Mission-Based Compact
Between:
The Commonwealth of Australia
and
The University of New South Wales
CONTENTS
Context
Part One:
Establishment of the Compact
The University’s Mission
Part Two:
Teaching and Learning
Performance Funding
Part Three:
Research, Research Training and Innovation
Part Four:
Compact Review
Part Five:
General Provisions
Attachments
A.
Indicative list of Commonwealth Funding provided to the University which is
administered by DEEWR and relevant to this Compact.
B.
List of Commonwealth Funding provided to the University which is
administered by DIISR and relevant to this Compact.
C.
University Confidential Information1.
D.
Terms and Conditions of Agreement between the Minister for Tertiary
Education, Skills, Jobs and Workplace Relations and the University about
Performance Funding.
E.
Copy of Commonwealth Grant Scheme Funding agreement between the
Minister for Tertiary Education, Skills, Jobs and Workplace Relations and the
University.
1
There will be an Attachment C only where the University provides commercially sensitive material. The
published version of a Compact will indicate the existence or otherwise of an Attachment C (University
Confidential Information) but will not include the content.
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Date
This Compact is made on .......................................
between
The Commonwealth of Australia (Commonwealth) represented by and acting
through both:
The Minister for Tertiary Education, Skills, Jobs and Workplace Relations
Assisted by the Department of Education, Employment and Workplace
Relations (DEEWR)
ABN 63 578 775 294
Of
50 Marcus Clarke Street
Canberra ACT 2601
And
The Minister for Innovation, Industry, Science and Research
Assisted by the Department of Innovation, Industry, Science and Research
(DIISR)
ABN 74 599 608 295
Of
Industry House
10 Binara Street
Canberra ACT 2601
And
The University of New South Wales
ABN 57 195 873 179
A body corporate under the University of New South Wales Act 1989
Of
Sydney NSW 2052
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CONTEXT
A.
The Purpose and Effect of this Compact
This Compact is an agreement between the Commonwealth and the University.
It demonstrates that the Commonwealth and the University have a shared and
mutual commitment to provide students with high quality educational experiences
and outcomes and to building research and innovation capabilities and international
competitiveness.
The Compact recognises that the University is an autonomous institution with a
distinctive mission, operating within a state or territory, national and international
higher education environment.
The purpose of this Compact is to provide a strategic framework for the relationship
between the Commonwealth and the University. It sets out how the University’s
Mission aligns with the Commonwealth’s goals for higher education, research,
research training and innovation, and includes information on funding provided by
the Commonwealth to the University.
Section 4 and Attachment D of this Compact together constitute the funding
agreement, for the purpose of section 30-25 of the Higher Education Support Act
2003 (HESA), for the grant of teaching and learning Performance Funding to the
University. Similarly, Attachment E of this Compact contains the funding agreement,
for the purpose of section 30-25 of HESA, for the provision of other Commonwealth
Grant Scheme funding to the University.
This Compact also refers to funding provided under DIISR's Collaborative Research
Networks (CRN) funding program. Any funding provided under that program is not
made under HESA and is separate to, but made within the framework of, this
Compact.
In addition, this Compact refers to a range of other funding that is provided by DIISR
and DEEWR to the University under various legislative and/or contractual funding
arrangements. The details of relevant DEEWR funding arrangements are set out in
Attachment A and the details of relevant DIISR funding arrangements are set out in
Attachment B.
By detailing Commonwealth funding commitments and reciprocal University
commitments, this Compact also contributes to creating a transparent and
accountable system of administration of Commonwealth funding. To support this
purpose, the Commonwealth and the University agree that this Compact will be
published on Commonwealth websites and may be published on the University
website.
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B.
The Principles of Commonwealth Funding Support
The principles under which Commonwealth funding for higher education is provided
are:
C.

opportunity for all, especially for those students from groups under-represented
in higher education;

access to university based on merit;

world-class teaching and learning that advances the international standing of
Australian education;

world class research and research training that advances knowledge, critical
thinking and Australia’s international standing;

responsiveness to the economic and social needs of the community, region,
state, nation and the international community;

a sustainable higher-education sector; and

academic freedom and institutional autonomy.
The Commonwealth’s ambitions for Higher Education and Innovation
The Commonwealth’s vision for the higher education sector is set out in
Transforming Australia’s Higher Education System available at
http://www.deewr.gov.au
Higher education is central to achieving the key objectives for the nation’s future,
including:

A stronger Australia – boosting Australia’s share of high skilled jobs and
productivity growth will require a highly skilled workforce that can rapidly adapt
to meet future challenges; and

A fairer Australia – all Australians will benefit from widespread equitable
access to a diverse tertiary education sector that allows each individual to
develop and reach their potential. Society as a whole will benefit from the
widespread application of cutting-edge research.
In supporting these objectives, the Commonwealth's ambitions for higher education
include:

producing graduates with the knowledge, skills and understandings for full
participation in society and the economy;

providing opportunities for people from all backgrounds to participate to their full
potential and be supported to do so;

providing students with a stimulating and rewarding higher education
experience;

playing a pivotal role in the national research and innovation system through
generation and dissemination of new knowledge and through the education,
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training and development of world class researchers across a wide range of
intellectual disciplines; and

being amongst the leading Organisation for Economic Co-operation and
Development (OECD) countries in terms of participation and performance.
The higher education system also plays a crucial role in supporting innovation. The
Commonwealth’s policy statement, Powering Ideas - An Innovation Agenda for the
21st Century http://innovation.gov.au is designed to build innovation skills, support
research to create new knowledge, increase business innovation and boost
collaboration.
For higher education research, research training and innovation, the
Commonwealth’s ambitions include:
D.

progressively increasing the number of research groups performing at worldclass levels;

boosting research collaboration by Australian universities;

significantly increasing the number of students completing higher degrees by
research over the next decade; and

