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Annual Report2012–13

Australian Research Council | Annual Report 2012-2013

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LETTER OF TRANSMITTAL

4 October 2013

The Hon Christopher PyneMinister for EducationParliament HouseCANBERRA ACT 2600

Dear Minister

It is with great pleasure that I present the Australian Research Council (ARC) Annual Report for 2012–13.

During 2012–13 the ARC continued to deliver against its identified Outcome, encouraging the growth of knowledge and innovation through managing research funding schemes, measuring research excellence and providing advice.

The annual report has been prepared in accordance with the requirements of the Australian Research Council Act 2001 (ARC Act) and the guidelines referred to in subsection 63(2) of the Public Service Act 1999. In accordance with the Commonwealth Fraud Control Guidelines 2011, I certify that I am satisfied that the ARC has:

prepared fraud risk assessments and fraud control plans which effectively address the risks of the ARC;

in place appropriate fraud prevention, detection, investigation, reporting and data collection procedures and processes that meet the specific needs of the ARC; and

taken all reasonable measures to minimise the incidence of fraud in the ARC and to investigate and recover the proceeds of fraud against the ARC.

Subsection 46(3) of the ARC Act requires you to place a copy of the report before each House of Parliament within 15 sitting days of that House after the day on which you receive it.

Yours sincerely

Professor Aidan ByrneChief Executive Officer


GUIDE TO THE REPORTPurposeThis is the Chief Executive Officer’s (CEO) report to the Minister for Innovation, Industry, Science and Research on the performance of the Australian Research Council (ARC) during the financial year 2012–13.

ContentsPart 1: Overview includes an outline of key activities and announcements during the year, the CEO’s review, and descriptions of the ARC and its strategic environment.

Part 2: Performance is a report on the ARC’s performance against the single Outcome and three Programs identified in the 2012–13 Portfolio Budget Statements.

Part 3: Management and accountability outlines the arrangements in place to support the ARC’s delivery of achievements against its Outcome and Programs. It includes arrangements for governance and external scrutiny and an overview of the ARC’s management of its workforce, financial and legal services, information technology and facilities, and communications activities.

Part 4: Financial performance provides a report on the ARC’s financial performance including the audited and unqualified financial statements and a report by the Auditor-General.

Part 5: Appendices provides additional information to support the reports on performance provided in Parts 2 and 3 as well as reports required under specific legislation and guidelines.

Part 6: Reference includes a list of tables and figures, a glossary, abbreviations, and alphabetical and compliance indexes.

ReportingPerformance data for the National Competitive Grants Program (NCGP), unless otherwise indicated, relates to funding commencing in the 2012–13 financial year (regardless of the date of announcement).

Research case studies, unless otherwise indicated, relate to research projects awarded funding under the NCGP in previous years that have achieved outcomes in 2012–13.

The research case studies provide examples of the benefits of research generated in the short-term. The full impact of the ARC’s investment in research and training can be assessed comprehensively only over the longer term.

Further informationFor more information about this report contact:

Director, Policy and Governance

Australian Research Council

Tel: +61 2 6287 6600

Fax: +61 2 6287 6601

Email: [email protected]

A copy of this report and additional information about the ARC are available at <www.arc.gov.au>.


CONTENTS

Letter of transmittal 3

Guide to the report 4

Part 1: Overview 7

Chapter 1: 2012–13 overview 8

Chapter 2: The Australian Research Council 16

Chapter 3: Strategic environment 24

Part 2: Performance 30

Chapter 4: Outcome 31

Chapter 5: Program 1.1 Discovery 55

Chapter 6: Program 1.2 Linkage 74

Chapter 7: Program 1.3 Excellence in Research for Australia 93

Part 3: Management and accountability 103

Chapter 8: Governance 104

Chapter 9: External scrutiny 115

Chapter 10: People management 120

Chapter 11: Financial and legal services 128

Chapter 12: ICT and facilities 131

Chapter 13: Communication 134

Part 4: Financial performance 140

Chapter 14: Financial overview 141

Chapter 15: Financial statements 138

Part 5: Appendices 145

Appendix 1: Performance framework 146

Appendix 2: National Competitive Grants Program, Discovery Program 150

Appendix 3: National Competitive Grants Program, Linkage Program 155

Appendix 4: Prizes and awards made to ARC-funded researchers 164

Appendix 5: Membership of committees 166

Appendix 6: Client service charter 183

Appendix 7: Work health and safety 185

Appendix 8: Advertising and market research 186

Appendix 9: Ecologically sustainable development 187

Appendix 10: Correction of errors 192

Appendix 11: Staff statistics 193

Appendix 12: Legal services expenditure 196

Appendix 13: Communication 197

Appendix 14: Agency resource statements 198


Part 6: Reference 202

List of figures and tables 203

Abbreviations and acronyms 206

Glossary 210

Compliance index 212

Alphabetical index 218


PART 1OVERVIEWCHAPTER 1: 2012–13 OVERVIEW 8

CHAPTER 2: THE AUSTRALIAN RESEARCH COUNCIL 16

CHAPTER 3: STRATEGIC ENVIRONMENT 24


CHAPTER 12012–13 overview


Key statistics2323 units of evaluation assessed under Excellence in Research for Australia (ERA) 2012

125 staff employed at 30 June 2013

6151 proposals received for funding commencing in 2012–13

20 areas of national strength where ten or more Australian universities were rated at above world standard or higher through ERA 2012

1435 proposals awarded funding commencing in 2012–13

134 members of the ARC College

21.4% Discovery Projects scheme success rate

470 new fellowships and career awards

80% proportion of ARC staff satisfied with their job


Timeline of key events201223 July—Professor Aidan Byrne commenced as Chief Executive Officer (CEO).

25 July—The then Minister for Tertiary Education, Skills, Science and Research, Senator the Hon Chris Evans, announced that new Future Fellowships had been awarded to 209 outstanding mid-career researchers.

30 July—Senator Evans announced 17 new Australian Laureate Fellowships for funding commencing in 2012.

2 August—The ARC Centre Directors’ Forum was held in Canberra.

5 November—$360 million in funding was announced for 1014 new research projects commencing in 2013. In addition, Senator Evans announced that $3.2 million in ARC funding had been awarded to establish a new Aboriginal and Torres Strait Islander Researchers’ Network.

14 November—The Australian Research Council Strategic Plan 2012–13 to 2014–15 was approved by Senator Evans.

19-20 November—The 2012 ARC/National Health and Medical Research Council Research Administrators’ Seminar was held in Canberra.

28 November—The Australian Government released the 2012 National Research Investment Plan.

6 December—The Excellence in Research for Australia 2012 National Report was launched.

14 December—ARC CEO, Professor Aidan Byrne, received the Peter Baume Award, The Australian National University’s highest and most prestigious award. The award is for exceptional staff members and Alumni of the university whose contributions to the economic, cultural, scientific or social development of Australia or the international community have demonstrated distinguished service of the highest degree.

20131 January—The new ARC Open Access Policy came into effect.

23 January—The then Minister, Senator Evans, appointed five new members and reappointed three members to the ARC Advisory Council for 2013 and 2014.

2 April—The ARC requested feedback from the Australian higher education sector on ERA 2012 as part of a review in preparation for ERA 2015.

1 May—The then Minister for Tertiary Education, Skills, Science and Research, The Hon Dr Craig Emerson MP, announced that more than $23 million had been awarded in the inaugural selection rounds for Industrial Transformation Research Hubs and Industrial Transformation Training Centres.

7 May—The then Minister, The Hon Dr Emerson, announced $16 million in funding over four years for a new Science of Learning Research Centre under the Special Research Initiatives scheme.

14 May—As part of the Australian Government’s 2013–14 budget, funding was provided for an additional 150 Future Fellowships, which will be awarded through a selection round for funding commencing in 2014. Funding was also provided to upgrade and enhance the ARC’s information and communication technology systems and to implement an electronic data management system.

28 June—The ARC announced $101.8 million in funding over three years for 306 Linkage Projects grants commencing in July 2013.


Chief Executive Officer’s reviewI am pleased to present the Australian Research Council Annual Report for 2012–13.

The Australian Research Council (ARC) is a significant part of the Australian research sector and the annual report provides an important opportunity to reflect on our particular role within that sector and our performance in delivering against our mission.

In some respects the ARC is unique and it is important that our performance is presented in this context. Specifically, we have three key roles: administering the National Competitive Grants Program (NCGP); managing a research evaluation initiative, Excellence in Research for Australia (ERA); and providing informed research policy advice to Government. Under the NCGP, the ARC supports research primarily in universities across all disciplines. Similarly under ERA, the ARC evaluates the quality of research in universities across all disciplines.

Our performance2012–13 was a very positive and exciting year for the ARC. Our formal key performance indicators (addressed in Chapters 5, 6 and 7 of this report) focus on what is achieved through the NCGP and ERA—to what extent these programs are supporting research excellence, research collaboration and training as well as best practice research evaluation. All of these elements are proven and critical inputs to a stronger research capability.

At the same time the ARC is committed to pursuing better practice in our engagement with stakeholders as well as our supporting organisational capabilities such as governance, people management, financial management and ICT services. Our performance in these areas is outlined in Part 3 of this report.

Supporting excellent researchIn 2012–13 we awarded 1435 research grants to excellent research proposals through 11 selection rounds. Grants awarded ranged in size from $60 000 over two years for a grant under the Discovery Projects scheme to $16.0 million over four years for the Science of Learning Research Centre awarded under the Special Research Initiatives scheme.

THE ARC SUPPORTS THE VERY BEST IDEAS THAT THE SECTOR HAS

I have been privileged to be able to meet with many of the researchers at the institutions that make up the ARC’s grant statistics every year, and it is evident that the ARC is supporting the very best ideas that the sector has across all career levels—from researchers who are making their first discoveries to those who are building on a history of achievement. A small snapshot of the contributions being made to Australia’s knowledge base and innovation pool by ARC-funded researchers is provided in this report (Chapter 4).

Encouragingly there were regular media reports and events about the progress and outcomes of ARC-funded research during the year generated by institutions as well as the ARC.

Enabling research partnershipsDuring the year the ARC completed selection rounds for some strategically focused new funding initiatives, including the Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network (ATSIRN), the Industrial Transformation Research Program (ITRP) and the Special Research Initiative for a Science of Learning Research Centre.

The concept for ATSIRN was developed through consultation with Indigenous Australian research leaders with the aim of overcoming some of the barriers faced by Indigenous Australian researchers in beginning and developing their researcher careers. The successful network—the National Indigenous Research and Knowledges Network or NIRAKN—indicated that it would involve 44


Indigenous academic network participants from 21 universities, the Australian Institute of Aboriginal and Torres Strait Islander Studies and five Indigenous partner organisations.

