
Mylne, Dr Joshua 55, 55
N
NANTEN2 Observatory 64
National Centre for Groundwater Research and Training 64, 67
National Competitive Grants Program 3–4, 15
ARC College 87
case studies 27–36
NCGP Executive Committee 88
performance information 193–201
proposals received, and funded 4
RMS 107
National Health and Medical Research Council 3, 11
National ICT Australia 66
National Research Infrastructure Council 62
National Research Priorities 43, 49, 62, 194, 200
case studies 54−7, 70−3
implementation 49
goals 49
National Water Commission 67
NCGP see National Competitive Grants Program
NCGP Executive Committee 88
Nelson, Lesley 20
Nobel Prize for Physics 8, 52
Norris, Professor Pippa 8, 43, 46
O
objectives, enabling 16, 23
communication 16
organisation 16
objectives, key 6, 16, 23, 186–7
capacity 6, 16, 186
Discovery Program 40–1
ERA 76
Linkage Program 60
policy and evaluation 6, 16, 187
research 6, 16, 186
occupational health see work health and safety
Oceans and Coastal Communicators Network 113
Office of the Australian Information Commissioner 94
Ombudsman, Commonwealth 94, 226
organisation, objective 16
organisational structure 19
outcome 22–3, 26
case studies 27–38
Discovery Program 40–1, 51–2
ERA 76
Linkage Program 60
outcomes and programs structure 22–3
Discovery Program 41
ERA 76
Linkage Program 60
P
Papadakis, Professor Elim 8
partner organisations 198
partnerships 4, 15, 43, 63, 65−7, 194
peer review
Discovery Program 45
ERA, appointments 77
People Management and Development Committee 86–7
membership 205
performance 22, 193–201
Discovery Program 40–1, 50–1
ERA 76
framework 186
Linkage Program 60
Petersen, Professor Ian 8
policy advice 112
ARC 38, 112
Discovery Program 43
Linkage Program 62
policy and evaluation, key objective 6, 16, 187
portfolio budget statements 22−3, 40−1, 59−60, 75−6, 89−90, 186−7
postgraduate/postdoctoral support 46, 48, 63
Powering Ideas: An Innovation Agenda for the 21st Century 12
Prime Minister’s Science, Engineering and Innovation Council 10, 62
Prime Minister’s Science Prizes 52
Prime Minister’s Taskforce on Manufacturing 12
prizes 52-3, 112
productivity gains 101
programs 22–3
property management 108
ecologically sustainable development 222–5
Public Service Act 1999 85
Section 24(1) Determinations 100
R
Radoll, Dr Peter 28, 28
records management 108
remuneration 100
reporting 89
annual 89, 94–5, 243–6
Commonwealth Grants Guidelines 95
disability reporting 95
Freedom of Information 95, 105
grant programs 95
social inclusion outcomes 95
research
ARC key objective 6, 16, 186
outcomes 27−36, 54−7, 70−3, 111
outputs 195, 201
Research Administrators’ Seminar 114
Research Evaluation Committees 77, 80
appointments to 77, 80
membership 213–17
role of 88
Research in Bionic Vision Science and Technology Initiative 65
Research Management System 107
researchers supported 42, 61
Resource Statements 232–4
resources 18, 232–4
responsibilities, overview 14
risk management 4, 91
RMS see Research Management System
role of the ARC 15
S
Salary Review Committee 86–7
membership 105
Sara, Professor Vicki 8, 85, 85
Schmidt, Professor Brian 8, 10, 52
SciVerse Scopus 8, 80
Scrutiny Committee 88
membership 210
Security Committee 86–7
membership 205
SEER see System for Evaluation of Excellence in Australia
Senate Economics Legislation Committee 92
Senior Management Group 86–7
membership 105
Sheil, Professor Margaret 3, 8, 9–10, 43, 102, 112
Shine, Professor Rick 53, 73, 73
Simms, Professor Marian 20
Sir Nicholas Shackleton Medal 52
social inclusion 95
Special Research Initiatives scheme 64-5, 189, 192
for an Aboriginal and Torres Strait Islander Researchers’ Network 3, 6, 62, 65
funding, extension 65
in Stem Cells Science 65
in Synchrotron Science 3, 58, 62
selection advisory committee 211–12
sponsorship, ARC 110-2
staff 96
ARC staff survey 5
Australian Workplace Agreements 99
classifications and category 98
common law contracts 100
conditions, overview 98
enterprise agreement 99
ethical behaviour 91
individual flexibility arrangements 99
People Management and Development Committee 86–7
remuneration 100
Salary Review Committee 86–7
Section 24(1) Determinations 100
Senior Management Group 86–7
statistics 97, 227–8
Strategic Budget and Human Resources Committee 86–7
training and development 100
turnover and retention 98
Work Health and Safety Committee 87
workforce planning 98
workplace arrangements 99
State Scientists of the Year 52
stem cell research
Special Research Initiative in Stem Cell Science 65
Stien, Claudia 102
Strategic Budget and Human Resources Committee 86–7
membership 105
strategic context 12
strategic plan 4, 8, 16-7, 22, 26, 40, 59, 75
overview 89
priority actions 43-45, 47, 62, 65, 77, 79, 89
Strategic Review of Health and Medical Research 12, 43, 112
2011 Strategic Roadmap for Australian Research Infrastructure 8
Super Science Fellowships scheme 20, 39, 190
symposium 111
Sustainable Research Excellence 13
Swinburne University of Technology 56
synchrotron science 11, 11, 58
Australian Synchrotron 11
Special Research Initiative in Synchrotron Science 3, 62, 64
System for the Evaluation of Excellence in Research 107
T
ten year anniversary 8, 85
training and development 100
W
W H (Beattie) Steel medal 52
waste management 225
website 114
Weigold, Professor Erich 8
Wells, Professor Andrew 44
Wernberg, Associate Professor Thomas 54, 54
work health and safety 100–1, 220
Work Health and Safety Committee 87, 101
membership 205
workplace policies 101