building an innovation system that promotes economic growth and well being by
promoting linkages between Australian businesses, universities and publiclyfunded research agencies.
Structure of this Compact
Part One provides for the establishment of the Compact, its Term and the purpose
of the University’s Mission. Part One also contains the University’s Mission
Statement. Part One also provides for the Commonwealth to inform the University of
any actual or prospective changes to policy and for the University to inform the
Commonwealth of any actual or prospective changes to its Mission and for each to
consult the other about the possible effects of these changes.
Part Two provides for matters related to teaching and learning, which are matters
administered by DEEWR.
Part Three provides for matters related to research, research training and
innovation, which are matters administered by DIISR.
Part Four provides for review of the Compact.
Part Five provides for operational issues, including the general matters which the
two Departments will administer jointly, liaison between the Departments and the
University, privacy, confidentiality and information sharing, addresses for notices
and how the Compact may be varied and how it may be terminated. This Part also
includes the Dictionary.
The Attachments A to E form part of this Compact and are referenced and explained
in the relevant Parts of this Compact.
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PART ONE
1.
ESTABLISHMENT OF THE COMPACT
The Commonwealth and the University agree:
1.1.
This Compact consists of Parts One to Five and any Attachments.
1.2.
The term of this Compact is from 1 January 2011 until 31 December 2013, unless
terminated earlier in accordance with clause 10.7.
1.3.
In agreeing to this Compact for and on behalf of the Commonwealth each of the
Ministers is acting only to the extent of that Minister’s powers and functions under any
Commonwealth law, including under the terms of any relevant Appropriation.
1.4.
The University acknowledges that a policy underlying some or all of this Compact may
be subject to review by the Commonwealth from time to time. The Commonwealth and
the University agree that if the Commonwealth considers that it may need to change
the Compact because of such a review, the Commonwealth will notify the University of
this in writing and will consult with the University accordingly.
1.5.
Some or all of the funding arrangements set out in Attachments A and B may be
updated by DEEWR and DIISR from time to time. The Commonwealth will notify the
University of any such updates.
1.6.
Either party may propose changes to this Compact at any time. Except for any
changes pursuant to clause 1.5 above, clause 10.5 will apply to any variation proposed
by either party to the Compact.
2.
THE UNIVERSITY’S MISSION
2.1.
The purpose of the University’s Mission
2.1.1.
The University's Mission sets out its values and aspirations, what it does and how
it can best serve the interests of its students, staff and key stakeholders. The
Commonwealth and the University recognise that the University's Mission may
evolve.
2.1.2.
The University and the Commonwealth recognise that the University is an
autonomous institution which is responsible for the determination of its Mission and
for its aspirations and strategies for their achievement.
2.2.
The University’s Mission statement
Introduction to B2B
Blueprint to Beyond, the UNSW Strategic Intent, forms the enduring and overarching strategy
for the University. We revisit it regularly, fine-tuning our strategies in order to achieve our
objectives and fulfill our aspiration.
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Strategy involves choice. There are many goals that a leading research intensive university
with our strengths could seek to achieve. We focus on what we do and can do best. Our
strengths are built on our traditions of the highest academic standards, our record of leading the
way with industry and community partnerships and our history of engaging internationally.
The UNSW Strategic Intent reflects the fundamental university mission of education, research
and community engagement. It underpins our Faculty and Divisional strategic and operational
plans, and its guiding principles and objectives inform our policies, processes and procedures.
Our challenge is to strive continually towards fulfilling our aspiration – to continuously improve
our position as a leading research intensive university in Australia and a peer in good standing
with the best globally, with strong traditions of excellence, innovation and social justice. The
open-ended fields of human endeavour are defined by what we are yet to discover – UNSW
always seeks to contribute to society at a level that extends the boundaries of knowledge.
UNSW’s Blueprint to Beyond is a strategy to enhance effectiveness and interdisciplinarity. We
strive to minimise the barriers between faculties and disciplines, and between blue sky research
and research of more immediate impact, such as in Medicine, where “Bench to Bedside”
describes the conversion of discoveries in the laboratory into practical applications for patients.
The University will achieve its aspiration where students, staff and the community work
together, and where the University’s capabilities and resources support that aim.
Strategy in context
The University of New South Wales was established in 1949 to teach and conduct leading
research in scientific and technological disciplines. UNSW is distinctive in that it is the only
Australian research intensive university established with this unique focus, modeled on US
universities such as MIT.
Foundation disciplines in engineering, science and the built environment were followed by the
humanities and social sciences, business, medicine, law and fine arts. UNSW is extremely
focused, with eight faculties in Sydney, and similar discipline offerings at the Australian Defence
Force Academy – UNSW@ADFA - in Canberra.
UNSW has strong connections with business, industry, government and the community. These
are underpinned by a research culture reflected in high-levels of research funding and
achievements.
UNSW has been described as one of the heavyweights of Australian higher education offering
an intense, rich tertiary experience. We have a proud tradition of excellence in learning and
teaching, having been regularly ranking as the top university in Australia.
UNSW is Australia’s first international university, enrolling international students since 1951
from more than 120 countries, and maintaining ongoing relationships with over 200 universities
worldwide.
UNSW is Australia’s most cosmopolitan university, having one of the highest proportions of
Australian students from non-English speaking backgrounds. We also have a high proportion of
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students who are first in family to university.
UNSW never stands still. In the words of our longest serving Chancellor, the late Gordon
Samuels, our transformation since 1949 was achieved "very much under the ordinary time for
the course”... UNSW is “the epitome of the hungry fighter seeking success and recognition".
Aspiration
UNSW’s aspiration is to continuously improve our position as a leading research intensive
university in the Asia-Pacific region, focusing on contemporary and social issues through
defined strengths in professional and scientific fields. We seek to make a significant contribution
to the development of knowledge, to learning and teaching, to our students, and to society.
There are a number of critical terms that describe our position:
1. Leading: To maintain and build upon our position amongst the top research-intensive
universities globally.
2. Research intensive: Research is critical both for its own sake, and because it is
reflected in our learning and teaching and community engagement.
3. Asia-Pacific region: We continue to build on our long and successful tradition of
engagement with the region, deepening and broadening our international links.
4. Contemporary and social issues: Consistent with our B2B theme we concentrate on
key issues in society.
5. Defined strengths: Approximately 90% of all research activity at UNSW is focussed in
areas of existing or emerging research strength. We identify existing strengths through
a continuing process of review, and build strength in areas of emerging strategic
significance, underpinned by fundamental and enabling knowledge in science and
humanities. We also have a strong tradition of excellence in learning and teaching,
regularly being ranked highly by students, graduates, employers and within the
University sector.
6. Professional and scientific fields: We cover a broad range of professions underpinned
by science and the scientific method as appropriate to the disciplines involved. The
most successful programs are interdisciplinary, fully engaging the humanities, social
sciences and scientific and professional disciplines in tackling important social issues.
Guiding Principles
In pursuing our aspiration, in terms of the way in which UNSW is led and managed, we value
and will embed in what we do:
1.
2.
3.
4.
5.
6.
7.
8.
9.
Academic freedom
Leadership
Innovation, initiative and creativity
Recognition of merit and excellence
Integrity and high ethical standards
Equity, opportunity and diversity
Mutual respect, collegiality, teamwork and high service standards
Professionalism, accountability and transparency
Safety and Sustainability
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Continuously improve our position as a leading research intensive university in the Asia-Pacific region, focusing on contemporary and
social issues through defined strengths in professional and scientific fields. We seek to make a significant contribution to the
development of knowledge, to learning and teaching, to our students, and to society.
STUDENT
EXPERIENCE
RESEARCH
COMMUNITY
ENGAGEMENT
Continuously
improve our
position as a
peer of the
best globally
Develop
globally
focused
graduates
Valued
partner with
key
communities
Capabilities
Improve leadership and operations
Resources
Maximise availability of resources and
assignment of resources to priority areas
Research: Objective and Strategies
Continuously improve our position as a peer of the best globally in research
performance, concentrating on defined strengths by:
1.
2.
3.
4.
5.
6.
7.
8.
Retaining, attracting and developing leading, internationally recognised research
staff and distinguished visitors
Building and maintaining “critical mass” of research activity in key research areas
Increasing the number of higher degree research students as a proportion of our
total student body
Embedding professional values and integrity in our research culture
Publishing and communicating our research achievements in journals and outlets of
the highest standing internationally
Encouraging strategic collaboration of our staff in areas of research strength with the
best in their fields globally
Enhancing the reputation of UNSW and improving the profile of high-impact UNSW
research and researchers
Providing an excellent research environment, with cutting-edge research facilities
and equipment
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9.
10.
Developing and expanding research linkages with industry in Australia and
internationally
Achieving best practice in identifying and obtaining research support
Student Experience: Objective and Strategies
Develop globally focused graduates who are rigorous scholars, capable of leadership
and professional practice in an international community by:
1. Being a destination of choice for students with the highest potential irrespective of
background
2. Setting progressive, rigorous and internationally relevant curricula
3. Ensuring a learning and teaching environment that provides students with an outstanding
student experience
4. Enhancing capabilities, skills and knowledge of students to pursue professional careers
nationally and internationally
5. Providing a contemporary and engaging campus environment
Community Engagement: Objective and Strategies
Valued partner with key communities, making an impact on contemporary issues by:
1.
2.
3.
Being a source of expertise and thought leadership in our communities and a
significant initiator of and contributor to public debate
Driving expanding linkages and partnerships with donors, business, industry, the
professions, schools, community organisations, government, academic and
international bodies
Developing and maintaining highly valued reciprocal relationships with alumni ,
former staff and visiting staff
Capabilities: Objective and Strategies
Improve underlying leadership and operational capabilities by:
1. Providing an environment attractive to staff of high quality
2. Developing a strong leadership culture where supervisors are equipped to resolve staff
issues at the local workplace level
3. Maintaining a performance based meritocracy through:
a. Continuously improving and investing in the capability of our staff
b. Providing remuneration, rewards and opportunities aligned with performance
c. Ensuring rigorous, fair processes for hiring, promotions and succession
d. Ensuring regular performance reviews of high integrity
4. Maintaining effective governance and management structures with clear
accountabilities and interfaces
5. Strengthening two-way communication between all staff
6. Encouraging teamwork and ensuring high service standards
7. Achieving high standards in safety and environmental sustainability
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Resources: Objective and Strategies
Maximise the availability of resources and the assignment of resources to priority areas
by:
1. Making explicit and transparent choices in resource allocation between current and
2.
3.
4.
5.
2.3.
2.3.1.
2.3.2.
alternative strategic options
Developing new and maximising existing sources of external income
Supporting effective cost management and resource allocation through excellent staff,
processes and systems
Developing uniform, simplified, responsive and effective operating models and
information systems
Managing reputational, financial and operational risks effectively
Changes to the University's Mission
The Commonwealth acknowledges that the University may adjust its mission from
time to time. The University agrees that it will give the Commonwealth notice in
writing in advance of:
a.
any significant changes that it proposes to make to the Mission during the term
of the Compact; or
b.
any significant changes that it intends to make to its activities that could affect
either or both of the content and the practical application of its Mission.
If the Commonwealth receives notice from the University under clause 2.3.1 and
considers that the proposed changes would require a change to this Compact, the
Commonwealth will notify the University of this in writing and will consult with the
University accordingly.
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PART TWO
The Minister for Tertiary Education, Skills, Jobs and Workplace Relations, with
assistance from DEEWR, has Commonwealth responsibility for the matters set out
in this Part Two of the Compact.
3.
TEACHING AND LEARNING
3.1.
Quality
Quality: Commonwealth objectives
3.1.1.
A focus on teaching and learning quality underpins the Commonwealth’s vision for
Australia to be one of the most highly educated and skilled nations in the world.
3.1.2.
A focus on quality is an essential element of a system where funding is driven by
student choice, and is essential for ensuring that the Commonwealth’s participation
and social inclusion ambitions are achieved without a risk to quality.
3.1.3.
The Commonwealth has made a commitment to provide more autonomy to
universities through the removal of funding caps on Commonwealth supported
places. In turn, the Commonwealth expects the University to participate in new
higher education quality arrangements which will be overseen by the Tertiary
Education Quality and Standards Agency. The new arrangements are designed to
support academic autonomy while ensuring that the achievement of minimum
standards can be demonstrated and that there is a strong focus on enhancing the
quality of teaching and learning while expansion of the higher education system
meets national participation ambitions.
3.1.4.
The University also has obligations under the quality and accountability
requirements in Division 19 of HESA. This Compact does not change those
obligations.
Quality: University strategies
UNSW Aspiration
UNSW’s aspiration is to continuously improve our position as a leading research intensive
university in the Asia-Pacific region, focusing on contemporary and social issues through
defined strengths in professional and scientific fields. We seek to make a significant contribution
to the development of knowledge, to learning and teaching, to our students, and to society.
(B2B Blueprint to Beyond, p. 4)
UNSW Aspirations for Learning and Teaching
In accord with this aspiration we are committed to developing globally focused graduates who
are rigorous scholars, capable of leadership and professional practice in an international
community.
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We will do this by:
1. Being a destination of choice for students with the highest potential irrespective of
background
UNSW will ensure that those admitted to educational programs at UNSW have the greatest
possible potential to benefit from the programs and courses that we offer, regardless of their
social or cultural background. (UNSW Student Experience Plan, 2011-13)
2. Ensuring a learning and teaching environment that provides students with an outstanding
student experience
UNSW will develop state of the art facilities to meet the evolving learning and teaching
needs of the 21st century. (UNSW Student Experience Plan, 2011-13)
3. Setting progressive, rigorous and internationally relevant curricula
UNSW will capitalise on its areas of research strength to develop and maintain innovative
academic programs and courses that reflect UNSW’s Beliefs About Learning, utilise
emerging technologies to support learning and teaching, and embrace efficient and quality
assessment practices to realise high quality student learning outcomes. (UNSW Learning
and Teaching Enhancement Plan, 2011-2015)
4. Enhancing capabilities, skills and knowledge of students to pursue professional careers
nationally and internationally
UNSW will affirm its commitment to producing graduates who are rigorous scholars,
capable of leadership and professional practice in a global community by further
strengthening its links to industry and the community, through co-curricula activities and by
embedding the development of graduate capabilities in all programs and courses. (UNSW
Learning and Teaching Enhancement Plan, 2011-2015)
5. Providing a contemporary and engaging campus environment.
UNSW will provide a range of formal and informal flexible learning spaces as partof a
culturally and socially rich learning environment. Further it will provide a range of quality
services and facilities that enable students to undertake cultural, sporting, religious (prayer)
and/or personal business activities. (UNSW Student Experience Plan, 2011-13)
Strategies for Improving the Quality of Learning and Teaching, Student Engagement
and Outcomes
Improving, the Quality of Curriculum (Programs and Courses)
As part of the preparation for the replacement of its student and academic administrative
systems, UNSW has identified the need to simplify current program rules and structures.
During the period of compact, UNSW will engage in a process of program simplification to
ensure that the requirements of its academic programs are more transparent to students and
the community. UNSW will also review and revise current programs and courses to ensure
that they are appropriately developing the institution’s stated graduate capabilities. Further,
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the University will continue its systematic review and revision of assessment practices to
ensure strong alignment with stated learning outcomes and improved efficiency and
education integrity. UNSW will support the integration of educational technology into its
academic programs and courses to support high quality, innovative and engaging learning
and teaching processes
Improving the Quality of Student Learning Experience and Outcomes
UNSW will seek to improve students’ experience of learning through the provision of learning
activities and/or environments that are authentic to their professional needs and aspirations.
We will increase opportunities for work integrated learning, international placements,
participation in study abroad programs, international exchange programs and internships.
UNSW will seek to further strengthen its current approaches to identifying and supporting
students “at risk”. In keeping with the University’s definition of the drivers of the student
experience, UNSW will develop seamless business interactions for students and a model for
wider student representation and participation on University committees. To more effectively
recognise students’ achievement of the institution’s graduate capabilities, UNSW will review
and revise its AHEGS to ensure that it more effectively documents the full range of learning
activities through which they develop these capabilities. UNSW has established the UNSW
Advantage program which brings together all the co-curricular activities that appear on the
AHEGS and that are linked to the graduate attributes.
Improving the Quality of Teaching (Staff Practice and Scholarship)
In recognition that quality staff are central to quality teaching, UNSW will further enhance the
opportunities it provides for staff to develop the knowledge, skills and capabilities necessary
for effective teaching. Specifically it will strengthen its Foundations program in learning and
teaching for newly appointed staff; expand its ongoing series of professional learning
seminars on topics of strategic interest in learning and teaching; encourage staff to further
develop their scholarship in learning and teaching through participation in formal accredited
programs in higher education learning and teaching; and facilitate the dissemination of good
practices amongst the university community.
Improving the Learning Environment (organisational, physical, virtual)
To ensure that we provide our students with a quality learning environment, UNSW is
committed to maintaining high quality, flexible, formal and informal learning and teaching
spaces that enable and support both collaborative and independent learning. Further, the
University will develop its information and communications infrastructure to ensure that new
and emerging technologies can be effectively integrated into both learning and teaching and
provide a capacity for the development of new intra- and inter-institutional academic
programs and courses.
International Programs and Initiatives
As is detailed in UNSW’s Strategic Intent, Blueprint to Beyond and in the UNSW International
Strategy 2011 and Beyond, internationalisation is focused on four areas, international students,
global education, international research and international community. UNSW’s aims in these
areas are outlined below.
UNSW aims to:
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