The ITRP is aimed at strengthening links between university researchers and industry. The benefits of these linkages are well documented, including providing industry with access to university expertise, and providing universities with opportunities to work towards solutions to real world problems. The ARC funded four research hubs and four training centres under the first ITRP selection round.

The selection round for the Science of Learning Research Centre was finalised this year. Led by The University of Queensland, in partnership with six other Australian Universities and the Australian Council for Educational Research, the new centre will use scientific methods and knowledge, including from neuroscience and psychology, to improve understanding of learning.

The centre was a key recommendation of the Prime Minister’s Science, Engineering and Innovation Council Expert Working Group report, Transforming Learning and the Transmission of Knowledge.

Supporting research careersIndividual fellowships and awards are an important part of the suite of support provided under the NCGP. Demand for these individual awards continued to be strong with 4706 applications received under the Discovery Early Career Researcher Award, Future Fellowships and Australian Laureate Fellowships schemes alone. In total 470 individual awards (including Discovery Outstanding Researcher Awards under the Discovery Projects scheme) commenced funding in 2012–13.

The uncertainty over the immediate future of the Future Fellowships scheme was resolved with the announcement in the 2013–14 budget of funding for an additional selection round of 150 fellowships. An evaluation of the scheme conducted during the year found that it has been extremely successful in meeting its objectives.

Evaluating the quality of researchOne of the key highlights of the year was the release in December 2012 of the Excellence in Research for Australia 2012 National Report, which provided evidence for the performance of the higher education research sector, highlighting areas of strength, emerging strength and areas where there is room for improvement. More fields of research were rated above world standard than in the 2010 evaluations. The ERA outcomes have been supporting government policy considerations, including negotiations of mission-based compacts with universities.

Since then we have conducted a review of the ERA 2012 process to inform changes and improvements for ERA 2015.

Working with our stakeholdersI have been fortunate to have had the opportunity during the year to speak with a range of different stakeholders, including representatives from other Australian and international research funding and government agencies. These discussions have provided important input to the development of ARC policy and processes.

Early in 2013, the then Minister announced the appointment of five new members to the ARC Advisory Council as well as the reappointment of three previous members. The council provided expert advice on a range of policy issues during the year.

Another significant development in 2012–13 has been the implementation of the new ARC Open Access Policy which was developed in consultation with stakeholders. This policy, which requires publications arising from ARC-funded research to be deposited into an open access repository, will facilitate the productive sharing of information. The response to date has been encouraging and looking at full implementation will be the next step.


The year aheadIn 2013–14 we will continue to focus on delivering a whole-of-agency approach to policy and governance matters.

The Australian Research Council Strategic Plan 2013–14 to 15–16 outlines the ARC’s priorities for the coming year (see page 9).

In terms of our key responsibilities, highlights include the second selection round for hubs and centres under the ITRP, preparation for ERA 2015 as well as completion of the ARC Centres of Excellence selection round.

To enhance our performance in relation to both the NCGP and ERA we will be:

continuing to consult about issues arising; working more closely with other research funding agencies; and mapping the current status in a number of areas to see whether we can do things better, for

example, our support for international research collaboration and NCGP application processes.

A critical input will be the additional resources the ARC received through the 2013–14 budget for upgrading and enhancing our IT systems.

In conclusionI firstly want to thank all the researchers who contributed to the work of the ARC during the year, specifically members of the ARC College, our various Selection Advisory Committees, the ERA Research Evaluation Committees as well as external assessors. Their engagement and optimism about ARC activities is critical to the achievement of our mission and objectives.

And finally I want to thank the staff of the ARC for making my first year at the ARC such an easy transition. Your professionalism and dedication is vital to the ARC and deserves acknowledgement.

Professor Aidan Byrne

Chief Executive Officer


Priorities for 2013–14 Continue to support large-scale research programs including a new selection round for ARC

Centres of Excellence for funding commencing in 2014 Continue to implement the Industrial Transformation Research Program to support

collaborative research and development projects and research training in areas of importance to Australian industries

Consult with stakeholders to inform the ERA 2015 evaluation process Continue to roll-out an open access policy under the NCGP, including working with other

research funding agencies to ensure consistency in implementation Consider options for ensuring that data generated through ARC-funded research is as

accessible as possible Implement the Australian Government's new strategic research priorities under the NCGP Review the ARC’s international strategy Upgrade and enhance ARC IT systems Continue to participate in public awareness activities including scheme launches, media

releases and media liaison Work to further integrate the ARC in government research policy development, including

through establishment of an organisational structure that enhances the ARC’s capability in this area

Continue to work with other research funding agencies on matters of mutual interest including, where appropriate, to develop consistent or complementary policies

Develop a policy which clearly articulates ARC support for the research workforce Develop options to streamline NCGP grant application and administration processes at all

stages Continue to foster informed and appropriate risk taking through a clear framework of

accountability and responsibility

(Source: ARC Strategic Plan 2013–14 to 2015–16)


CHAPTER 2THE AUSTRALIAN RESEARCH COUNCIL


LegislationThe ARC is established under the Australian Research Council Act 2001 (ARC Act). The primary functions of the ARC, as specified by the ARC Act, are to:

make recommendations regarding the funding of research programs; administer funding to support research programs; and provide policy advice related to research.

Further information on the ARC Act is provided in Part 3, Chapter 8.

MissionThe ARC’s mission is to deliver policy and programs that advance Australian research and innovation globally and benefit the community.

Guiding principlesThe ARC’s guiding principles are:

Excellence in achieving our mission through program and organisational objectives; Engagement with government, universities, research agencies, business and the wider

community nationally and internationally; Benefit to the community through economic and social return on investment, engaged and

informed decision making, and efficiency of operations; and Accountability through adherence to ethical standards and government policy using transparent,

efficient and effective processes.

RoleThe ARC is responsible for:

funding excellent research and research training; evaluating the quality of research in universities; and providing policy advice on research matters to the Australian Government.

National Competitive Grants ProgramThe ARC manages the National Competitive Grants Program (NCGP) which comprises a number of funding schemes organised under two programs—Discovery and Linkage.

The Discovery Program supports fundamental research by teams and individuals, and the Linkage Program facilitates the development of partnerships between research teams and between higher education organisations and other parts of the national and international innovation systems. Funding under both programs is awarded on the basis of a competitive peer review process.

Further information on the Discovery and Linkage funding schemes is provided in Part 5, Appendices 2 and 3 respectively.

Excellence in Research for AustraliaThe ARC manages Excellence in Research for Australia (ERA), which assesses research quality by research discipline at Australian universities. Committees of internationally recognised researchers undertake the evaluations based upon a range of metrics and peer review processes.

Advice on research policy mattersThe ARC provides advice to the Australian Government on research matters, including on how research funding schemes can be targeted to produce maximum benefits for the Australian research community and society more broadly, and how ERA results can be used to inform policy and programs. In providing advice, the ARC emphasises the role of university research in the broader


research and innovation sphere and in providing social, economic and environmental benefits to the wider community.

StakeholdersThe ARC’s key stakeholders are Australian universities and their partners in the government, private and non-profit sectors, the Parliament of Australia, and the Australian public.

BudgetThe total annual resources appropriated for the ARC in 2012−13 were $906.6 million, which comprised:

$884.7 million for the administered appropriation ($5.6 million for the annual administered appropriation and special appropriation of $879.1 million for the NCGP); and

$21.9 million for the departmental appropriation ($19.0 million for operating expenses, $1.3 million for the Departmental Capital Budget, and $1.6 million for an equity injection).

Further information on the ARC’s financial performance in 2012−13 is provided in Part 4, Chapters 14 and 15.

Figure 2.1: ARC budget, 2012–13


Organisational structureThe structure of the ARC at 30 June 2013 is illustrated in Figure 2.2.

This structure reflects the outcomes of a minor restructure undertaken in May 2013. The restructure was aimed at strengthening the coordination of:

policy functions, through the establishment of a new Strategy Branch and transfer of relevant sections to that branch; and

evaluation activities, through the transfer of all evaluation functions to the Research Excellence Branch.

Figure 2.2: Structure of the Australian Research Council (at 30 June 2013)


Executive staffThe ARC executive staff, at 30 June 2013, are pictured below. Further information on their responsibilities is provided in Part 3, Chapter 8.

Professor Aidan Byrne

Chief Executive Officer

Ms Leanne Harvey

Executive General Manager

Dr Mary Kelly

Branch Manager, Strategy

Dr Fiona Cameron

Executive Director, Biological Sciences and Biotechnology

Professor Marian Simms

Executive Director, Social, Behavioural and Economic Sciences

Professor Brian Yates

Executive Director, Engineering, Mathematics and Information Sciences


ARC Advisory CouncilThe ARC Advisory Council is established under the ARC Act to provide advice to the Chief Executive Officer (CEO) about strategic issues relating to the mission of the ARC, including strategic planning; policy matters relating to innovation, research and research training; and matters relating to the evaluation of the quality and outcomes of research and research training in an international context.

The council comprises up to ten members, including the CEO who chairs the council. Members are appointed by the Minister for periods of up to three years, based on their distinguished research records or achievements in business research and development. The collective expertise of the council spans a broad range of fields of research.

In January 2013 the Minister appointed five new members and reappointed three members to the council for a two-year term.

During 2012–13 the council met on three occasions. The members discussed and provided advice on a range of issues, including NCGP requirements, ERA processes, open access, and development of the ARC strategic plan.

MembershipAt 30 June 2013 members of the Advisory Council, in addition to the CEO, were:

Professor Attila Brungs, Deputy Vice-Chancellor (Research), University of Technology, Sydney; Professor Peter Buckskin, Dean, Indigenous Scholarship, Engagement and Research,

University of South Australia; Dr Leigh Farrell, Vice President, Business Development, Biota Holdings Ltd; Professor Stephen Garton, Provost and Deputy Vice-Chancellor, The University of Sydney; Professor Sandra Harding, Vice-Chancellor, James Cook University; Professor Paul Johnson, Vice-Chancellor, The University of Western Australia; Professor Suzanne Miller, Director, South Australian Museum; and Professor Sue Thomas, Deputy Vice-Chancellor (Research), Charles Sturt University.

The appointments of Professor Margaret Harding, Professor Amanda Lawson and Professor Ian Young expired at the end of 2012.


Outcome and programs frameworkThe ARC’s 2012–13 outcome and programs structure comprised one Outcome and three Programs (Figure 2.3).

Figure 2.3: ARC Outcome and Programs, 2012–13


ARC reporting frameworkUnder the ARC Act the ARC must:

prepare an annual report in accordance with the guidelines referred to in subsection 63(2) of the Public Service Act 1999 (that is, the Requirements for Annual Reports for departments, executive agencies and FMA Act bodies, prepared by the Department of the Prime Minister and Cabinet and approved by the Joint Committee of Public Accounts and Audit); and

include in its annual report an assessment of the CEO’s performance of his or her functions during that year using the performance indicators set out in the ARC strategic plan.

As required under the guidelines referred to above, the ARC reports in its annual report against the performance framework outlined in the 2012–13 Portfolio Budget Statements (PBS) including progress towards achieving:

the ARC Outcome (Part 2, Chapter 4); the deliverables, key performance indicators (KPIs) and objectives of Program 1.1: Discovery

(Part 2, Chapter 5); the deliverables, KPIs and objectives of Program 1.2: Linkage (Part 2, Chapter 6); and

the deliverables, KPIs and objectives of Program 1.3: Excellence in Research for Australia (Part 2, Chapter 7).

To facilitate reporting against the performance indicators in the strategic plan, these indicators are aligned with those in the PBS. They are cross referenced in Chapters 5, 6 and 7 of this report. The strategic plan also identifies priority actions for the coming year which are identified in Part 2.

Mapping of the KPIs between the PBS and strategic plan, as well as a summary of strategic plan priority actions, are provided in Part 5, Appendix 1.

Changes in 2012–13In the 2012–13 PBS:

a KPI was added for Program 1.1 Discovery—ARC fellowship and award schemes attract high quality international applicants; and

the deliverables and KPIs for Program 1.3 ERA were revised to reflect current activities.

Subsequent to the release of the 2012–13 PBS two additional measures were identified for assessing performance against KPIs. These measures were articulated in the Australian Research Council Strategic Plan 2012–13 to 2014–15 and are included in this report.


CHAPTER 3STRATEGIC ENVIRONMENT


Australian Government expenditure Estimated total Australian Government expenditure on science, research and innovation in 2012–13 was $8.9 billion (The Australian Government’s 2012–13 Science, Research and Innovation Budget Tables).

Of this total (Figure 3.1), approximately $2.8 billion (32 per cent) was invested in the higher education sector through the ARC and performance-based block funding and other support provided by the Department of Industry, Innovation, Climate Change, Science, Research and Tertiary Education. In addition, higher education institutions are recipients of a large proportion of funding provided through the National Health and Medical Research Council and are key participants in Cooperative Research Centres.

Australian Government policy

New in 2012–13Australian Government Strategic Research Priorities (June 2013)On 21 June 2013 the Australian Government released a new set of Strategic Research Priorities to replace the previous National Research Priorities.

The 15 Strategic Research Priorities are based on five societal challenges:

living in a changing environment; promoting population health and wellbeing; managing our food and water assets; securing Australia’s place in a changing world; and lifting productivity and economic growth.

2013–14 is a transitional year in which agencies will finalise reporting against National Research Priorities and establish procedures for aligning with the new Strategic Research Priorities.

Figure 3.1: Australian Government support for science, research and innovation, 2012–13 (total funding = $8.9 billion)

(Other multisector includes Cooperative Research Centres, Rural, Energy and the Environment and Other Science Support)


A Plan for Australian Jobs (February 2013)A Plan for Australian Jobs: The Australian Government’s Industry and Innovation Statement sets out strategies to create more jobs today and to create skilled and rewarding jobs for the future.

As part of the plan, the Australian Government will establish Industry Innovation Precincts, bringing together industry, companies, universities, research institutions and experts in technology and business. The ARC’s new Industrial Transformation Research Program invests in partnerships in research and development areas relevant to the precinct priority research areas.

National Research Investment Plan (November 2012)The National Research Investment Plan sets out a comprehensive national research investment planning process. It is designed to enable a coordinated, whole-of-government approach to research investment that is structured to meet national needs and provide value for money.

The plan will support future decisions by government in relation to the level and balance of research investment. In summary, the planning process comprises:

the objective of guiding Australian Government research investment in a way that improves national wellbeing by increasing productivity and addressing Australia’s key challenges;

a framework, in the form of a national research fabric, that enables the development of Australia’s research capacity and capability to be responsive to the needs of all sectors including business;

a set of research investment principles that ensures government investments address the overall investment objective and are delivered efficiently; and

a statement of Strategic Research Priorities that will enable investment to be focused on meeting the priorities of the Australian Government.

Australia in the Asian Century White Paper (October 2012)The White Paper articulates the Australian Government’s goal that ‘by 2025, Australia will be a more prosperous and resilient nation that is fully part of our region and open to the world’. It sets out a road map for the government’s strategic direction to ensure Australia is well placed to meet the challenges and capitalise on the opportunities presented by the rise of Asia.

Innovation is identified as a key driver in positioning Australia for the Asian Century and the report emphasises the government’s commitment to enhancing innovation by encouraging collaboration between industry and researchers and by facilitating international research collaboration.


Principles for research investmentThe Australian Government has adopted the following principles for research investment.

1. Enhance productivity growth—Investment in research and innovation should result in the adoption of improved products and processes by end-users from both the business and non-business sectors.

2. Address Australia’s key national challenges—Investment in research and innovation should address Australia’s key economic, social and environmental challenges so as to improve the wellbeing of Australians.

3. Increase the stock of knowledge—Investment should support the discovery of knowledge that current and future generations can utilise in innovative ways.

4. Support global quality and scale—Investment should support the quality and scale of Australian research and innovation capability needed to collaborate effectively with world-leading researchers and businesses.

5. Deliver a strong, cohesive research fabric—Investment should:(a) result in the quality and quantity of researchers needed by the business and

academic communities;(b) provide high quality research infrastructure;(c) facilitate enduring collaborative relationships between researchers and endusers

from both the business and non-business sectors;(d) develop enabling capability in the five key domains;(e) support a balance of mission-led and investigator-led research;(f) support basic and applied research across a broad range of disciplines; and(g) employ a mix of strategic, competitive, formula-driven and entitlement funding

mechanisms.6. Create a sustainable capability—Investment should be made with a view to sustaining

the long term viability of Australia’s research and innovation capability. Funding for core research and innovation programs should be ongoing and predictable.

7. Be subject to monitoring and evaluation—Investment should be subject to regular, rigorous and transparent monitoring and evaluation to assess efficiency and impact. The value of the National Research Investment Plan as an investment planning process should also be subject to periodic evaluation.

(Source: National Research Investment Plan, 2012)


Australian reportsStrategic Review of Health and Medical Research (February 2013)The report provides a ten-year strategic health and medical research plan for the nation. Issues relevant to the ARC that were identified for action include:

ensuring granting schemes provide flexibility with respect to researchers returning from career breaks;

reviewing funding criteria to ensure overlaps rather than gaps in support provided by the ARC and the National Health and Medical Research Council (NHMRC); and

supporting capacity building in key enabling areas such as genomics, bioinformatics, biostatistics, health economics, health services research, and Indigenous health research (led by universities and supported by key research granting agencies).

Collaborations between the Public and Private Sectors: The Role of Intellectual Property (September 2012)The report looks at the role of intellectual property as an enabler or disabler of research partnerships.

Smarter Manufacturing for a Smarter Australia (August 2012) The report emphasises the importance of furthering engagement between industry and researchers, strengthening collaborations to deliver research outcomes that meet the needs of business innovation.

Australian Innovation System Report 2012 (December 2012)This is the third of a series of annual reports on the performance of Australia’s national innovation system. The report includes information on new ARC initiatives such as the Industrial Transformation Research Program.

Review of Higher Education Access and Outcomes for Aboriginal and Torres Strait Islander People: Final Report (July 2012)A review panel was established to examine how higher education outcomes among Aboriginal and Torres Strait Islander people contribute to nation building and the reduction of disadvantage. The final report of the review, released in July 2012, makes a number of recommendations aimed at increasing support for Indigenous researchers' careers and access to research funding. Recommendations directed to the ARC include that:

the ARC consider conducting an early review of implementation of the Aboriginal and Torres Strait Islander Researchers’ Network to ensure that it is appropriately targeting higher degree by research students;

the ARC and the Australian Bureau of Statistics work together to create an Indigenous research code to better identify research relating to Indigenous knowledge; and

the ARC examine the adoption of a strategic approach to building the capacity of Aboriginal and Torres Strait Islander researchers across its funding programs.


Consultations/reviewsIn 2012–13 a number of consultations and reviews were initiated on research matters. They included:

Assessing the wider benefits arising from university-based research (Department of Industry, Innovation, Climate Change, Science, Research and Tertiary Education and the ARC);

planning for implementation of the Defence Trade Controls Act 2012; revision of the National Principles of Intellectual Property Management for Publicly Funded

Research (a working party of the Coordination Committee on Innovation); review of conflict of interest guidelines in the Australian Code for the Responsible Conduct of

Research (NHMRC, ARC and Universities Australia); an independent review, to investigate university concerns about the cost of reporting and

compliance; proposed revisions to Chapter 2.3: Qualifying or waiving conditions for consent of the National

Statement on Ethical Conduct in Human Research, 2007 (NHMRC); and review of the Australian code of practice for the care and use of animals for scientific

purposes (NHMRC).

International policy developments Reports released internationally included:

Principles for the Transition to Open Access to Research Publication (Science Europe Position Statement, April 2013); and

The implementation of open access (Houses of Lords Science and Technology Committee, February 2013).

The Global Research Council endorsed the following documents in May 2013: Statement of Principles for Research Integrity; and Action Plan towards Open Access.

Key challenges facing the research sector In 2012–13 challenges facing the research sector included:

issues around open access for publications from publicly funded research, including implementation and regulation;

funding pressures due to the global and national fiscal environment; implementation of requirements in relation to open data generated from publicly funded

research; and determining the most effective and reasonable design and application of a national assessment

of research impact.


PART 2PERFORMANCECHAPTER 4: OUTCOME 31

CHAPTER 5: PROGRAM 1.1 DISCOVERY 55

CHAPTER 6: PROGRAM 1.2 LINKAGE 74

CHAPTER 7: PROGRAM 1.3 EXCELLENCE IN RESEARCH FOR AUSTRALIA 93


CHAPTER 4OUTCOME


IntroductionUnder the Australian Government’s Portfolio Budget Statements 2012–13, Budget Related Paper No. 113, Innovation, Industry, Science, Research and Tertiary Education Portfolio, the Outcome statement for the ARC is:

‘Growth of knowledge and innovation through managing research funding schemes, measuring research excellence and providing advice’.

The case studies provided in this chapter are examples of new knowledge and innovation arising from the three activities identified in the Outcome.

In particular, the case studies about ARC-funded research provide clear evidence of the return to Australia on public investment in research which includes benefits for:

the economy—new knowledge and technology that lead to new industries and efficiency gains in existing industries, generating wealth and creating jobs;

the environment—new knowledge and technology that increase understanding of the physical environment and the dynamics that threaten the health of its ecosystems; and provide solutions to minimise negative impacts of human activity on the environment;

social wellbeing—new knowledge and technology that lead to improvements in the health, education, welfare and vitality of communities, enhancing quality of life, increasing equity and reducing social risk; and

understanding of cultures and the human condition—improved understanding and innovative analyses of societies and individuals, of who we are, how we think, how we have evolved and organise ourselves as societies, and how we interact with each other and the world.