be a destination of choice for international students with the highest potential and
provide them with an outstanding student experience.
provide all of its students with a global education by setting a progressive, rigorous and
internationally relevant curriculum and by providing opportunities and perspectives for
students as global citizens, on-campus and abroad.
facilitate productive, high impact, international research collaborations which enhance its
profile and visibility as a research-intensive University in the Asia-Pacific region and as a
peer in good standing with the best globally.
engage with the international community by developing and maintaining highly valued
reciprocal relationships with UNSW alumni networks.
Monitoring Quality of Learning and Teaching Performance
The priority goals for learning and teaching articulated here, inform the development of
learning and teaching enhancement goals and strategies by individual faculties, schools, and
program teams. These local goals and strategies are documented annually in Faculty
Learning and Teaching Enhancement Plans (FLTEP).
Progress towards the realization of the goals and strategies for enhancing learning and
teaching is monitored through the annual Faculty Review of Learning and Teaching (FRLT)
process.
The FRLT process requires UNSW Faculties to submit an annual FRLT Portfolio consisting of:
 a description of their academic quality assurance processes
 performance against their Learning and Teaching Enhancement Plan
 an updated Faculty Learning and Teaching Enhancement Plan,
 their applications for strategic learning and teaching development funding
 an assessment of their performance against UNSW’s Core Learning and Teaching
Indicators (from 2012).
These indicators include:
Input Indicators
1. student quality (ATAR means, medians, range for each UG coursework program; last five
years)
2. student load (total EFTSL commencing and continuing for UG coursework programs;
breakdown by international and domestic; last 5 years)
3. student : staff ratio (Average number of students per “class” in UG coursework programs;
breakdown by lectures, tutorials, labs/studios; last 5 years);
4. student demand (total EFTSL commencing for UG coursework programs; breakdown by
international and domestic; last five years)
Process Indicators
5. student retention (percentage of first year cohort for UG coursework programs commencing
year two studies; last five years)
6. student success (pass rates – percentage of students in UG coursework programs awarded
Page 16
a grade of PC, P, C, D, HD last 5 years);
7. coherence between students’ experience of learning within the faculty and UNSW’s beliefs
about learning (average CATEI results for core items for all courses in program; last five
years).
Outcome Indicators
8. current student satisfaction with UG coursework programs (average SES results for all
courses in program; last five years)
9. graduate satisfaction with UG coursework programs (CEQ scales: good teaching, generic
skills, overall satisfaction for most relevant field(s) of study and benchmarked against
UNSW, Go8, and National scores
Output Indicators
10. completion rates (for all UG programs, last five years benchmarked against other Go8
institutions)
FRLT Portfolios are assessed by an external panel that provides a report listing
commendations, affirmations and recommendations. From 2011, the progress of Faculties in
addressing their affirmations and recommendations will be followed-up in subsequent FRLT
Portfolios.
The quality of international offerings
Over the past five years progress has been made on a number of University-wide and faculty
specific initiatives that internationalise its curriculum.
UNSW Graduate Attributes focus on developing Scholars, Leaders, Professionals and Global
Citizens. In developing Global Citizens UNSW will produce graduates who are:
 capable of applying their discipline in local, national and international contexts
 culturally aware and capable of respecting diversity and acting in socially
just/responsible ways
These attributes continue to be contextualised and embedded by faculties within their
curriculum.
International Degrees
UNSW has a number of international degree programs Bachelor of International Studies,
Bachelor of International Studies/Bachelor of Law, Bachelor of Commerce (International),
Bachelor of Science (International). UNSW’s international degrees are premium programs that
attract high achieving students. Language studies are compulsory in the Bachelor of
International Studies and the Bachelor of Science (International) and encouraged in the
Bachelor of Commerce (International). All international degree programs require that students
undertake an overseas study placement.
Student mobility programs
UNSW encourages its students to undertake an overseas exchange as a part of their degree
and has reciprocal exchange agreements in place with partner Universities from over 30
different countries. Reciprocal exchange agreements allow students to pay standard tuition fees
and receive full credit transfer for their overseas studies.
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UNSW provides Higher Degree Research students with a number of student mobility options
both centrally and through Faculty specific programs. For example the Practicum Exchange
Program (PEP) is a non-award exchange program tailored for research students gain
international experience at a partner institution. The Program enables research students to
obtain international research experience or professional/industrial practice.
International Student engagement
UNSW provides international students with a comprehensive range of specialist and
mainstream support services covering the full spectrum of the student life cycle from enrolment
through to graduation. Where appropriate, and to supplement UNSW’s mainstream support
services, a number of specialist services are offered to international students.
UNSW regularly holds social events to promote cultural understanding and engender a sense of
belonging amongst international students, wherever possible students are involved in the
planning of these events.
UNSW also conducts successful peer mentoring programs help students to make the transition
to university life. To provide support to new international students a number of mentors are
experienced international students who go through a selection process and attend a two day
training workshop covering communication skills, ethics, referral and mentor self-care, working
with groups, cultural awareness and occupational health and safety.
UNSW has developed a Global Citizen Program which will provide a mechanism to recognise
students for their participation in global education activities, demonstrating to employers that a
student is proactive, well rounded and globally aware. To be recognised students will need to
accrue a number of points by participating in designated activities and completing Global
Education courses from the UNSW General Education Program.
Student outcomes
The quality of UNSW programs is reflected in the employability of UNSW graduates. UNSW
consistently rates in the QS World Rankings top 50 Employer Review category and consistently
gains a maximum of 5 stars in the Good Universities Guide for Graduate Starting Salary and
Positive Graduate Outcome categories.
UNSW provides international students with a number of mainstream and specialist career
development services to increase their employability at the conclusion of their studies.
3.2.
Equity
Equity: Commonwealth objectives
3.2.1.
The Commonwealth is committed to a fair and equitable higher education system
that provides equal opportunity for people of all backgrounds to participate to their
full potential and the support to do so.
3.2.2.
In particular, the Commonwealth has an ambition that by 2020, 20 per cent of
higher education enrolments at the undergraduate level will be people from low
socio-economic status (SES) backgrounds.
Page 18
3.2.3.
The Commonwealth is also committed to enhancing participation and outcomes for
Aboriginal and Torres Strait Islander people in higher education.
3.2.4.
The Commonwealth funds a range of programs to encourage and support access
to and participation in higher education by people from low SES backgrounds,
Aboriginal and Torres Strait Islander people and other under-represented groups,
including the Higher Education Loan Program and Student Income Support.
3.2.5.
The Commonwealth expects all universities to play a part in meeting the
Commonwealth's higher education participation ambitions, consistent with the
objectives and regulatory requirements of specific equity programs and income
support measures.
3.2.6.
The Commonwealth will monitor the University’s equity performance through the
existing reporting requirements attached to individual programs. The University’s
performance in meeting equity objectives will also be linked with teaching and
learning Performance Funding targets, as specified in the table under paragraph
4.14 of this Compact.
3.2.7.
Universities have obligations under the fairness requirements in Division 19 of
HESA. This Compact does not change those obligations.
Equity: University strategies
B2B Blueprint to Beyond 20102 is UNSW’s articulation of its strategic intent. Clearly articulated
in the B2B is a commitment to equity opportunity and diversity as a guiding principle.
UNSW supports the stated Commonwealth equity objectives and is committed to actively
assisting in the achievement that the sector target of 20% of higher education enrolments at
undergraduate level will be from low socio economic backgrounds by 2020. A number of
innovative strategies have been developed to assist in achieving access from underrepresented
groups.
The UNSW flagship outreach program is the ASPIRE program. The program is an integrated
and multifaceted early intervention program which recognizes that disadvantage impacts on
personal trajectories at an early stage in education. The program aims to work with student
from Kindergarten to year 12, to negate a lack of social capital and promote a culture of
possibility for young low socioeconomic status (LSES) students by familiarizing them with
pathways and positive experiences of university life and to raise awareness that they can attend
university.
Building on this successful program Regional ASPIRE has been developed and will be offered
in collaboration with Charles Sturt University. It will target students in regional NSW.
These programs will be complimented by strategies aimed at flexible entry. These include a
comprehensive integrated enabling program, an online university preparation program and a
Principal’s selection scheme.
2
B2B Blueprint to Beyond 2010 can be downloaded at
http://www.unsw.edu.au/about/pad/B2B_UNSW_Strategic_Intent.pdf
Page 19
The intent of the outlined strategies is to work with different cohorts of students from LSES
backgrounds. It will work from Kindergarten students to mature age students.
The evaluation of all programs will be an ongoing process in consultation with relevant
stakeholders, as the programs are consolidated and further developed.
UNSW is also committed to ensuring that all its students regardless of background have the
opportunities to develop and succeed. In order to achieve this outcome a number of dedicated
teams have been established to drive the participation agenda suite of targeted strategies have
been implemented. These include:
a)
b)
c)
d)
Transition and engagement team
Student development advisors
Disability support team
Student equity team
A suite of targeted strategies have been implemented and will be further developed:
provision of an integrated transition to university program offered to all commencing
students;
peer mentoring and supplementary instruction;
provision of support services for academic, wellbeing, dedicated disability support and
career development;
From 2011 there will be an expansion of targeted transition to work programs and increased
work integrated learning opportunities (eg internships, student ambassador programs volunteer
opportunities).
In order to assist in the success of students, a suite of support mechanisms are also under
development. These include the development of early intervention of students at risk of
academic failure programs, the expansion of mental health support and campus care program
and the investigation of online assessment tools for students to assess academic literacy skills
on entry.
In relation to outcomes for Aboriginal and Torres Strait Islander people, UNSW’s aspiration is to
increase Indigenous enrolments progressively to a target of 500. UNSW aims to increase
course and program completion rates of Indigenous students.
3.3.
Infrastructure
Infrastructure: Commonwealth objectives
3.3.1.
The Commonwealth is committed to the development of world class higher
education infrastructure. A contemporary, technology rich, well designed and
equipped campus environment has a positive influence on staff and student
performance and satisfaction.
3.3.2.
While the responsibility for capital infrastructure development and maintenance
rests with the University, the Commonwealth’s commitment is demonstrated
Page 20
through programs such as the Education Investment Fund. Universities also utilise
Commonwealth Grant Scheme funding for capital works.
3.3.3.
The Commonwealth anticipates that the University will focus not only on
developing new University-owned and operated buildings but also on optimising
the use of existing facilities, refurbishing and adequately maintaining existing
infrastructure, investing in e-learning and other information and communications
technologies (ICT), and utilising space owned by, or shared with, other education
providers.
3.3.4.
The Commonwealth will monitor the University's infrastructure programs, and their
alignment with the Commonwealth's infrastructure objectives, through the
Institutional Performance Portfolio Information Collection.
Infrastructure: University strategies
UNSW was established after the 2nd World War to primarily to provide skills to soldiers returning to
Australia. By 1969 UNSW was the 4th largest university in Australia. This history is both a great
strength in terms of UNSW’s contemporary, applied and professional focus but is also now a legacy
of buildings over 40 years old.
Even after UNSW’s $200m+ investment in the North Mall Development zone, which created or
refurbished 40,000m2 of space, 30% of space is now 40 years or older.
The university needs to continue its program of building renewal and reposition itself for the 21st
century. The renewal programme will take at least 10 years to complete.
UNSW has achieved significant success from the Education Investment Fund with $123m. This
underpins a significant capital programme over the next 3-4 years estimated at more than $600m of
total spending.
Projects underway to modernise and expand teaching space include:
Tyree Energy Technologies Building ($75m EIF Round 1 of $125m)
Gateway @ COFA ($48m EIF Round 2 of $58m)
Wallace Wurth ($20m Dept. Health and Ageing of $127m)
To enhance its campus experience and also to attract more students from regional backgrounds
UNSW has provided 1,300 new beds of on campus accommodation in the last two years. These are
being facilitated by partnerships with New College (Church of England) and Campus Living Villages.
UNSW now has 3,500 beds of student accommodation second only to ANU. The university has
planning underway to increase this number. Student accommodation is a critical issue if universities