They showcase achievements of researchers across many of Australia’s universities, across research disciplines and across different stages of the innovation cycle—from basic research that advances knowledge to applied research that uses knowledge to solve real world problems and create new technologies or products. The range of case studies demonstrates the diversity of ARC-supported research conducted by individuals and teams around Australia.

The case studies provide examples of the benefits generated by ARC-funded research in the short-term, as reported in final reports submitted by researchers to the ARC during 2012–13 and in media releases issued by universities. The full impact of the ARC’s investment in research and training can be assessed comprehensively only over the longer term. In addition, these achievements cannot be considered in isolation from the support received from other sources such as universities, other government bodies and business.


CASE STUDY

New species of ancient fish discoveredResearchers from The Australian National University have made a discovery which could have significant implications for theories of where land animals evolved. Funded by Discovery Projects grants, excavations by Dr Gavin Young and his research team at a site near Eden on the New South Wales south coast have uncovered the remains of a new species of ancient fish from 360 million years ago, the largest known lobe-finned fish. The descendants of these fish are thought to have evolved into the first land animals.

The species has been named Edenopteron keithcrooki, acknowledging both the town of Eden and Professor Keith Crook who pioneered geological work in the region. Comparison with other fossil fish across the globe reveals that it is not only a species new to science, but also a new genus of lobe-finned fish that belongs in a family only known from southeastern Australia and Antarctica. A northern hemisphere origin for the evolution of land animals has been proposed, but these findings may require evolutionary theorists to rethink their framework to include a possible southern origin for the species that made the transition from water to land.

Program: Discovery Program (Discovery Projects)

Administering organisation: The Australian National University

National Research Priority: 1: Environment

Identified socioeconomic objective(s) (SEO): Expanding knowledge; heritage


The rapid growth of black holesThe universe continues to surprise astronomers, with the outcomes of the latest research into black holes dramatically revising our understanding of their evolution.

Residing in the core of most galaxies, and millions to billions of times more massive than our Sun, ‘super massive black holes’ are believed to be integral to the formation and evolution of their surrounding galaxy. Our own galaxy, for example, hosts a four million solar mass black hole. The current paradigm that such black holes grow at the same rate as their host galaxy has been disproven with discoveries by Professor Alister Graham and fellow astronomer Dr Nicholas Scott from Swinburne University of Technology, revealing a much more rapid growth rate than previously thought.

With funding from the Discovery Projects scheme, the team combined data from observatories in Chile, Hawaii and the Hubble Space Telescope to develop a database listing the masses of 80 galaxies and their central black holes. They discovered that the black holes grow quadratically relative to their host galaxy, which is much faster than astronomers had realised. Furthermore, their research has suggested the existence of a new class of ‘intermediate mass black holes’ located within compact star clusters at the centres of small galaxies. These black holes may be big enough to be directly detected by the next generation of large optical telescopes and should provide further insight into the formation of our universe.


Administering organisation: Swinburne University of Technology

National Research Priority: 2: Frontier Technologies

Identified SEO: Expanding knowledge

CASE STUDY


CASE STUDY

Strawberries battle against wilt causing fungusIn Western Australia (WA) alone, up to two million strawberry plants are affected by a devastating soil borne fungus which poses a serious worldwide threat to commercial strawberry production. The Fusarium wilt fungus penetrates through the roots and causes severe damage, yield losses and kills strawberry plants, a high value export crop for Australia.

With support from a Linkage Projects grant, Professor Martin Barbetti and his team at The University of Western Australia have determined that the most widely grown cultivar is actually the most susceptible to the wilt causing fungus. They were able to identify another cultivar that is wilt resistant and by comparing the proteins of the two plant types, further our understanding of strawberry plant resistance at a molecular level. The findings will allow future new cultivars to be developed with effective resistance to the strawberry fungus, and also significantly improve disease management strategies, reducing the reliance on anti-fungal chemicals, which is potentially better for both the environment and human health.

This productive collaboration between the researchers and industry partners, Strawberry Growers Association of WA and the Department of Agriculture and Food WA, will enable strawberry production to be more sustainable for Western Australia and allows producers confidence to supply international markets.

Program: Linkage Program (Linkage Projects)

Administering organisation: The University of Western Australia


Identified SEO: Control of pests, diseases and exotic species


CASE STUDY

Innovative soccer programFootball United is an innovative soccer program that uses passion for football to assist in the settlement of new refugee arrivals, building opportunities for belonging and community cohesion. With funding from the Linkage Projects scheme, Chief Investigator Ms Sally Nathan and colleagues from The University of New South Wales have conducted a mixed method study investigating the impact of this type of program for young people that uses sport to foster social engagement.

Young people from 31 different countries including Iraq, Afghanistan, Pakistan, Sierra Leone, Eritrea, Nepal and Myanmar took part in the study. It found that young people who participated in Football United were much more likely to enjoy meeting and being with people from different cultural backgrounds than a comparison group. The research also found that 84 per cent reported feeling better after taking part. The program helped to promote cross cultural connections and build peer relationships, particularly for young men. Results suggested that participation helped improve young people’s English language skills, and some participants indicated that they remained in school so they could continue in the program.

While the study examined the impact of Football United on young refugees, the success of the program and the positive results of the research findings have led to its expansion to youth from disadvantaged and Indigenous Australian backgrounds, and implementation in other states.

Partner organisations on the project included the Community Relations Commission; the former Sydney West and Sydney South West Area Health Services, Transcultural Mental Health Centre, SydWest Multicultural Services; Liverpool Migrant Resource Centre, Blacktown District Soccer Football Association; Sydney Football Club; participating Intensive English Centres and host high schools.


Administering organisation: The University of New South Wales

National Research Priority: 2. Health

Identified SEO: Community service


CASE STUDY

Effects of community marine reservesThe region in the Pacific Ocean with the greatest marine biodiversity in the world, the Coral Triangle, is a source of food for millions of people. Development, overfishing and climate change are having a significant impact on the local fisheries and reef systems. Research by Dr Glenn Almany, ARC Future Fellow and member of the ARC Centre of Excellence for Coral Reef Studies, has demonstrated the vital role traditional community run marine reserves can play in restoring and maintaining fish stocks in stressed coral reef fisheries.

Working with a team of international collaborators and alongside local fishers on Manus Island, Papua New Guinea, the researchers tested whether one community’s efforts to protect its coral trout spawning aggregation provides local fisheries benefits. They found that while coral trout larvae could potentially disperse long distances, up to 25 per cent of the young fish returned to the same fish population as their parents, and up to 50 per cent of larvae stayed within 14 kilometres of the protected area. The findings show that communities that limit their fish catches and bear the cost of operating a marine reserve will actually reap the most fisheries benefit. These results empower and encourage communities to continue with traditional fisheries management with the knowledge that they are boosting their fish stocks, and confirms that reserve networks can be an effective mechanism for providing a sustainable future for both humans and fish populations.

Program: Discovery Program (Future Fellowships)

Administering organisation: James Cook University


Identified SEOs: Remnant vegetation and protected conservation areas; ecosystem assessment and management


CASE STUDY

Plastic pollution requires an international solutionNew research has discovered that no matter where in the world plastic garbage enters the ocean, it can end up in any of the five ocean basins, forming part of giant ocean garbage patches. In some of these patches, which can be the size of New South Wales, there is more plastic than sea life. The plastic waste releases toxins into the food chain with unknown long-term impact on our ecosystem.

Researchers from the ARC Centre of Excellence for Climate System Science have been investigating how these garbage patches form as a result of global ocean currents. Surface drifter buoys containing GPS sensors were used to get statistical data on how rubbish moves about the ocean and researchers were then able to project how plastics would disperse across all of the oceans for the next thousand years. ARC-funded research fellow on the project Dr Erik Van Sebille has found that the patches are interconnected in ways that were previously undocumented, with giant oceanic currents moving plastics thousands of kilometres between the different garbage patches.

This research confirms that ocean garbage is an international problem that will require an international solution if we are to clean up our oceans for future generations.

The researchers have created a website which allows the general public to predict garbage flow from any point in the ocean <www.adrift.org.au>.

Program: Linkage Program (ARC Centres of Excellence)



Identified SEO: Climate and climate change


CASE STUDY

Breakthrough in smart clothesClothes that could power wearable electrical devices are closer than we think, thanks to the results of novel research from the ARC Centre of Excellence for Electromaterials Science. An international collaboration comprising scientists from Australia, Republic of Korea and the United States of America has developed a super strong and flexible yarn which is about the width of a human hair, and which is able to conduct and store electricity. These fibres can be woven into a fabric turning it into a powerful battery.

The yarn consists of hundreds of layers of carbon nanotubes woven with a metal wire that are able to conduct electricity. This creates a flexible, wearable supercapacitor yarn which can deliver high-energy and high-power densities. The fibre’s exceptional flexibility means it could be sewn, knitted or woven into clothing to power wearable integrated electronic devices; doubling as a power source for electronics that monitor human movement during training or physiotherapy or powering ‘smart’ clothing and accessories. The mechanical properties of the yarn also mean that it could add strength to composites used in automotive components and could be especially useful in electric vehicles.

Program: Linkage Program (ARC Centres of Excellence)

Administering organisation: University of Wollongong


Identified SEOs: Renewable energy; energy storage, distribution and supply; instrumentation


CASE STUDY

Archiving live performanceAusStage is a performing arts database, recognised globally as a world leader and the foremost research service for Australian live performance. Funded through three Linkage Infrastructure, Equipment and Facilities (LIEF) grants since 2002 and housed at Flinders University, this online, open access resource is a centralised repository for knowledge on the nation’s live performances, which enables research and collaboration on the evolution of Australia’s theatre and performance. AusStage collects information on performances of dramatic works made and presented in Australia, from a wide range of genres: spoken-word theatre, ballet and dance, music theatre and opera, circus and puppetry, stand-up comedy, physical theatre and cabaret. Since its inception in 2000, AusStage has grown to encompass records dating back to a 1789 performance by convicts in a mud hut, and now includes over 68 000 performance events.

Utilising funding provided under the LIEF scheme in 2010, the AusStage database was upgraded to improve accessibility, research capabilities and data coverage. One of the key new features is the ability to load data from spectators at live events through mobile devices in real time. AusStage is a collaboration between 18 universities and partner organisations including the Performing Arts Special Interest Group of Museums Australia, National Institute for the Dramatic Arts and the Council for the Arts.

Program: Linkage Program (LIEF)

Administering organisation: Flinders University


Identified SEO: Arts and leisure


CASE STUDY

Urban planning for older AustraliansAn online guide has been developed by researchers from the Queensland University of Technology that will help local councils take the needs of older Australians into account during the urban planning process.

Professor Laurie Buys and colleagues examined strategies that promote social engagement and active ageing within the community and investigated the liveability of urban, regional and rural localities across southern Queensland. Funded under the Linkage Projects scheme, study participants kept daily travel diaries and were tracked using GPS and GIS technology. The findings highlighted a very high level of car dependence amongst older adults, and noted common factors preventing older people getting out and about on foot or on public transport, including poorly maintained footpaths, lack of public seating and limited lighting at night.

Safety, affordability, accessibility, mobility and social support were five key factors of liveability identified by the research that was also supported by partner organisations, Queensland Department of Communities, Gold Coast Council and Council of the Ageing, Queensland. Significantly, results also indicate that each of these factors needs to be considered and addressed simultaneously by policy planners and community developers, regardless of the type of community. The Community Liveability Guide, a web-based guide developed from this project, is designed to assist policy and planning for local and state governments to create and maintain sustainable liveable communities. Incorporation of these findings into public policy and planning will significantly improve the ability of older people to remain engaged with their communities and age well.


Administering organisation: Queensland University of Technology

National Research Priority: 2: Health

Identified SEO: Community service


CASE STUDY

Detoxing industrial contamination with bacteriaAcross the globe, groundwater contaminated by chlorinated solvents from industrial sites poses a significant environmental issue and a growing health hazard. Current technologies used to clean polluted sites are both very expensive and energy intensive. New discoveries by a research team at The University of New South Wales, led by Associate Professor Mike Manefield, mean that Australia may lead the way for a cost effective and environmentally sustainable method to clean up these toxic sites with a new bacteria that ‘breathes’ chloroform instead of oxygen.

Naturally occurring bacterial communities living on industrial pollutants, including chloroform, were discovered in the soil at the contaminated Botany Industrial Park in Sydney. Through a process known as bioremediation, Associate Professor Manefield and his team have demonstrated the bacteria’s natural ability to degrade and clean up chlorinated solvents. The researchers isolated and described a new species that was able to break down the pollutants in the aquifer. This is the first time that a microorganism has been shown to make a living from the complete degradation of chloroform to harmless end products.

The research funded through the Linkage Projects scheme with industry partner organisations, Orica Australia Pty Ltd; Dow Chemical Australia Ltd and Coffey Environments Australia Pty Ltd, raises hope for cleaning up the Botany site, and similarly polluted locations around the country, by exploiting the planet’s natural ability to clean itself. A biotech company (Micronovo Pty Ltd) has been created from the outcomes of this research that supplies the cultures on a commercial basis and offers a suite of diagnostic tools to monitor the progress of site clean-up.



National Research Priority: 1. Environment

Identified SEO: Rehabilitation of degraded urban and industrial environments


CASE STUDY

Sweet relief for antibiotic resistanceThe findings of research into the use of medical grade Manuka honey suggest that it could be used to combat the emergence of drug-resistant bacteria, a fast growing problem for the medical community.

Professor Liz Harry from University of Technology, Sydney has found that the synergistic combination of medical grade honey with rifampicin, an antibiotic routinely used to prevent or treat chronic wound infections, is more effective at killing methicillin-resistant Staphylococcus aureus (MRSA) bacteria than each treatment alone. Professor Harry’s results suggest that the honey is able to prevent the emergence of rifampicin-resistant MRSA.

The research supported by a Linkage Projects grant, with partner Comvita New Zealand, has implications for the way Manuka honey could be used in future medical and hospital practice. The benefits of this combined approach include more effective eradication of the infection, a reduction of the effective dose of rifampicin, and a reduction of the risk of antibiotic resistance, both in the short and long term. With scientific evidence for honey’s beneficial properties and honey dressings being economical to use routinely, it could quickly become a cost effective, first choice option in the treatment of chronic wounds.


Administering organisation: University of Technology, Sydney

National Research Priority: 2. Health

Identified SEO: Preventative medicine


CASE STUDY

Invisible coating combats corrosionIn the harsh Australian environment, metal corrosion is a significant issue for the nation’s industries.

With funding from the Linkage Projects scheme, Dr Mainak Majumder and his international research team from Monash University, Australia and Rice University, USA have developed anti-corrosion coatings using extremely thin graphene films that could revolutionise metal protection. Graphene is a microscopically thin layer of carbon atoms with excellent mechanical properties and great strength. Graphene is generally inert to aqueous environments and is impermeable to most liquids and even some gaseous molecules, which makes it an ideal corrosion barrier for metal degradation.

The researchers, in collaboration with industry partners, Strategy Energy Resources, applied the atomically thin graphene coating to copper which provided protection against corrosive conditions almost 100 times more than untreated copper. The researchers are further investigating the technique with other metals which could broaden its application, from ocean-going vessels to electronics and anywhere that metal is used and at risk of corrosion. The ability to extend a metal’s useful life so dramatically could provide a tremendous cost savings for many industries.


Administering organisation: Monash University

National Research Priority: 3. Frontier Technologies

Identified SEO: Other mineral resources (excluding energy resources)


CASE STUDY

The problem of foxes and catsRed foxes and feral cats are two of the most destructive species introduced to Australia, responsible for the extinction of many native mammals. They also spread disease, and the fox preys on lambs and poultry. It is estimated that the combined environmental and agricultural impact of the red fox alone, and the efforts to reduce those impacts, costs Australia over $200 million a year.

Professor Chris Johnson, from the University of Tasmania, and his team received a Discovery Projects grant to examine the ecological effects of Australia’s top predators such as dingoes and Tasmanian devils. The team is investigating the extent to which dingoes and devils suppress abundance and change the behaviour of foxes and cats in ways that reduce their impacts on prey species.

The researchers have found that in some situations dingoes can actually reduce fox and feral cat populations, and that declines in devils lead to increases in cats. Professor Johnson hopes that their work will show how management that seeks to maintain and restore these top predators can help to protect biodiversity in Australian ecosystems.


Administering organisation: University of Tasmania


Identified SEO: Flora, fauna and biodiversity


CASE STUDY

Forward step in the treatment of AIDSARC Future Fellow, Associate Professor David Harrich from the Queensland Institute of Medical Research has been researching human immunodeficiency virus (HIV) for thirty years. In a recent breakthrough, he has determined how to modify a protein in the HIV virus, so that instead of developing into acquired immunodeficiency syndrome (AIDS), the virus would provide strong, lasting protection from infection.

HIV infects vital cells within the human immune system leading to the development of AIDS and crippling the immune system, making even the most common illnesses potentially life-threatening. Treatment of HIV currently requires patients to take a regime of drugs for the rest of their lives.

The ‘Nullbasic’ protein was derived by mutating an existing HIV protein and has shown remarkable abilities to stop the virus replicating in a laboratory environment. The altered protein causes the virus to remain dormant in the body and not progress into AIDS, allowing the person to maintain a healthy immune system. If developed successfully, the new treatment developed by Associate Professor Harrich would be administered in a one-off dosage that would provide a significant economic benefit as well as providing a better quality of life for the many people suffering from AIDS.

Program: Discovery Program (Future Fellowships)

Administering organisation: Queensland Institute of Medical Research


Identified SEO: Infectious diseases


CASE STUDY

New spider venom insecticidesMosquito-borne diseases are the cause of many deaths around the world. Insects, including mosquitoes, are increasingly resistant to current insecticides and stringent environmental standards have made it more difficult to register new ones. Professor Glenn King from The University of Queensland has spent almost two decades studying spider venom and using his findings to develop environmentally-friendly insecticides. His latest project, funded under the Discovery Projects scheme, will use natural insecticidal compounds from spider venom to target insects, using parasitic fungi.

The advantage of using fungi as the vehicle to deliver insecticidal compounds is that they can infect insects through contact alone. The disadvantage of using fungi is the length of time it takes to kill insects—typically a week or more. In collaboration with Professor Raymond St Leger at the University of Maryland, Professor King and his lab have engineered strains of fungi that nearly halve the amount of time it takes to kill 50 per cent of insects in a test area. They also found that these fungi strains reduce the amount of blood feeding that insects undertake.

Another collaborator, Dr Laith Yakob from The University of Queensland, used mathematical modelling to test the likely effectiveness of this approach in controlling disease in malaria-endemic regions of Africa. Dr Yakob’s modelling suggests that the combined reduction in mortality and feeding propensity caused by the engineered fungus is enough to completely eliminate disease transmission.


Administering organisation: University of Queensland

National Research Priority: 4: Safeguarding Australia

Identified SEO: Control of pests, diseases and exotic species


CASE STUDY

Relying on eyewitness identificationStudies from the United States indicate that up to 70 per cent of people wrongfully convicted of a crime were convicted on the basis of eyewitness testimony. Eyewitness testimony is often unreliable and can be distorted by a range of factors. Researchers from The University of Adelaide and The Flinders University of South Australia have found that although eyewitnesses will often have poor subjective memories when it comes to the details of a crime, their memory for objective details (such as distance) is much more accurate.

The project led by Dr Carolyn Semmler aimed to investigate and explain why objective judgements do not seem to be as affected by the same kinds of clouded memory problems that influence other details in eyewitness testimony. The project studied the responses of 700 people to a ‘mock’ crime and found that distance estimates were the most reliable detail recalled by participants of what they saw.

An enhanced understanding of the processes involved in the reliability of evidence from eyewitnesses will allow the researchers to suggest practical reforms to optimise its use as evidence. The ultimate goal of the research is to help to reduce the rate of wrongful convictions where there is a reliance on eyewitness testimony.


Administering organisation: The University of Adelaide

National Research Priority: 4: Safeguarding Australia

Identified SEO: Justice and the law


CASE STUDY

Built Environment and Design – an emerging research areaThe Excellence in Research for Australia 2012 National Report shows that Built Environment and Design is an emerging area of research activity and strength at Australian higher education institutions.

12 BUILT ENVIRONMENT AND DESIGN33 out of 45 assessed units of evaluation were rated at or above world standard

Full-time equivalents 958.4 Rating Distribution

Research outputs 7930.2 5 3

Research income $75 603 783 4 8

Units of evaluation assessed 45 3 22

Esteem count 19.1 2 12

Patents 0.0 1 0

Research commercialisation income $98 333 Total 45

Discipline GrowthThe two-period growth rate* gives an indication of whether the discipline is generally larger recently compared with the past. The growth index compares the two-period growth rate of the four-digit disciplines in Built Environment and Design against the average two-period growth rate of all disciplines.