are to attract large number of low SES and regional students as well as international students.
Future major capital projects will focus on the infrastructure intensive faculties of Science and
Page 21
Engineering.
The allocation of the Teaching and Learning Capital Fund revenue ($22.5m) has been agreed with
the Commonwealth Government to specific projects which are:
Redevelopment of the David Phillips Sports Fields
AGSM Theatres Renewal (completed in March 2010), 24 CATS AudioInstallations (Stage 1) and Electrical Engineering CATS Renewal
(Stage 2)
Renewal of Teaching Laboratories in the Biosciences and Wallace
Visual
Wurth Buildings
UNSW has an annual renewal programme for its teachings spaces which includes investment in
audio visual equipment.
The IT Investment plan supports investments in technology, ranging from large strategic programs
across the University to small Faculty-specific projects. The overall goal of the plan is to ensure that a
balance is found between supporting the strategic goals of the University, maintaining the current
systems and infrastructure, and meeting the tactical needs of Faculties and Divisions.
Over the next two years the major focus will be updating the core Enterprise Systems of the
University. This will ensure that they continue to remain operational, are stable and have vendor
support. This includes the replacement of the unsupported Student and HR systems with fully
supported sustainable solutions.
Work will also be undertaken to support the UNSW Advantage Program and provide a co-curricular
transcript which will promote student activities and attainments additional to their academic results
and enhance student graduate outcomes by demonstrating UNSW’s commitment to student
engagement and development.
3.4.
Student enrolments
Commonwealth objectives
3.4.1.
The Commonwealth is committed to the expansion of a high quality higher
education sector, to provide opportunities for all capable people to participate to
their full potential.
3.4.2.
An expanded higher education sector will educate the graduates needed by an
economy based on knowledge, skills and innovation.
3.4.3.
The Commonwealth has announced its ambition for growth in higher education
attainment, so that by 2025, 40 per cent of all 25 to 34 year olds will hold a
qualification at bachelor level or above.
Page 22
University student enrolment planning
Since 2005 the University has experienced strong annual growth in coursework enrolments moving
from slightly less than100% of its funded load envelope to 118% of its current funded load envelope
in2010. The University is over-enrolled in most clusters; the notable exception is in Humanities.
A number of factors have contributed to this strong growth. They include strong and increasing
annual demand by school leavers into, not only niche degrees such as Medicine and Optometry, but
also into Commerce and Engineering which have seen increasing entry ATAR cut-offs over time.
Further, even UNSW’s generalist degrees such as the Bachelor of Arts and Bachelor of Science
have experienced increasing ATAR entry cut-offs over time. Another explanation for the growth has
been increasing annual take-up rates of offers which were not predicted. There has been a focus on
admitting disadvantaged students into mainstream degrees through tailored Access programs.
It is considered that this level of growth is unsustainable into future years and the aim over the next
triennium is to consolidate in terms of size of the student body and, where possible, only modest
growth will be achieved.
4.
PERFORMANCE FUNDING
Commonwealth objectives
4.1
Higher education Performance Funding will provide incentives for universities to
improve outcomes for students.
4.2
To be eligible for Performance Funding, the University must:
(i) be a Table A provider (see paragraph 30-1(1)(a)(i) of the Act); and
(ii) be a provider for which the Minister has allocated a number of Commonwealth
supported places to the provider for that year under section 30-10 (see
paragraph 30-1(1)(b) of the Act); and
(iii) be a provider which has entered into a funding agreement with the
Commonwealth under section 30-25 in respect of a period that includes that year
(this being the 2011-2013 Compact).
4.3
Performance Funding has two components:
(i) Facilitation Funding; and
(ii) Reward Funding for achieving university performance targets
Facilitation Funding
4.4
Facilitation Funding acknowledges both the diverse missions of universities and the
commitment to the Australian Government’s learning and teaching goals.
4.5
The Australian Government will provide Facilitation Funding to universities
commencing in 2011.
Page 23
4.6
Facilitation Funding will be paid as a formula driven share of the available funding.
Each university’s Facilitation Funding payment will be calculated on their proportional
share of Commonwealth Grant Scheme Basic Grant Amount (section 33-5 of the
Act) and the Grants to Support National Institutes specified in the Other Grants
Guidelines (item 4 of subsection 41-10 of the Act). Refer to the Performance Funding
Technical Guidelines for further details.
4.7
As a condition of the Facilitation Funding component of Performance Funding, in
accordance with this agreement, the University must:
(i) inform the Australian Government of strategies and goals for achieving the
University’s teaching and learning mission described under clauses 3.1, 3.2 and
3.4; and
(ii) agree to the performance targets relating to specific Australian Government
goals contained in clause 4.14.
4.8
Once a 2011-2013 Compact has been agreed, the University will be paid the 2011
Facilitation Funding amount, plus any indexation, each year of the Compact period.
4.9
The Commonwealth and the University agree to annual review, under Section 9 of
this Compact, of the effectiveness of implementation of the strategies and goals for
achieving the University’s teaching and learning mission described under clauses
3.1, 3.2 and 3.4.
Reward Funding
4.10
From 2012, the Australian Government will introduce Reward Funding for
universities that achieve performance targets.
4.11
As a condition of the Reward Funding component of Performance Funding, in
accordance with this agreement, the University must:
(i) agree performance targets as outlined in clause 4.14;
(ii) supply performance data to the Commonwealth for relevant indicators as per the
requirements set out in section 2 of the Performance Funding Technical
Guidelines; and
(iii) achieve the relevant targets as outlined in clause 4.14.
4.12
Each university’s maximum possible Reward Funding payment will be calculated on
their proportional share of Commonwealth Grant Scheme Basic Grant Amount,
consistent with the focus of Performance Funding being on improvement of teaching
and learning.
HESA Funding Agreement
4.13
This section 4, together with the terms and conditions set out at Attachment D to this
Compact, constitute the HESA Funding Agreement for the provision of Performance
Funding to the University.
Page 24
University performance targets
4.14
The University’s performance targets are in the table below.
(i) Performance targets refer to the year of payment.
(ii) Progress targets represent progress towards achievement of aspirational goals.
Reward Funding for achievement against the 2014 and 2015 progress targets
and aspirational goals would be the subject of a future Compact.
University performance categories and targets
Performance Category 1: Participation and Social Inclusion
Performance indicator 1A: Proportion of domestic undergraduates who are from a low SES
background.
Baseline for improvement target: 8.76% (2009 data)
Excellence Target
Improvement
Target
2012
Reward Payment
2013
Reward Payment
2014
Progress target
2015
Progress target
(target for 2011
students)
(target for 2012
students)
(target for 2013
students)
(target for 2014
students)
N/A
N/A
9.01%
9.41%
10.01%
10.61%
Outcome
Performance indicator 1B: Proportion of domestic undergraduate students who are Indigenous
Baseline for improvement target: 0.71% (2009 data)
Improvement
Target
2012
Reward Payment
2013
Reward Payment
(target for 2011 students)
(target for 2012 students)
0.77%
0.88%
Outcome
Page 25
University performance categories and targets
Performance Category 2: Student Experience
Performance indicator 2A: Domestic undergraduate satisfaction with teaching
(Measured using data from the Australian Graduate Survey – Course Experience
Questionnaire (CEQ) [Good Teaching Scale and Overall Satisfaction Item])
2012
Reward Payment
2013
Reward Payment
N/A
Participate in 2013 CEQ* (2012 final
year students) to establish baseline
performance.
Participation
Outcome
N/A
* the 2012 CEQ report refers to students whose final year of study was in 2011 and who participated in
the CEQ survey in 2012 and where performance was reported in 2013.
Performance indicator 2B: Domestic undergraduate experience
(Measured using data from the University Experience Survey [UES])
2012
Reward Payment
2013
Reward Payment
N/A
Participate in the development of the
UES to establish baseline
performance.
Participation
Outcome
N/A
Page 26
University performance categories and targets
Performance Category 3: Quality of Learning Outcomes
Performance indicator 3A: Domestic undergraduate satisfaction with generic skills
(Measured using data from the Australian Graduate Survey – Course Experience
Questionnaire (CEQ) [Generic Skills Scale])
2012
Reward Payment
2013
Reward Payment
N/A
Participate in 2013 CEQ* (2012 final
year students) to establish baseline
performance
Participation
Outcome
N/A
* the 2012 CEQ report refers to student whose final year of study was in 2011 and who participated in
the CEQ survey in 2012 and where performance was reported in 2013.
Performance indicator 3B: Domestic undergraduate value added generic skills
(Measured using data from the Collegiate Learning Assessment (CLA))
2012
Reward Payment
2013
Reward Payment
N/A
Participate in the development of the
CLA to establish baseline
performance
Participation
Outcome
N/A
Performance indicator 3C: Composite Teaching Quality Indicator (TQI)
2012
Reward Payment
2013
Reward Payment
N/A
Participate in development of
composite indicator (including
providing data) to establish baseline
performance
Participation
Outcome
4.15
N/A
Section 3 of the Performance Technical Funding Guidelines provides detailed
information on the calculation and assessment of the above indicators. Section 4.2.2 of
Page 27
the Performance Funding Administrative Guidelines also provides information on
implementation of new performance indicators.
4.16
The Australian Government undertakes to consult the higher education sector on the
development and enhancement of indicators for the purposes of Performance Funding.
5.
COMMONWEALTH GRANT SCHEME
5.1
Attachment E contains the current HESA Funding Agreement for the provision of
Commonwealth Grant Scheme funding to the University for the 2009 to 2011
calendar years.
5.2
Attachment E becomes part of this Compact on execution of the Compact.
5.3
The Commonwealth anticipates that any future HESA Funding Agreements for the
provision of Commonwealth Grant Scheme funding to the University will also form
part of this Compact.
6.
OTHER FUNDING PROVIDED BY DEEWR
6.1
A list of key programs and funding allocations under which the Commonwealth,
through DEEWR, provides support to the University is set out at Attachment A. This
list may be updated from time to time, including if the University is successful in
applying for any new and/or additional Commonwealth funding.
Page 28
PART THREE
The Minister for Innovation, Industry, Science and Research, with assistance from
DIISR, has Commonwealth responsibility for the matters set out in this Part Three of
the Compact.
7.
RESEARCH, RESEARCH TRAINING AND INNOVATION
A range of research, research training and innovation performance indicators and
targets are proposed in this section. Principal Performance Indicators are
compulsory and institutions may voluntarily nominate Additional Performance
Indicators and targets considered reflective of individual institutional goals.
The Commonwealth recognises that universities have diverse missions and,
consequently, targets and performance will vary between institutions. Universities
should develop performance indicators and targets to reflect their individual
performance and strategic direction.
7.1.
Research performance and research capability
Research performance and research capability: Commonwealth objectives
7.1.1.
The Commonwealth encourages excellence in research performance and the
strengthening of research capability. Particular objectives are to:
a.
progressively increase the number of research groups performing at world class
levels, as measured by international performance benchmarks; and
b.
promote collaboration, including collaboration between researchers within
Australia and internationally.
7.1.2.
The Commonwealth, through DIISR, may provide funding to the University to assist
the University achieve these Commonwealth research performance and research
capability objectives, including through the Sustainable Research Excellence in
Universities (SRE) program, the Research Infrastructure Block Grants (RIBG)
scheme and, where relevant, the Collaborative Research Networks (CRN) program.
7.1.3.
If the University is provided with funding from DIISR under the Collaborative
Research Networks (CRN) program, the University will be required to enter into a
legally binding CRN funding agreement with DIISR. That legally binding agreement
will not be made under HESA and will be separate from, but made within the
framework of, this Compact from the date of its execution.
7.1.4.
Other Commonwealth funding to assist the University achieve these Commonwealth
objectives may also be provided outside of this Compact by the Australian Research
Council (ARC), the National Health and Medical Research Council (NHMRC), the
International Science Linkages program, the Australia-India Strategic Research
Fund, and research infrastructure funds such as the Education Infrastructure Fund,
Super Science Initiative and the Cooperative Research Centres (CRC) program.
Page 29
7.1.5.
The Commonwealth, through the ARC, will implement the Excellence in Research
for Australia (ERA) initiative which will evaluate research undertaken at Australian
universities against international benchmarks. ERA will be used in the future to
assist in determining funding in some research programs (for example, the
Sustainable Research Excellence in Universities [SRE]) administered by the
Commonwealth.
Research performance and research capability: University strategies
The University of New South Wales is committed to conducting research across a wide range of
disciplines. UNSW is investing considerable resources in particular areas where we can make
an impact. We are building on existing strengths, in fields where we are already a world leader,
as well as identifying emerging opportunities, and moving to meet the challenge.
UNSW has as its focus the development of long-term strategic collaborations and partnerships
with high quality research organisations, researchers, industry and end-users. Part of our
strategic plan is to develop critical mass in identified areas of strength. Simply, increasing the
number of collaborations or research groups is not a focus for UNSW.
UNSW’s research effort spans across all faculties and research centres and will continue to be
focused in the following key areas of strategic research strength:

Biomedical Sciences

Water, Environment, Sustainability

Next Generation Materials and Technologies

Social Policy, Government and Health Policy

ICT, Robotics and Devices

Business, Law and Economics
UNSW has a number of underpinning and emerging areas of research strengths including:

Fundamental and Enabling Sciences

Contemporary Humanities and Creative Arts

Defence and Security
UNSW’s ERA results are broadly consistent with these defined areas. The ERA results show
that UNSW has been operating at or above or well-above world standard in all 2-digit Fields of
Research. 78% of the areas examined at the 2-digit Field of Research level have been
operating above world standard or well above world standard. Approximately 90% of all
research activity at UNSW aligns with areas of existing or emerging research strength.
Research at UNSW is supported through the Division of Research which includes the Research
Strategy Office, the Grants Management Office, the Graduate Research School, the ERA
Office, the Mark Wainwright Analytical Centre and NewSouth Innovations.
Page 30
The strategic intent for UNSW research for improving research performance and research
capability is:
1.
Retaining, attracting and developing leading, internationally-recognised research staff
and attracting distinguished visitors.
UNSW will strategically build more depth and quality into our staff profile and improve
the rigour around all of our research appointments to ensure that every appointment
has the potential to be a top class researcher and builds capacity in areas needing
depth/quality.
2.
Building and maintaining a “critical mass” of research activity in key research areas.
3.
Publishing and communicating our research achievements in journals and outlets of
the highest standing internationally.
UNSW will focus on improving high quality publications in top journals through
recruitment of staff who publish in the highest outlets and rewarding quality
publications in key research areas.
UNSW will introduce a new publication quality metric into the definition of “Research
Active Staff”.
4.
Encouraging strategic collaboration of our staff in areas of research strength with the
best in their fields globally.
5.
Enhancing the reputation of UNSW and improving the profile of high-impact UNSW
research and researchers.
6.
Providing an excellent research environment, with cutting-edge research facilities and
equipment.
7.
Developing and expanding research linkages with industry both in Australia and
internationally.
UNSW commits to improving its international profile by networking more aggressively
with like-minded institutions and driving international research linkages.
8.
Achieving best practice in identifying and obtaining research support.
UNSW will improve the quality of rank-and-file ARC and NHMRC research grant
applications and will increase grant success rates through increased support from the
Research Strategy Office for ARC and NHMRC schemes.
UNSW will secure new external funding streams for research by engaging more
strongly with the UNSW Foundation to energize philanthropic support for research
and research training.
Research performance and research capability: Performance indicators and targets
7.1.6.
The purpose of the research performance and research capability performance
indicators and targets is to assist the University and Commonwealth monitor the
University's progress against the Commonwealth's objectives and the University's
strategies for research performance and research capability.
Page 31
7.1.7.
The University will aim to meet the research performance and research capability
performance indicators and targets set out in the following table.
Baseline3
Target
20134#
Number of disciplines, as defined by two-digit Fields of Research
(FoR), performing at world standard or above (3, 4 or 5)
23
23
Number of disciplines, as defined by four-digit FoR, performing at
world standards or above (3, 4 or 5)
84
84
Disciplines the university commits to demonstrating substantial
improvement in as defined by two-digit FoR and/or four-digit FoR
-
-
Principal Performance Indicators
(Required)
Note:
# UNSW cannot commit to demonstrating substantial improvements in any 2-digit or 4-digit Field of Research for
2013. Even with the assumption that the assessment criteria for the ERA remain the same for the next ERA period,
the reference period for the next ERA has already passed (31-12-2010) and it is simply unrealistic for UNSW to set
any new target ERA targets.
3
Baseline data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
Category 1 income is collected through the 2010 HERDC data collection but refers to income in 2009. Similarly, the
targets relate to the year in which the data is collected.
4 Target refers to data collected in the previous year. For more information, see definition of baseline data.
Page 32
Principal Performance
Indicators (Required)
Category 1 income#
Number of joint research
grants and jointly
supervised PhD students
with other universities and
research organisations
 Grants - in Australia*