FoR Code FoR Name 2005 2006 2007 2008 2009 2010 Total

Two-periodgrowth rate

Growthindex

1201 Architecture 350 408 422 434 418 510 2542 16% 1.0

1202 Building 203 261 273 322 284 308 1652 24% 1.1

1203 Design Practice and Management 184 193 273 212 271 267 1401 15% 1.0

1205 Urban and Regional Planning 224 225 328 303 367 462 1908 46% 1.3

The table below includes a compound annual growth rate (CAGR), which shows that Built Environment and Design grew 10 per cent across the entire reference period, with its largest yearly production in 2010. The total volume of research outputs in the two-digit discipline is also provided.

FoR Trend 2005–2010 Total outputs** CAGR

12 Built Environment and Design 7847 10%

* Calculated for fields of research with more than 600 apportioned outputs across the ERA 2012 reference period (2005-2010)


** Does not include non-traditional research outputs

CASE STUDY

Capturing the benefits of researchARC strategic plan priority action for 2012–13: Engage with the national discussion about developing a methodology for evaluating the impact of research

In December 2012 the Government announced that the ARC would consult with the sector on the inclusion of impact measures to help further track university research performance. Outreach sessions and discussions with institutions began in early 2013 (see Chapter 7).

The ARC worked closely with the Department of Industry, Innovation, Climate Change, Science, Research and Tertiary Education on approaches to the evaluation of research benefits which focus on measuring and demonstrating the public benefit of university-based research. A consultation paper was released in June 2013.

During 2012–13 the ARC also worked with the National Health and Medical Research Council (NHMRC)and publicly funded research agencies to develop a common understanding of approaches, terminology and reporting of research impact (see below). This work complements the work on the assessment of the impact of university research being coordinated by the department.


The definition of research impactResearch impact is the demonstrable contribution that research makes to the economy, society, culture, national security, public policy or services, health, the environment, or quality of life, beyond contributions to academia.

Impact measurement principlesThe working group developed the following principles to underpin the measurement of research impact.

Acknowledge that excellent research underpins impact. Promote understanding through use of common language and terms associated with

research impact. Respect the diversity in research disciplines/sectors in demonstrating research impact. Cooperate in developing a set of common, cost effective and efficient parameters for

data collection and reporting. Adopt a consultative approach with stakeholders in regards to implementing impact

reporting in support of future research investments. Encourage, recognise and reward positive behaviour in planning, monitoring and evaluating

research impact.

(Source: ARC website)

CASE STUDY

Providing advice

A new open access policyARC strategic plan priority action for 2012–13: Implement an open access policy based on international best practice

From September through to November 2012 the ARC conducted high level consultations with the higher education and research sectors on a new ARC open access policy. The new policy commenced on 1 January 2013 and has been included in all funding rules and funding agreements released after this date.

The policy requires that any publications arising from an ARC-supported research project must be deposited into an open access institutional repository within 12 months from the date of publication, except where there are restrictions relating to intellectual property or culturally sensitive data. The overarching aim of the policy is to ensure that the findings of publicly funded research are made available to the wider public as soon as possible.

The new policy on open access brings the ARC further into alignment with other domestic and international funding agencies. The ARC will continue to monitor and engage in national and international discussions around further improvements to open access and its implementation.

Policy activities relevant to the National Competitive Grants ProgramIn 2012–13 the ARC provided advice and engaged in discussions on a range of policy matters directly relevant to the National Competitive Grants Program (NCGP), including both the Discovery and Linkage Programs.

Open dataThe ARC is considering options for ensuring that data generated through ARC-funded research is as accessible as possible. Any action in this area will need to take account of the wide variety of practices across disciplines for the generation, dissemination and storage of research data. Accordingly, the ARC is undertaking a consultation on open data.

As a first step, the ARC sought input from the ARC College, which encompasses expertise spanning a diversity of research disciplines. Further consultation will be conducted with the learned academies, universities and other stakeholders.

New Strategic Research PrioritiesThe ARC Chief Executive Officer (CEO) is a member of the Australian Research Committee. A key issue on the committee’s agenda during 2012–13 was the development of new Strategic Research Priorities to replace the current National Research Priorities. The ARC mapped the contribution of funding awarded under the NCGP to the proposed new strategic priority areas to provide one indicator of Australia’s current capacity in the new areas.

Defence Trade Controls Act 2012The ARC CEO is a member of the Strengthened Export Controls Steering Group established by the Australian Government to provide advice, oversight and review of the operation and implementation of the Defence Trade Controls Act 2012 over a 24-month transition period. The steering group, which comprises representatives from industry, research, and government sectors, will consider the effect of the controls to ensure that the Act is striking an appropriate balance between meeting Australia’s international obligations and national security requirements, while not unnecessarily restricting trade, the competitiveness of affected sectors, innovation,


research or international collaboration.

Intellectual PropertyThe ARC participated in a working group of the Coordination Committee on Innovation established to revise the National Principles of Intellectual Property Management for Publicly Funded Research. The ARC’s funding rules refer to the principles.

Australian Code for the Responsible Conduct of ResearchThe ARC is participating in a review of conflict of interest guidelines in the Australian Code for the Responsible Conduct of Research, in conjunction with Universities Australia and the NHMRC.

Global Research CouncilThe ARC CEO is a member representative on the Global Research Council which holds a summit and regional meetings each year. At a meeting in Berlin in June 2013, the Global Research Council endorsed new principles on open access and research integrity.

Revision of the National Statement on Ethical Conduct in Human Research

The NHMRC sought submissions on proposed revisions to Chapter 2.3: Qualifying or waiving conditions for consent of the National Statement on Ethical Conduct in Human Research (2007).

Australian code of practice for the care and use of animals for scientific purposesThe NHMRC is reviewing the Australian Code of Practice for the Care and Use of Animals for Scientific Purposes. This code encompasses all aspects of the care and use of, or interaction with, animals for scientific purposes in medicine, biology, agriculture, veterinary and other animal sciences, industry and teaching.


CHAPTER 5PROGRAM 1.1 DISCOVERY


DescriptionThe Discovery Program supports high quality research projects led by individuals and teams, and provides opportunities to develop and support the careers of talented researchers at all career stages.

The objectives of the Discovery Program are to:

support excellent fundamental research by teams and individuals; support the development of young researchers as well as the ongoing careers of individuals and

research teams; provide incentives for researchers to build the scale of their work, develop teams and support

growth of networks of research (both nationally and internationally); and enhance the scale and focus of research in areas of national priority.

The program comprises the following funding schemes:

Australian Laureate Fellowships; Discovery Early Career Researcher Award; Discovery Indigenous; Discovery Projects; Future Fellowships; and Super Science Fellowships.

Further information on the Discovery Program (including schemes, grant statistics and additional performance data) is provided in Part 5, Appendix 2.

Summary of performance2012–13 performance is summarised in Table 5.1.

DeliverablesThrough the Discovery Program schemes, the ARC delivers funding to individual research projects, research fellowships and awards. Funding is awarded to eligible organisations on the basis of competitive peer review processes involving Australian and international experts. The ARC also provides policy advice on matters related to research and research training.

In 2012–13 there were no selection rounds conducted under the Super Science Fellowships scheme. Funding for Super Science Fellowships was provided for two selection rounds only (funding commencing in 2011 and 2012).


Table 5.1: Program 1.1—Discovery Program, performance summary

Performance Page

Deliverables

Number of grants awarded 1168 51

Amounts awarded to administering organisations $528.8 million 52

Number of researchers supported 2340 53

Policy advice related to research and research training Achieved 53

Key performance indicators

Outputs and outcomes arising from ARC-supported research are of a high quality and produce national benefits

1 target met1 not measured

54

ARC funding supports excellent researchers2 targets met1 not measured

55

ARC-supported research contributes significantly to high quality research training 2 targets met 56

ARC fellowship and award schemes attract high quality international applicants

1 target not met 57

ARC-funded research makes a significant contribution to research activity and capability in areas of national need


58

There is a high level of collaboration between ARC-funded researchers and those within other components of the national and international innovation systems

1 target met 59

Policy advice that enhances Australia’s capacity and excellence in research 1 target met 60

Objectives

Support excellent fundamental research by teams and individuals met 61

Support the development of young researchers as well as the ongoing careers of individuals and research teams met 61

Provide incentives for researchers to build the scale of their work, develop teams and support growth of networks of research (both nationally and internationally)

met 65

Enhance the scale and focus of research in areas of national priority met 65


Number of grants awarded

Deliverable

Number of grants awarded(all Discovery Program funding schemes)

Result2012–13: 11682011–12: 13062010–11: 1205

The ARC awarded 1168 new grants under the Discovery Program for funding commencing in 2012–13 comprising:

17 Australian Laureate Fellowships; 200 Discovery Early Career Researcher Awards; 10 Discovery Indigenous grants; 732 Discovery Projects grants; and 209 Future Fellowships.

In 2012–13 there were fewer grants awarded under the Discovery Early Career Researcher Award scheme than in the previous year. The high demand for Discovery Early Career Researcher Awards in the first round led to a one-off decision to fund a larger number of awards in 2011–12. In addition, as noted previously, no grants were awarded under the Super Science Fellowships scheme.

Figure 5.1: Discovery Program, number of proposals funded

FS: Super Science Fellowships; DECRA: Discovery Early Career Researcher Award; DI: Discovery Indigenous; FL: Australian Laureate Fellowships; FT: Future Fellowships; DP: Discovery Projects


Amounts awarded to administering organisations

Deliverable

Amounts awarded to administering organisations (across the life of the projects)

Result2012–13: $528 838 0002011–12: $547 343 0002010–11: $513 430 000

The ARC awarded total funding of $528.8 million to the 1168 new grants under the Discovery Program for funding commencing in 2012–13. The total funding awarded comprised:

$46.7 million over five years for the Australian Laureate Fellowships scheme; $72.3 million over three years for the Discovery Early Career Researcher Award scheme; $4.3 million over three years for the Discovery Indigenous scheme; $254.0 million over three years for the Discovery Projects scheme; and $151.6 million over four years for the Future Fellowships scheme.

The decline in funding awarded between 2011–12 and 2012–13 is due, as outlined above, to the fall in the number of Discovery Early Career Researcher Awards as well as the completion of selection rounds under the Super Science Fellowships scheme.

Figure 5.2: Discovery Program, total funding awarded

FS: Super Science Fellowships; DECRA: Discovery Early Career Researcher Award; DI: Discovery Indigenous; FL: Australian Laureate Fellowships; FT: Future Fellowships; DP: Discovery Projects


Number of researchers supported

Deliverable Number of researchers supported (all Discovery Program funding schemes)

Result* 2012–13: 23402011–12: 2537

* Not an identified deliverable in 2010–11

The 1168 new grants awarded for funding commencing in 2012–13 under the Discovery Program involved 2340 researchers.

The total recorded is lower than the number of researchers supported on new projects commencing in 2011–12, due to the lower number of Discovery Early Career Researcher Awards and the completion of selection rounds under the Super Science Fellowships scheme in 2011–12.

For this deliverable, researchers are defined as named participants on successful funding proposals, that is:

fellows under the Australian Laureate Fellowships scheme; awardees under the Discovery Early Career Researcher Award scheme; chief investigators under the Discovery Indigenous scheme; chief investigators and partner investigators under the Discovery Projects scheme; and fellows under the Future Fellowships scheme.

Policy advice

Deliverable Policy advice

Result* 2012–13: Achieved2011–12: Achieved

* Not an identified deliverable in 2010–11

In 2012–13 the ARC provided advice and engaged in discussions on a range of policy matters relevant to the Discovery Program. Under the program, for example, the ARC worked towards enhancing ARC support for gender equity through increased opportunities to undertake fellowships part time.

Details of policy issues relevant to both the Discovery and Linkage Programs are detailed in the case-studies in Chapter 4 (pages 46–47).


Key performance indicatorsKey Performance Indicator 1: Outputs and outcomes arising from ARC-supported research are of a high quality and produce national benefits (KPI 1.1 in ARC strategic plan)

Measure 1 Evidence of impact of ARC-funded research

Target Significantly exceeds benchmarks where available

Result2012–13: Not measured2011–12: Not measured2010–11: Not measured

NOT MEASURED

Measure 2 Outcomes arising from ARC-funded research provide social, economic, environmental and cultural benefits

Target Evidence of benefits arising from the outcomes of ARC-funded research

Result2012–13: Met2011–12: Met2010–11: Met

TARGET MET

Measure 1The ARC did not assess this measure in 2012–13 due to resource constraints. In the past the ARC has periodically commissioned a bibliometric study to measure the citation impact of ARC-funded research relative to the Australian and world averages. The ARC released the last study in 2009 and used the results to report on performance in the 2009–10 annual report. In 2012–13 the ARC commenced a scoping study to determine the feasibility of conducting a bibliometric study in-house.

During the year the ARC continued to collect information on the outputs of ARC-funded research projects through final reports submitted to the agency. Under the Discovery Program, research projects and fellowships initially funded in 2008 produced on average 19.2 academic outputs per research project, and a total of 71 commercialisation outputs (see Part 5, Appendix 2, Table A2.3).

Measure 2Examples of outcomes arising from ARC-funded research are provided in the case studies in Chapter 4. The case studies provide examples of the benefits generated by ARC-funded research as reported in final reports submitted by researchers to the ARC during 2012–13 and in media releases issued by universities.


Key Performance Indicator 2: ARC funding supports excellent researchers (KPI 2.1 in ARC strategic plan)

Measure 3 External recognition of the achievements of ARC-funded researchers

Target Prestigious prizes and awards are received by ARC-funded researchers


TARGET MET

Measure 4 Evidence of impact of research conducted by ARC-funded fellows(Discovery Program fellowship and award schemes)

Target Exceeds benchmarks where available


NOT MEASURED

Measure 5ARC fellowship schemes offer opportunities for excellent researchers to balance their research careers with family responsibilities (Discovery Program fellowship and award schemes)

Target Implement flexibility to allow ARC fellows to undertake their fellowships part-time

Result * 2012–13: Met2011–12: n/a*

TARGET MET

* Not a measure in 2010–11 and 2011–12

Measure 3In 2012–13 ARC-funded researchers received national and international prizes and awards for their research (see Part 5, Appendix 4 for listing of examples). The recipients included researchers at all career levels, from early career researchers through to more established researchers.

Measure 4As noted under Key Performance Indicator 1, the ARC did not conduct a bibliometric study during the reporting period due to resource constraints.

Measure 5Beginning in the Future Fellowships selection round for funding commencing in 2013, Future Fellowships can now be awarded on a full-time or part-time basis, and may be converted to (or from) part-time at any time to enable the Future Fellow to continue to fulfil family or carer responsibilities. Discovery Early Career Researcher Awards are also available on a part-time basis.


Key Performance Indicator 3: ARC-supported research contributes significantly to high quality research training (KPI 2.2 in ARC strategic plan)

Measure 6 Proportion of ARC-funded researchers who are early career researchers (all Discovery Program funding schemes except Super Science Fellowships)

Target Greater than 20 per cent (2011–12 and 2012–13) 19 per cent (2010–11)

Result2012–13: 21.2 per cent2011–12: 22.0 per cent2010–11: 18.5 per cent

TARGET MET

Measure 7 Number of research students supported by ARC-funded research projects

Target Enhance ARC capacity to report on research students supported directly and indirectly through ARC grants

Result* 2012–13: Met TARGET MET


Measure 6Early career researchers comprised 21.2 per cent of researchers funded under the Discovery Program funding schemes in 2012–13. This includes the 200 researchers supported through the ARC’s dedicated funding scheme for early career researchers—the Discovery Early Career Researcher Award scheme.

Measure 7In 2012–13 the ARC conducted checks on final reports data to confirm its integrity and clarified the relevant question in the final reports form to improve the quality of data collected.

Indicative data collected from final reports submitted to the ARC shows that each Discovery Projects grant initially funded in 2008 supported 6.8 research personnel on average (including postgraduate students) other than those named in the proposal (see Part 5, Appendix 2, Table A2.4).


Key Performance Indicator 4: ARC fellowship and award schemes attract high quality international applicants (New KPI in 2012–13)

Measure 8Proportion of fellowships and awards are awarded to international applicants (Australian Laureate Fellowships, Discovery Early Career Researcher Award and Future Fellowships schemes)

Target Greater than 28 per cent

Result* 2012–13: 24.4 per cent TARGET NOT MET


Measure 8A total of 24.4 per cent of fellowships and awards were awarded to international applicants (including both foreign nationals and returning Australians) in 2012–13.

This result is below the target of 28 per cent. The target was set based on the results achieved in 2011–12, which included the inaugural selection round of the Discovery Early Career Researcher Award scheme.

To grow Australia’s research capacity all ARC fellowships and awards are open to international researchers who will undertake research in Australian universities and other eligible organisations, irrespective of their nationality. The proportion of fellowships and awards awarded to international applicants is considered to be one indicator of the attractiveness of the Australian research environment, and the ARC will continue to work with the sector and monitor this new KPI closely.

Table 5.2: Discovery Program, international applicants

DECRA (DE13) Futures (FT12) Laureates (FL12) Total2012–13

Returning Australians 8 12 1 21

Foreign Nationals 58 23 2 83

Total international 66 35 3 104

Total all fellows 200 209 17 426

Proportion of total 33.0% 16.8% 17.7% 24.4%


Key Performance Indicator 5: ARC-funded research makes a significant contribution to research activity and capability in areas of national need (KPI 2.3 in ARC strategic plan)

Measure 9 Proportion of funded proposals that address the National Research Priorities (all Discovery Program funding schemes)

Target Greater than 85 per cent (2011–12 and 2012–13)89 per cent (2010–11)


TARGET MET

Measure 10 Evidence of impact in National Research Priority areas

Target Examples of impact in National Research Priority areas


TARGET MET

Measure 9Over 90 per cent of new proposals funded under the Discovery Program in 2012–13 indicated that they involved research relevant to one of the Australian Government’s four National Research Priorities. The largest proportion of research projects (39.8 per cent) fell within the National Research Priority area of ‘Frontier technologies for building and transforming Australian industries’.

Measure 10Examples of outcomes arising from ARC-funded research in National Research Priority areas are provided in the case studies in Chapter 4 (pages 26–43).


Key Performance Indicator 6: There is a high level of collaboration between ARC-funded researchers and those within other components of the national and international innovation systems (KPI 1.2 in the ARC strategic plan)

Measure 11

Proportion of projects involving international collaboration(all Discovery Program funding schemes*)

Target Greater than 65 per cent (2011–12 and 2012–13)60 per cent (2010–11)


TARGET MET

* except DECRA in its first year of operation (2011–12) when international collaboration data were not collected

Measure 11A total of 65.0 per cent of new projects funded under the Discovery Program funding schemes in 2012–13 involved international collaboration.

The proportion varied across the individual funding schemes (see figure below) with Australian Laureate Fellows recording the highest levels of international engagement.

Figure 5.3: Discovery Program, proportion of projects involving international collaboration, 2012–13


Key Performance Indicator 7: Policy advice enhances Australia’s capacity and excellence in research (KPI 3.1 in ARC strategic plan)

Measure 12 Evidence of impact of policy advice

Target Policy advice improves the ARC’s capacity to contribute to the national innovation agenda

Result* 2012–13: Met2011–12: Met

TARGET MET

* Not a measure in 2010–11

Measure 12As noted under the deliverables, in 2012–13 the ARC provided advice and engaged in discussions on a range of policy matters relevant to the Discovery Program.

Details of policy issues relevant to both the Discovery and Linkage Programs are detailed in a case study in Chapter 4 (pages 46–47).


Progress towards meeting program objectivesObjective 1: Support excellent fundamental research by teams and individualsThe Discovery Program funding schemes provide support for the highest quality research conducted at Australia’s higher education institutions and other eligible organisations. To ensure excellent research is funded, the ARC uses a rigorous assessment process involving academic peers. The academic impact of outputs arising from ARC-funded research has been previously measured periodically through citation analysis.

2012–13 performancePeer review processesARC strategic plan priority action for 2012–13: Continue to enhance peer review processes, including ICT capability, to support application and selection processes

In 2012–13 the ARC continued to improve and enhance its peer review processes across the National Competitive Grants Program. Improvements have been made to the assessment module of the ARC’s Research Management System (RMS), providing a better user interface and navigation tools for assessors. The ARC has also continued to focus on standardising and normalising assessments to reduce anomalies, as well as developing assessment calibration and comparison tools for use by assessors and in selection meetings.

A new question was added to application forms for all schemes allowing applicants to nominate overseas-based experts as assessors, which will increase the pool of quality international assessors available to assess ARC funding rounds. There has also been an increased effort to recruit and utilise quality Australian assessors, including inviting nominations from Australian universities.

The ARC is currently considering ways in which it could streamline its grant application and assessment processes, including measures which could reduce the workload of applicants and assessors.

Objective 2: Support the development of young researchers as well as the ongoing careers of individuals and research teamsThe ARC provides support for researchers at all career stages through fellowships and awards administered under the Discovery Program. It also has an assessment process that provides a flexible approach to consideration of career interruptions and provides funding for postgraduate stipends and salaries for research personnel as part of eligible budget items.

2012–13 performanceNew grantsThe ARC awarded funding for 470 new fellowships and awards commencing in 2012–13 (Table 5.3) under the Discovery Program including:

17 Australian Laureate Fellowships; 200 Discovery Early Career Researcher Awards; seven Discovery Indigenous Awards under the Discovery Indigenous scheme; 37 Discovery Outstanding Researcher Awards under the Discovery Projects scheme; and 209 Future Fellowships.