Grants – overseas^
PhD - in Australia##
PhD – overseas^
Total - in Australia
Target 2011
Progressive
Target 2012
Target
20137
$128,419,260
$110,000,000
$115,500,000
$121,300,000
781
233
820
244
9
781
242
10
820
254
861
256
5
14
866
270
904
269
10
17
914
286
Baseline5
Progressive
6
Total – overseas
Note:
#
UNSW predicts a significant reduction in research income reported based on the on the expected impact of
changes to the definitions of research income and our ability to report shared research income under the revised
HERDC Guidelines.
*
InfoEd: Number of active joint research grants with other universities & research organisations as determined by
fund code categories 3a, 4 and 5:
Category 3a – Australian industry and other research income (Contracts, Grants Donations Bequests and
Foundations)
Category 4 – Grants from CRC’s where UNSW is a member
Category 5 – Grants direct from other Australian Universities
^
InfoEd: Number of active joint research grants with other universities & research organisations as
determined by fund code category 3b – Grants from International Bodies.
##
This partner Joint PhD’s and Australian Go8 Joint PhDs – inbound and outbound students. Projected
increases are part of UNSW’s strategy to strengthen research collaborations between UNSW and partner
institutions both nationally and internationally. Jointly supervised PhDs within Australia will be subject to
current face to face discussions with DIISR and DEEWR as data is not available.
5
Baseline data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
Category 1 income is collected through the 2010 HERDC data collection but refers to income in 2009. Similarly, the
targets relate to the year in which the data is collected.
6 Progressive target refers to data collected in the previous year. For more information, see definition of
baseline data.
7 Target refers to data collected in the previous year. For more information, see definition of baseline data.
Page 33
7.2.
Research training
Research training: Commonwealth objectives
7.2.1.
The Commonwealth encourages excellence in the provision of research training.
Particular objectives are to:
a.
Support research excellence and develop an internationally competitive
research workforce in Australia through high quality research training; and
b.
Significantly increase the number of students completing higher degrees by
research over the next decade.
7.2.2.
The Commonwealth, through DIISR, may provide funding to the University to assist
the University achieve these Commonwealth objectives, including through the
Research Training Scheme (RTS), Australian Postgraduate Awards (APA), and
International Postgraduate Research Scheme (IPRS).
7.2.3.
Other Commonwealth funding to assist the University achieve these Commonwealth
objectives may also be provided outside of this Compact by the ARC, NHMRC,
DEEWR and DIISR, for example through the Cooperative Research Centres (CRCs)
program.
Research training: University strategies
The University of New South Wales is committed to providing the highest quality research
experience and research training programs tailored for specific disciplines and competitive with
the best programs worldwide. Commonwealth funding supports research training primarily
through the Graduate Research School and the through the Faculties at UNSW.
Dean of Graduate Research:
 overall responsibility for quality of research training programs and Higher Degree
Research (HDR) candidatures
 responsible for developing and implementing HDR related policy
Graduate Research School:
 provides consistent administrative support for all HDR candidatures
 develops and coordinates research induction and generic skills training and
 works with Faculties to attract and support the best local and international postgraduate
researchers through Commonwealth scholarship and fee support.
UNSW Faculties:
 provide HDR infrastructure and administrative support at School/Faculty level
 develop discipline specific induction and skills development
 select and support candidates to ensure alignment with research strengths
The following sections outline strategic intent for UNSW research training from 2011 to 2013
with specific reference to how UNSW proposes to use Commonwealth funding from the RTS,
APA, IPRS and CTS:
1. Support high quality research training
The UNSW Graduate Research School (GRS) was formed in 2005 to provide consistent
Page 34
and high quality research training support. A restructure, commenced in 2010 aims to
provide increased support for our growing pipeline of postgraduate researchers as well as to
develop new programs in collaboration with Faculties to support generic skills development.
The latter will be via two mechanisms: the academic pathway and the industry pathway
programs. A review of the UNSW PhD led by Academic Board and a review by the Dean of
Graduate Research of policy relating to HDR candidatures have commenced in 2011. The
former will be finalized by the end of 2011 and the latter will be an ongoing process.
Combined, these activities will provide mechanisms for policy analysis, consultation, review
and development to assure clear guidance for all HDR candidature matters. Supervisor
development programs are also critical to high quality research training. UNSW has a plan
for development and implementation of an expanded program (see below for more details).
2. Increase the number of students completing higher degrees by research (HDR)
UNSW completions are predicted to increase in 2012-2013 as a result of the significant
increases in load occurring over the 2008-2009 period. Given the planned increases in
load, completions are also expected to increase further. UNSW currently has capacity for
increasing load and this will be further improved via the development of supervisors and by
ensuring sufficient infrastructure is available. Provision of these is directly dependent on
Commonwealth funding. Robust benchmarking with Australian and international universities
has identified that completions in disciplines outside the Science, Engineering and Medicine
fields tends to be significantly lower. Continuing analysis of this finding in collaboration with
the Group of Eight and Universities Australia over 2011 aims to identify reasons for the
difference and put in place strategies to address the issue. Internally, the GRS monitors
progress and completion and plans to add to current approaches by developing online
annual progress review procedures which will improve access and monitoring. The thesis
examination management system, which was implemented in 2010 will allow candidates to
track progress of their thesis examination and will allow GRS to better monitor and reduce
examination timelines.
3. Improve quality of the HDR student experience
The three areas that will be the major focus over the next three years are: quality
supervision, infrastructure and communication - all considered critical for improving quality
of the HDR candidate experience. In the area of supervision, introduction of leadership and
mentoring development alongside consolidation and review of the existing programs is
planned. The sharing of supervisor development programs with an alliance of Universities
including ANU, CSU, UCanberra, ACU, UWS and UNSW will allow better access to a range
of programs across Kensington, Paddington and Canberra UNSW campuses. Plans for
infrastructure development provide for development of additional centrally funded space that
will cater largely for candidates in the humanities and those in the writing up stages of their
programs. Two spaces have been developed in 2009-2010 and their success has
encouraged further initiatives. Finally, successful communication initiatives implemented in
the past such as the postgraduate researcher newsletter and forums with the Dean of
Graduate Research will continue. To augment these, plans to encourage postgraduate
researcher led meetings and conferences will be implemented by GRS. These will
complement the existing postgraduate representative associations.
4. Enrol HDR student in areas of research strength
GRS will work with Faculties in two areas. First, a points system for scoring scholarship
applicants that takes into account area of research strength, resources and supervision as
an assessment of “completion potential” will be implemented. This will be complemented
with guaranteed offers of Commonwealth funded scholarships to eligible candidates coming
Page 35
to UNSW with supervisors joining UNSW aligned with our research strengths as strategic
hires or those on prestigious fellowships. Second, an admission process that requires
Faculty sign off on area of research strength, resources and supervision will be initiated.
GRS will also integrate admissions with the scholarship administration to streamline
processes and monitor the systems outlined above.
5. Collaborate with other universities on research training
UNSW had 9 international and domestic Cotutelle candidates in 2009. In 2011 UNSW will
broaden these programs into a more widely applicable Joint PhD program that will cover
collaborations with both international and local partner universities. The latter is dependent
on development of appropriate mechanisms for sharing RTS places and completions
between Australian institutions under Commonwealth funding programs. Policy and
procedures for this have been developed at UNSW and will be implemented in 2011.
Underpinning the policy is a requirement for evidence of research collaboration with partner
institutions to ensure a truly joint research degree and to support further growth of the
collaboration and it's outputs. Work will continue with the Go8 to align HDR policy to allow
ease of operation of joint PhDs. Additionally, UNSW will play a key role in Universities
Australia’s development of quality measures for research training under the Council of
Deans and Directors of Graduate Studies (DDOGS). In 2011, UNSW will work with the
Universitas 21 global group of DDOGS to hold a global postgraduate researcher conference
at the University of Nottingham campus in Malaysia and to implement the U21 joint PhD that
UNSW became a signatory to in 2010.
Research training: Performance indicators and targets
7.2.4.
The purpose of the research training performance indicators and targets is to assist
the University and Commonwealth monitor the University's progress against the
Commonwealth's objectives and the University's strategies for research training.
7.2.5.
The University will aim to meet the research training performance indicators and
targets set out in the following table.
Principal Performance
Indicators (Required)
HDR Student load
HDR Student completions by level
of degree
 masters
 doctorates
Baseline8
Progressive
Target 20119
Progressive
Target 2012
Target
201310
2589
2877
2985
3105
112
451
93
494
105
503
118
520
8
Baseline data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
Category 1 income is collected through the 2010 HERDC data collection but refers to income in 2009. Similarly, the
targets relate to the year in which the data is collected.
9
Progressive target refers to data collected in the previous year. For more information, see definition of
baseline data.
10
Target refers to data collected in the previous year. For more information, see definition of baseline data.
Page 36
7.3.
Innovation
Innovation: Commonwealth objectives
7.3.1.
The Commonwealth encourages innovation and seeks to build an innovation system
which contributes to economic growth and wellbeing by promoting links between
Australian businesses, universities and publicly-funded research agencies.
7.3.2.
The Commonwealth, through DIISR, may provide funding to the University to assist
the University achieve this Commonwealth objective, including through the Joint
Research Engagement (JRE) program. Details of any funding provided by DIISR to
the University to encourage innovation are set out in Attachment B.
7.3.3.
Other Commonwealth funding to assist the University to achieve this
Commonwealth objective may also be provided outside of this Compact including
through Commercialisation Australia, the CRC and Enterprise Connect programs,
and by AusIndustry and the ARC.
Innovation: University strategies
Industry Engagement
A distinctive feature of UNSW’s research profile is end-user-focused research, driven primarily
by the sciences, engineering, and technological and professional disciplines, underpinned by
the humanities and social sciences. Consistent with this profile, UNSW has focused on
strategies to engage industry and address applied research problems.
The effectiveness of these strategies is reflected in UNSW’s success in the award of the
number of ARC Linkage grants which is ranked number 1 in Australia, successes in multipartner Centres (ARC Centres of Excellence, CRCs etc), and recent Australian Government
initiatives aimed at delivering tangible, commercial outcomes (Bionic Vision Australia, Australian
Solar Institute).
UNSW’s strategy is firstly, to strengthen existing partnerships with industry, and to build on
these established relationships as a strong base to ensure delivery of innovative research
solutions to current problems. Secondly, the new processes and models of engagement with
industry have positioned UNSW to now initiate and participate in new multi-partner collaborative
partnerships that are aligned with the University’s research strengths. Strategies include:

Strategic support for researchers in engaging with industry and matching UNSW
researchers’ expertise with industry needs via the Research Strategy Office, with a
particular focus on Linkage grants;

Targeted funding to support Centres and similar large scale initiatives with
Government, other Australian Universities and industry, to support growth in areas
of research strength; and

Appointment of a Director of Research Partnerships in 2011 to coordinate and
increase UNSW’s participation in external partnerships including
contracts/consulting and international research programs.
International Engagement
UNSW’s engagement in international research is central to achieving research excellence in our
Page 37
defined areas of research strength. UNSW’s International Research Strategy focuses on
international partners, research funding, researcher mobility and showcasing UNSW
researchers and research. Partnerships with a limited number of top tier Universities with
similar focus and aligned research priorities underpin this strategy, as well as engaging in
research that is of importance to regional and social issues.
Commercialisation
UNSW, through NewSouth Innovations (NSi) continues to invest and support the development
of breakthrough technologies. NSi is the technology commercialisation and technology transfer
company at UNSW and manages the intellectual property portfolio of the University.
NSi staff, through it’s team of Faculty embedded Commercialisation Managers and Business
Development Managers, work closely with UNSW researchers to identify, capture, protect and
exploit new intellectual property. Technology transfer typically involves the protection of IP
through patents and other forms of protection, the licensing of that technology and the raising of
capital through the formation of spin-off companies.
NSi assesses all new intellectual property developed at UNSW and develops a strategy for the
best approach to protection and commercialisation. The resulting portfolio of technology assets
is marketed globally through in-bound and out-bound marketing channels.
The current Intellectual Property portfolio consists of about 60 patent families, with more than 50
revenue-generating licences. There are currently four active spin-off companies developing
technology originated at UNSW, with expectations of further spin-offs to come.
UNSW is a member of Uniseed – a $61 million fund that has a commitment, through pre-seed
and seed stage venture capital investment, to commercialise the outcomes of Australian
research and ingenuity from the University of Queensland, the University of Melbourne and the
University of New South Wales.
In addition to the direct promotion of technologies, NSi also promotes UNSW’s broader
research and development capabilities to industry – thus enabling UNSW to be an effective
player in the global open innovation movement. NSi delivers value to the university, and
researchers, through licensing, technology sales and the creation for UNSW developed spin-off
companies including the raising of investment funds for these companies.
Innovation: Performance indicators and targets
7.3.4.
The purpose of the innovation performance indicators and targets is to assist the
University and Commonwealth monitor the University's progress against the
Commonwealth's objectives and the University's strategies for innovation.
7.3.5.
The University will aim to meet the innovation performance indicators and targets
set out in the following table.
Page 38
Principal Performance
Indicators
(Required)
Category 3 research income
Number of active collaborations14
and partnerships15 with industry
and other partners:
 in Australia # * ^
 Overseas
Note:
## ** ^^
Baseline11
Progressive
Target
201112
Progressive
Target 2012
Target
201313
$85,859,865
$50,000,000
$51,000,000
$52,000,000
1,185
513
1,185
513
1,185
513
1,185
513
Active joint research grants with other universities & research organisations category 3a – Australian
industry and other research income (Contracts, Grants Donations Bequests and Foundations)
*
Number of active records in Category 4 (CRCs)
^
Active collaboration agreements involving external parties involving New South Innovations.
##
Active joint research grants with other universities & research organisations category 3 – Grants from
International Bodies
**
Active Research-only MOUs, and MOUs for academic and/or research collaborations; includes 10
Cotutelle agreements.
^^
Active collaboration agreements involving external parties involving New South Innovations
#
11Baseline
data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
Category 1 income is collected through the 2010 HERDC data collection but refers to income for 2009. Similarly, the
targets relate to the year in which the data is collected.
12 Progressive target refers to data collected in the previous year. For more information, see definition of
baseline data.
13 Target refers to data collected in the previous year. For more information, see definition of baseline data.
14
Collaboration involves activities where two or more parties work together and each contributes resources
such as intellectual property, knowledge, money, personnel or equipment, to address a shared objective with
a view of mutual benefit
15 Research and development collaborations with industry or other partners with a commercial intent: include active
ongoing research projects or partnerships activated through a written agreement (eg contract or signed letter of
intent) between the university and either Australian or overseas industry partners. Activities could include, joint
research/development projects with industry or arrangements with firms to commercialise research outcomes, other
non-teaching activities, or other collaborations).
Page 39
Principal Performance Information1617
(Required)
Number of patent and plant breeder’s rights
families filed, issued and held
Number of licences, options or assignments
(LOAs)18 executed and income derived
Number and value of research contracts and
consultancies executed
Investment in spin-out companies during the
reporting year and nominal value of equity in
spin-outs based on last external
funding/liquidity event or entry cost
7.3.6.
Baseline
Filed 43
Issued 11
Held 99
No. 45
Value($) $5,900,000
No. 2264
Value($) $57,664,000
Investment ($)
Value($)
$5,328,000
(UNSW did not launch any
during 2009)
The set of performance information on patents and other research
commercialisation activities does not require targets. Universities should advise their
baseline performance here. Annual reporting on future performance against these
indicators will be in the context of the Institutional Performance Portfolio Information
Collection commencing in 2011.
Additional Performance
Indicators (May be proposed by
the University)
Examples of possible indicators
include the number of contracts
and grants awarded to support
Category 3 research income,
Category 2 or 4 income etc.
Baseline19
Progressive
Target 201120
Progressive
Target 2012
Target
201321
NA
NA
NA
NA
16
This set of performance information does not require targets. Universities will be asked to advise their baseline
performance and will report on their future performance in the context of the Institutional Performance Portfolio
Information Collection commencing in 2011. Patent and plant breeder right family refers to a group of patent or plant
breeder rights applications or grants emanating from a single filing. Note: this question only concerns patent and
plant breeder rights families, and is not in reference to families of other forms of registered IP (ie trade marks).
17 Please use the definition of contracts and consultancies utilised in the National Survey of Research
Commercialisation (NSRC). A copy of the survey is available at this URL:
http://www.innovation.gov.au/Section/Innovation/Pages/TheNationalSurveyofResearchCommercialisation.aspx
18 A LICENCE agreement formalises the transfer of technology between two parties, where the owner of the
technology (licensor) grants rights to the other parties (licensee). An OPTION agreement grants the potential
licensee a time period during which it may evaluate the technology and negotiate the terms of a licence agreement.
An option agreement is not constituted by an Option clause in a research agreement that grants rights to future
inventions, until an actual invention has occurred that is subject to that Option. An ASSIGNMENT agreement
conveys all right, title and interest in and to the licensed subject matter to the named assignee.
19 Baseline data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
Category 1 income is collected through the 2010 HERDC data collection but refers to income in 2009.
Similarly, the targets relate to the year in which the data is collected.
20 Progressive target refers to data collected in the previous year. For more information, see definition of
baseline data.
21 Target refers to data collected in the previous year. For more information, see definition of baseline data.
Page 40
7.4.
8.
FUNDING FOR RESEARCH AND RESEARCH TRAINING PROVIDED BY DIISR
8.1
Attachment B sets out the University’s Commonwealth funding allocations for 2011
from Commonwealth research and research training programs administered by
DIISR. This list may be amended from time to time, including if the University is
successful in applying for any new and/or additional Commonwealth funding.
Page 41
PART FOUR
9.
COMPACT REVIEW
9.1
This Compact will be reviewed annually by both the Commonwealth and the
University. This review will be a mechanism for considering progress made towards
agreed goals outlined in this Compact. It will aim to ensure that the Commonwealth
and the University will continue to focus on key objectives and strategies.
9.2
The review will create an opportunity to consider any developments that may have
occurred in the previous year, and whether these may impact on the Compact or
trigger a need to amend the Compact.
9.3
To facilitate this review the Commonwealth will produce an annual Institutional
Performance Portfolio and the University agrees to contribute to the annual
Institutional Performance Portfolio Information Collection (IPPIC). The
Commonwealth will consult with the higher education sector on the information
collection requirements and any issues arising from the IPPIC process.
Page 42
PART FIVE
10.
10.1
GENERAL PROVISIONS
Administration of the Compact by the Departments
10.1.1
DEEWR will administer Part Two of this Compact and DIISR will administer Part
Three of this Compact, in accordance with their respective Ministers’ legislative
responsibilities under the Administrative Arrangements Orders as in force from time
to time. The other Parts of this Compact may be administered by one or both
departments
10.1.2
In administering the Compact, employees of each Department will make decisions in
accordance with any relevant instruments of delegation or authorisation in force from
time to time.
10.2
10.2.1
10.3
10.3.1
10.4
10.4.1
10.4.2
Departmental Meetings and Liaison
Employees of the Departments will collaborate to streamline as far as practicable the
Commonwealth’s interactions with the University.
Part 2-2 HESA Funding Agreements
To the extent that this Compact contains Part 2-2 HESA Funding Agreements, the
University acknowledges that each such Part 2-2 HESA Funding Agreement is
subject to specific legislative and other requirements and that the University will need
to meet all such requirements.
Privacy, confidentiality and information sharing
Subject to clause 10.4.2 below, the University acknowledges and agrees that any
information it provides to either DEEWR or DIISR for the purposes of this Compact,
or for any Part 2-2 HESA Funding Agreement contained in this Compact, may be
accessible under the Freedom of Information Act 1982 and may also be:
a.
published by the Commonwealth in any manner in accordance with any
legislative requirement;
b.
used by a Department for any purpose of the Commonwealth, including
dealings with other Commonwealth agencies;
c.
used in reporting to or answering questions from a Minister of State of the
Commonwealth or a House or Committee of the Parliament of the
Commonwealth; or
d.
disclosed where the Commonwealth is required or permitted by law to do so.
The Commonwealth and the University agree to carry out their roles under this
Compact in accordance with any obligations they have under the Privacy Act 1988 or
any state or territory law relating to the protection of personal information.
Page 43
10.4.3
10.5
The Commonwealth recognises that the University’s Confidential Information has
commercial value to the University and may disadvantage the University if it is
disclosed. Accordingly, the Commonwealth will not publish or otherwise disclose the
University’s Confidential Information unless required by law to do so, or unless the
University consents in writing prior to such disclosure.
Variation
10.5.1
Subject to clause 10.5.2 below, except for action that either the Commonwealth or
the University is expressly authorised to take elsewhere in this Compact, any
variation to this Compact is to be in writing and signed by the University's, and both
of the Commonwealth’s Representatives.
10.5.2
A variation to:
a.
any provision of Part Two only or to any Attachments to this Compact that arise
solely under a provision of Part Two must be in writing but needs only to be
signed by the Commonwealth's DEEWR Representative and the University.
b.
any part of this Compact that forms part of a Part 2-2 HESA Funding Agreement
may only be made under this clause 10.5.2 if that funding agreement does not
contain variation provisions specific to that funding agreement;
c.
any provision of Part Three only or to any Attachments to this Compact that
arise solely under a provision of Part Three must be in writing but needs only to
be signed by the Commonwealth's DIISR Representative and the University.
Either DEEWR or DIISR as the case requires will send the other Department notice
of any variation made in accordance with paragraph (a) to (c) above.
10.6
10.6.1
Notices
A party wishing to give notice under a provision of this Compact:
a.
must do so by sending it to each of the other Representatives set out in
clause 10.6.3; and
b.
must, if a response is required to the notice, set out the time in which the
response is to be given;
10.6.2
Notices required to be sent by the University to the Commonwealth under this
Compact are to be sent to both the DEEWR and DIISR Representatives set out in
clause 10.6.3.
10.6.3
The Representatives are:
a. University Representative
David MacPherson
Director Institutional Analysis and Reporting Office
Division of the Deputy Vice-Chancellor (Academic)
Building Chancellery
Room Number 158
E: d.macpherson@unsw.edu.au
Page 44
T: 02 9385 3144
F: 02 9385 2115
b.
DEEWR Representative
Group Manager
Higher Education Group
Department of Education, Employment and Workplace Relations
GPO Box 9880
Canberra ACT 2601
OR
compacts@deewr.gov.au
c.
DIISR Representative
Head of Division
Research Division
Department of Innovation, Industry, Science and Research
GPO Box 9839
Canberra ACT 2601
OR
compacts@innovation.gov.au
10.7
10.7.1
Termination/Transition Plan
If for any reason, either or both of the Commonwealth or the University reasonably
believes that it is not possible to continue the operation of this Compact:
a. The Commonwealth and/or the University, as the case requires, will give the
other notice of that belief;
b. The Commonwealth and the University will negotiate in good faith to resolve
any issues in bringing this Compact to an end; and
c. The Commonwealth and the University will implement an agreed transition out
plan to bring the Compact to an end.
10.7.2
Notwithstanding clause 10.7.1, if:
a.
the University ceases to exist as a body corporate; or
b.
the University ceases to be approved as a higher education provider under
HESA,
the Commonwealth shall have the right to terminate this Compact immediately by
giving the University Representative written notice.
10.7.3
Except to the extent of any rights the University has under a Part 2-2 HESA Funding
Agreement contained in this Compact, the University is not entitled to compensation
Page 45
for any loss, damage or claim arising from or in connection to the early termination of
this Compact by the Commonwealth.
10.7.4
These termination and transition out provisions are without prejudice to and do not
alter any other rights or obligations of the Commonwealth and the University
pursuant to their funding arrangements.
10.7.5
Rights and obligations of the Commonwealth and the University under the Funding
Agreement at Attachment E that exist as at the date of termination of the Compact
survive the termination of the Compact
10.8
Order of precedence
10.8.1
In this Compact:
a. each HESA Funding Agreement contained in this Compact operates as a
separate agreement between the Minister for Tertiary Education, Skills, Jobs
and Workplace Relations and the University.
b. In the event of an inconsistency between the terms of a HESA Funding
Agreement contained in this Compact and the Operational Provisions in this
Part Five, the term of the HESA Funding Agreement will prevail for the
purpose of that agreement.
10.9
Counterparts
10.9.1
This Compact may be signed in any number of counterparts and all counterparts
together constitute one instrument.
10.10 Dictionary
10.10.1
In this Compact, unless the contrary intention appears:
‘Appropriation' means a law, or provision in a law, that authorises the expenditure of
money by the Commonwealth.
‘DEEWR’ means the Commonwealth Department of Education, Employment and
Workplace Relations or any successor.
‘Department’ means either or both of DEEWR or DIISR as the case requires.
‘DIISR’ means the Commonwealth Department of Innovation, Industry, Science and
Research or any successor.
‘Tertiary Education Minister’ means the Minister administering Part 2-2 of HESA.
‘HESA’ means the Higher Education Support Act 2003 and includes any subordinate
legislation or Ministerial determination made under that Act.
‘HESA Funding Agreement' means a funding agreement:
a.
that is made under section 30-25 of HESA by the Minister for Tertiary
Education, Skills, Jobs and Workplace Relations and the University for the
provision of a grant of funding to the University under Part 2-2 of HESA; and
Page 46
b.
with which the University is required to comply under section 36-65 of HESA.
‘Institutional Performance Portfolio’ (IPP) is a report which provides an historical record of
a university's performance based on information provided by the university and an
analysis of the Higher Education Data Collections. An IPP will be prepared by the
Commonwealth for the University annually using the latest available data.
‘Institutional Performance Portfolio Information Collection’ (IPPIC) is a set of
Commonwealth instructions requesting that universities provide a submission to the
Commonwealth, endorsed by the university's chief executive, that includes student, staff,
financial and research information needed for the preparation of an Institutional
Performance Portfolio for that university.
‘Minister’ means either or both of the Tertiary Education Minister and the Research
Minister.
‘Mission’ means the University’s Mission set out at Part One of this Compact as
amended in accordance with the variation provisions in this Compact from time to
time.
‘Research Minister’ means the Minister administering the Australian Research
Council Act 2001.
‘TEQSA’ means the Tertiary Education Quality and Standards Agency.
‘University’ means The University of New South Wales ABN 57 195 873 179
‘University’s Confidential Information’ means the information referred to at
Attachment C to this Compact as 'University Confidential Information' or that the
Commonwealth otherwise agrees in writing is 'University Confidential Information',
but does not include information that is or becomes public knowledge, except due to
non-compliance with this Compact.
Page 47
SIGNED for and on behalf of THE UNIVERSITY OF NEW SOUTH WALES
by
……………………………………………………..
Signature
Professor Frederick G Hilmer
the Vice-Chancellor and President
In the Presence of:
.....................................................................................
WITNESS
.....................................................................................
Full name and occupation or profession of witness (Please print)
SIGNED for and on behalf of
THE COMMONWEALTH OF AUSTRALIA
by
……………………………………………………..
Signature
David de Carvalho
the Group Manager
of Higher Education Group
of the Department of Education,
Employment and Workplace Relations
a Delegate of the Minister for Tertiary Education, Skills, Jobs and Workplace Relations
In the Presence of:
.....................................................................................
WITNESS
.....................................................................................
Full name and occupation or profession of witness (Please print)
SIGNED for and on behalf of
THE COMMONWEALTH OF AUSTRALIA
by
……………………………………………………..
Signature
Anne Baly
the Head
of Research Division
of the Department of Innovation, Industry, Science and Research
a Delegate of the Minister for Innovation, Industry, Science and Research
In the Presence of:
.....................................................................................
WITNESS
.....................................................................................
Full name and occupation or profession of witness (Please print)
Page 48
ATTACHMENT A
INDICATIVE LIST OF COMMONWEALTH FUNDING PROVIDED TO THE
UNIVERSITY BY DEEWR AND RELEVANT TO THE COMPACT
DEEWR provides a range of funding to the University under various legislative and/or
contractual funding arrangements. The following is an indicative list of that funding. The
table will be updated from time to time.
Funding to be delivered during the Compact ($m)
2011
Commonwealth Grant Scheme
-
Cluster funding
-
Enabling loading
0.030
-
Medical student loading
1.291
-
Transitional loading (Maths/Science)
8.008
-
Advance payment for estimated over enrolment
-
Facilitation Funding
171.076
18.040
3.655
Higher Education Partnerships and Participation Program
-
Participation component
2.114
-
Partnership component
0.356
Disability Support Program
-
Additional support for students with disabilities
Not Yet Known
-
Performance based funding
Not Yet Known
Indigenous Support Program
0.752
Diversity and Structural Adjustment Fund
Capital Development Pool
0.261
2.645
Commonwealth Scholarships Program
2.003
Education Investment Fund
55.400*
*This figure is an instalment for the projects ‘Energy Technologies Building’ (EIF Round 1 – total grant
$75m) and ‘Gateway @ COFA’ (EIF Round 2 – total grant $48m).
Page 49
ATTACHMENT B: LIST OF COMMONWEALTH FUNDING PROVIDED TO THE UNIVERSITY BY DIISR
AND RELEVANT TO THE COMPACT
The University of New South Wales – Research Block Grant Funding for 2011
Research Training Scheme (RTS)
$55,556,075
Australian Postgraduate Awards (APA)
$17,441,716
International Postgraduate Research Scholarships (IPRS)
$1,745,494
Research Infrastructure Block Grants Scheme (RIBG)
$21,449,461
Joint Research Engagement (JRE)
$29,405,167
Commercialisation Training Program (CTS)
$616,776
Sustainable Research Excellence (SRE) Base
$2,374,261
Sustainable Research Excellence (SRE) Threshold 1
$472,100
Sustainable Research Excellence (SRE) Threshold 2
$8,747,129
The University of New South Wales – Collaborative Research Networks Funding for 2011
Collaborative Research Networks (CRN)
$0
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ATTACHMENT C
UNIVERSITY CONFIDENTIAL INFORMATION
Not applicable.
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ATTACHMENT D
TERMS AND CONDITIONS OF PART 2-2 HESA FUNDING AGREEMENT FOR
THE PROVISION OF PERFORMANCE FUNDING
Terms and Conditions of Funding Agreement between the Commonwealth and the University
for the purposes of grants in respect of Performance Funding under section 30-25 of HESA
1.
2.
3.
4.
Agreement
1.1
Pursuant to clause 4.13 of the Compact, section 4 of the Compact together with the
terms and conditions in this Attachment D of the Compact constitute the HESA
Funding Agreement entered into by the Minister or his or her delegate (on behalf of
the Commonwealth) with the University under section 30-25 of HESA, for the
provision by the Commonwealth of Performance Funding to the University.
1.2
These terms and conditions apply only to Performance Funding and do not apply to
any other agreement between the Commonwealth and the University entered into
for the purposes of section 30-25 of HESA or for the purposes of any other
legislative provision.
Eligibility
2.1
The University meets the requirements of subparagraph 30-1(1) (a)(i) or
subparagraph 30-1(1)(a)(ii) of HESA.
2.2
It is a precondition to funding being provided under this agreement that the
University does and will continue to meet the requirement in paragraph 30-1(1)(b) of
HESA in each of the Grant years during the term of this agreement.
2.3
Entering into this agreement is a requirement under paragraph 30-1(1)(c) of HESA
for a grant to be payable to the University under Part 2-2 of HESA for Performance
Funding.
Term and Grant years
3.1
The term of this agreement is the same as the term of the Compact.
3.2
This agreement is made in respect of the Grant years 2011, 2012 and 2013.
Conditions additional to the HESA
4.1
Subject to subsections 30-25 (2A) and 30-25 (2B) of HESA, this agreement
specifies conditions to which the grant is subject that are additional to the conditions
to which the grant is subject under Division 36 of HESA.
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5.
Publication
5.1
6.
The Compact, of which this agreement forms part, will be tabled in Parliament in
accordance with subsection 30-25(4) of HESA.
Preconditions to receiving Performance Funding
6.1
Facilitation Funding
As a condition of the Facilitation Funding component of Performance Funding, in
accordance with this agreement, the University must:
(a) inform the Commonwealth of strategies and goals for achieving the university’s
teaching and learning mission described under clause 4.7 of the university’s 2011-13
Compact; and
(b) agree to the performance targets relating to specific Commonwealth goals contained
in clause 4.14 of the 2011-2013 Compact.
6.2
Reward Funding
As a condition of the Reward Funding component of Performance Funding, in accordance
with this agreement, the University must:
(a) agree performance targets as outlined in clause 4.14 of their 2011-2013 Compact
agreement;
(b) supply performance data to the Commonwealth for all indicators as per the
requirements set out in section 2 of the Performance Funding Technical Guidelines;
and
(c) achieve the relevant excellence or improvement targets as outlined in clause 4.14 of
their 2011-2013 Compact agreement.
7.
University’s Grant Amount
7.1
Facilitation Funding
The University’s grant amount for the Facilitation Funding component of Performance
Funding will be calculated in accordance with the Commonwealth Grants Scheme
Guidelines Chapter 12 as in force from time to time during the term of this Agreement.
7.2
Reward Funding
The University’s grant amount for the Reward Funding component of Performance
Funding will be calculated in accordance with the Commonwealth Grant Scheme
Guidelines as in force from time to time during the term of this Agreement.
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7.3
Performance Funding Grant Amount
The University’s total grant amount for Performance Funding in each Grant year (that is,
the total of the amounts in that Grant year for Facilitation Funding and for Reward
Funding) will be the University’s ‘Performance Funding Grant Amount’ for the purposes of
Subsection 33-1(1A) of HESA.
8.
Payment of Grant Amounts
8.1
Facilitation Funding
Subject to the University’s compliance with this agreement and with HESA, the
Commonwealth will pay the Facilitation Funding Grant Amount to the University in
accordance with the following timeframes and conditions:
(a) Facilitation Funding will be paid to eligible universities fortnightly commencing in 2011
and ending in December 2013, with the amount to be paid as per the calculations
outlined in the Technical Guidelines.
(b) In accordance with section 164-5 of the Act, Facilitation Funding payments will be
paid in such a way as the Minister determines, and at such times as the Secretary
determines.
8.2
Reward Funding
Subject to the University’s compliance with this agreement and with HESA, the
Commonwealth will pay the Reward Funding Grant Amount to the University in
accordance with the following timeframes and conditions:
(a) Reward Funding will be paid to eligible universities in one instalment in the second
half of each of 2012 and 2013, with the amount to be paid as per the calculations
outlined in the Technical Guidelines.
(b) In accordance with section 164-5 of the Act, Reward Funding payments will be paid in
such a way as the Minister determines, and at such times as the Secretary
determines.
The University is not entitled to be paid any instalment of its Reward Funding Grant unless
and until the Commonwealth is satisfied that the requirements for paying that instalment
have been met.
9.
Waiver
9.1
If either party does not exercise (or delays in exercising) any rights under this
agreement, that failure or delay does not operate as a waiver of those rights.
9.2 Any waiver by either the Commonwealth or the University of any provision or right
under this Agreement:
(a) must be in writing signed by that party’s representative;
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(b) is effective only to the extent set out in the waiver; and
(c) does not prevent the further exercise of any right.
10.
Dispute resolution
10.1 Subject to clause 10.3, the parties agree not to commence any legal proceedings in
respect of any dispute arising under this agreement, which cannot be resolved by
informal discussion, until the procedure provided by this clause 19 has been used.
10.2 The parties agree that any dispute arising during the course of this agreement is
dealt with as follows:
(a) the party claiming that there is a dispute will send the other party a written notice
setting out the nature of the dispute;
(b) the parties will try to resolve the dispute through direct negotiation by persons who
they have given authority to resolve the dispute;
(c) the parties have 10 business days from the receipt of the notice to reach a resolution
or to agree that the dispute is to be submitted to mediation or some alternative dispute
resolution procedure; and
if:
(a) there is no resolution of the dispute;
(b) there is no agreement on submission of the dispute to mediation or some alternative
dispute resolution procedure; or
(c) there is a submission to mediation or some other form of alternative dispute resolution
procedure, but there is no resolution within 15 business days of the submission, or
extended time as the parties may agree in writing before the expiration of the
15 business days,
then, either party may commence legal proceedings.
10.3 This clause 10 does not apply if:
(a) either party commences legal proceedings for urgent interlocutory relief;
(b) action is taken by Us under clause 20; or
(c) an authority of the Commonwealth, a State or Territory is investigating a breach or
suspected breach of the law by the University.
10.4 Despite the existence of a dispute, both parties must (unless requested in writing by
the other party not to do so) continue to perform their obligations under this
agreement.
11.
Termination for default
11.1 The Commonwealth may immediately terminate this agreement by giving written
notice to the University of the termination if:
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12.
(a) the University fails to fulfil, or is in breach of any of its obligations under this
agreement, and does not rectify the omission or breach within 10 business days of
receiving a notice in writing from the Commonwealth to do so; or
(b) the University is unable to pay all its debts when they become due;
Notices
12.1 Notices under this Agreement must be sent to the addresses and in accordance with
the procedures set out at clause 10.6 of the Compact.
13.
Reports
13.1 The University must, during the term of this agreement, provide the Commonwealth
with the following reports by the due dates set out below:
(a) a report on the provision of performance data by 31 December of each year.
13.2 The University owns the intellectual property rights in the reports and grants to the
Commonwealth (or must arrange for the grant to the Commonwealth of) a
permanent, irrevocable, free and non-exclusive license (including a right of
sublicense) to use, publish or disclose the reports in any of the ways set out in
subclause 10.4.1 of the Compact.
14.
Applicable law and jurisdiction
14.1 The laws of the Australian Capital Territory apply to the interpretation of this
agreement.
14.2 The parties agree to submit to the non-exclusive jurisdiction of the courts of the
Australian Capital Territory and any courts which have jurisdiction to hear appeals
from any of those courts in respect to any dispute under this agreement.
15.
Entire agreement, variation and severance
15.1 This agreement records the entire agreement between the parties in relation to its
subject matter.
15.2 Except for action the Commonwealth is expressly authorised or required to take
elsewhere in this agreement or HESA, no variation of this agreement is binding
unless it is agreed in writing and signed by the parties.
15.3 If a court or tribunal says any provision of this agreement has no effect or interprets
a provision to reduce an obligation or right, this does not invalidate, or restrict the
operation of, any other provision.
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16.
Interpretation
16.1 Words used in this Part D that are defined in HESA or in the Commonwealth Grants
Scheme Guidelines have the same meaning in this Part D as they do in the
document in which they are defined.
16.2 In this Part D:
‘Compact’ means the Mission Based Compact between the Commonwealth and the University
of which this Attachment D forms part;
‘Grant year’ means a calendar year in respect of which the University has entered into this
agreement;
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ATTACHMENT E
PART 2-2 HESA FUNDING AGREEMENT BETWEEN THE COMMONWEALTH
AND THE UNIVERSITY FOR THE PROVISION OF THE COMMONWEALTH GRANTS
SCHEME FUNDING
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