Table 5.3: Discovery Program, fellowships and awards

2010–11 2011–12 2012–13

Australian Laureate Fellowships 15 17 17

Discovery Early Career Researcher Award n/a 277 200

Discovery Indigenous fellowships & awards 6 5 7

Discovery Projects fellowships & awards 193 26 37

Future Fellowships 200 203 209

Super Science Fellowships 50 50 n/a

Total 461 578 470

ConditionsAll fellowships and awards under the Discovery Program (except Australian Laureate Fellowships) can now be applied for on a part-time basis. The ARC also increased flexibility of part-time arrangements for fellowships and awards, allowing recipients more time to complete their award or fellowship and accommodate part-time arrangements.

Two weeks paid supporting partner/parental leave, available following the birth or adoption of a child, is now available under all schemes. Fourteen weeks paid maternity leave was introduced for Australian Laureate Fellowships in the selection round for funding commencing in 2013, and is now a condition under all schemes.

Evaluation ARC strategic plan priority action for 2012–13: Evaluate the Future Fellowships scheme

As part of a 2012–2013 program evaluation, the ARC consulted with stakeholders about the performance of the Future Fellowships scheme and its administration by the ARC. This was to support accountability for the scheme’s current operation, as well as to inform planning and policy for ongoing support for outstanding mid-career researchers.

Administering organisations, comprising higher education institutions, medical research institutes and publicly funded research agencies, were invited to comment on various aspects of the scheme’s performance and its administration in an online survey.

In total to date, Future Fellowships have been awarded to 670 resident Australian researchers who, in the absence of these opportunities, might have been expected to pursue other avenues of support, including overseas and, in some cases, outside of the research sector. In addition, the fellowships have attracted to Australia from overseas a total of 142 outstanding researchers, 59 as returning Australians and 83 as foreign nationals. Due to the lack of comparable funding opportunities in Australia, it is unlikely that many, if any, of these researchers would have relocated in the absence of the Future Fellowships scheme.


CASE STUDY

Understanding the process of stutteringStuttering is a disorder of speech fluency which typically emerges in children as they move from using individual words to constructing sentences at around two to four years of age. For the majority of people who develop a stutter as a child, the condition resolves itself over time. For a small group, however, stuttering can persist and cause severe and ongoing distress.

The neural mechanisms behind this disorder are not well known. New research by Dr Paul Sowman from Macquarie University will investigate whether stuttering is due to an impairment of the brain’s processes that enable people to stop themselves speaking. With the support of funding under the Discovery Early Career Researcher Award scheme commencing in 2013, this project will use innovative neuroimaging techniques to reveal how the brain stops speech in both fluent speakers and people who stutter.

This research will enhance our knowledge of the mechanisms that underpin the brain’s ability to control speech and further our understanding of communication dysfunction. It is hoped that the results will have practical implications for interventions for stuttering and can assist those with debilitating speech disorders.

Program: Discovery Program (Discovery Early Career Researcher Award)

Administering organisation: Macquarie University


Identified SEO: Clinical health


CASE STUDY

Success stories from the Future Fellowships schemeAs part of the 2013–14 Australian Government budget, new funding was provided to the ARC to administer 150 new Future Fellowships. These fellowships will be awarded under a selection round for funding commencing in 2014, and are in addition to the 1000 Future Fellowships that the ARC scheme is providing over the five-year period 2009 to 2013.

The Future Fellowships scheme offers four-year fellowships to encourage outstanding mid-career researchers to conduct their research in Australia. Some of the achievements of the outstanding mid-career researchers supported under the scheme to date include:

development of a nanopatch for vaccine delivery (Professor Mark Kendall, The University of Queensland);

breakthroughs in understanding facial tumour disease, which are helping to save the Tasmanian Devil from extinction (Professor Kathy Belov, The University of Sydney);

leading an archaeological dig that uncovered a 5000 to 6000 year old burial site, Con Co Ngua, in the Thanh Hoa province in Northern Vietnam. The Con Co Ngua people are likely descendants of the original colonisers of Southeast Asia and Australia (Dr Marc Oxenham, The Australian National University); and

further development and commercialisation of a breakthrough, environmentally-friendly process for recycling end-of-life plastics and rubber in steelmaking (Professor Veena Sahajwalla, The University of New South Wales).


Objective 3: Provide incentives for researchers to build the scale of their work, develop teams and support the growth of networks of research (both nationally and internationally)The Discovery Program supports research involving collaboration within and across institutions and research disciplines. It also supports international networking and mobility.

2012–13 performanceNetworking among researchers and institutionsUnder the Discovery Projects scheme for funding commencing in 2013, 76.5 per cent of successful proposals involved more than one named investigator.

Under the Future Fellowships scheme, 24.9 per cent of fellowships funded nominated another host organisation on their proposal. The Future Fellowships scheme supports cross-institutional collaboration by allowing fellows to spend up to two years of their fellowship conducting research at a host organisation other than the administering organisation. The host organisation can be located in Australia or overseas.

Developing teamsUnder the Australian Laureate Fellowships scheme for funding commencing in 2012, $16.8 million in funding was provided for 32 postgraduate and 32 postdoctoral researchers to support 17 Australian Laureate Fellows.

International collaborationThere were 1595 instances of international collaboration reported on the 1168 successful proposals under the Discovery Program for funding commencing in 2012–13.

In addition, International Collaboration Awards are available under the Discovery Projects scheme to enhance opportunities for collaboration among researchers, research teams and/or research centres in Australia and overseas. In the Discovery Projects selection round for funding commencing in 2013, 73 projects were awarded at least one International Collaboration Award.

Objective 4: Enhance the scale and focus of research in areas of national priorityThe ARC implements the National Research Priorities through all schemes of the Discovery Program, except Discovery Indigenous. Researchers have the opportunity to state whether their research proposal falls within one of the four priority areas and can also indicate how the proposal addresses one or more of the National Research Priority goals.

In the selection round for Future Fellowships for funding commencing in 2012, researchers were also asked to identify if the proposal targeted research areas of national significance.

2012–13 performanceOver 90 per cent of proposals funded under the Discovery Program in 2012–13 indicated that they involved research in an area of national research priority. Basic research funded in 2012–13 under the Discovery Program focused most heavily on frontier technologies for building and transforming Australian industries (39.8 per cent of proposals).

There were 148 instances identified in the targeted research areas from the 209 successful proposals under the Future Fellowships scheme for funding commencing in 2012. Proposals could identify more than one targeted research area.


CASE STUDY

Using new technologies for Aboriginal cultural heritage preservationAboriginal communities hold cultural information in many forms, including significant collections of audio-visual recordings of ceremonies, songs and dances, languages and local knowledge.

Mr Lyndon Ormond-Parker has been awarded a Discovery Indigenous Award to undertake research with Professor Marcia Langton and Associate Professor Robyn Sloggett on a project funded under the Discovery Indigenous scheme. This project will redefine the way Aboriginal communities preserve and protect their significant and at-risk audio-visual archival material, and show how these collections can be made accessible for future generations.

Aboriginal partner organisations will collaborate on case studies of their archival audio-visual collections. The project will identify the risks to collections, including deterioration, out-dated technology and one-off events such as floods and fires, and will develop culturally appropriate risk management plans, including the conversion of material to standard archival format for storage.

Program: Discovery Program (Discovery Indigenous)

Administering organisation: The University of Melbourne

National Research Priority: 3: Frontier technologies

Identified SEOs: Heritage; expanding knowledge; public health


CHAPTER 6PROGRAM 1.2 LINKAGE


DescriptionThe Linkage Program supports research collaboration between universities, and between universities and other organisations, helping to broker research partnerships with industry, government and community organisations as well as the international community.

The objectives of the Linkage Program are to:

encourage partnerships between university-based researchers and end-user organisations; foster opportunities for postgraduate and postdoctoral researchers to pursue research in

collaboration with organisations outside the higher education sector; support investment in strategic national research infrastructure and access to major

international research facilities; and encourage the growth of clusters of research and research training as platforms for innovation

through funding research centres and hubs.

The program comprises the following schemes:

ARC Centres of Excellence; Industrial Transformation Research Program; Linkage Infrastructure, Equipment and Facilities; Linkage Learned Academies Special Projects; Linkage Projects; and Special Research Initiatives.

Further information on the Linkage Program (including schemes, grant statistics and additional performance data) is provided in Part 5, Appendix 3.

Performance summary2012–13 performance is summarised in Table 6.1.

DeliverablesThrough the Linkage Program funding schemes, the ARC awards grant funding to administering organisations for individual research projects, infrastructure, hubs and centres. Funding is awarded on the basis of competitive peer review processes involving Australian and international experts. The ARC also provides policy advice on matters relating to research collaboration.

In 2012–13:

funding was awarded for the first time under the Industrial Transformation Research Program (ITRP), which comprises Research Hubs and Training Centres;

the number of selection rounds conducted under the Linkage Projects scheme was reduced from two to one to accommodate the establishment of the ITRP;

two selection rounds were conducted under the Special Research Initiatives scheme; no new selection rounds were conducted under the Linkage Learned Academies Special Projects

scheme; and a new selection round commenced under the ARC Centres of Excellence scheme for funding

commencing in 2014.


Table 6.1: Program 1.2—Linkage Program, performance summary

Performance Page

Deliverables

Number of grants awarded 267 70

Amounts awarded to administering organisations $130.4 million 71

Number of researchers supported 1650 72

Policy advice relating to encouraging research collaboration Achieved 72


There is a high level of collaboration between ARC-funded researchers and those within other components of the national and international innovation systems

3 targets met1 not met 73

Outputs and outcomes arising from ARC-supported research are of a high quality and produce national benefits


75

ARC-supported research contributes significantly to high quality research training 3 targets met 76

ARC-funded research makes a significant contribution to research activity and capability in areas of national need 2 targets met 77

Policy advice enhances Australia’s capacity and excellence in research 1 targets met 78

Objectives

Encourage partnerships between university-based researchers and end-user organisations (including business, industry, government and community organisations, and publicly funded research agencies)

met 79

Foster opportunities for postgraduate and postdoctoral researchers to pursue research in collaboration with organisations outside the higher education sector

met 79

Support investment in strategic national research infrastructure and access to major international research facilities met 81

Encourage the growth of clusters of research and research training as platforms for innovation through funding research centres and hubs. met 83


Number of grants awarded

Deliverable

Number of grants awarded(all Linkage Program funding schemes)

Result2012–13: 2672011–12: 4542010–11: 495

The ARC awarded 267 new grants under the Linkage Program comprising:

four Industrial Transformation Research Hubs; four Industrial Transformation Training Centres; 72 Linkage Infrastructure, Equipment and Facilities grants; 185 Linkage Projects grants; and two grants under the Special Research Initiatives scheme (Aboriginal and Torres Strait Islander

Researchers' Network (ATSIRN); and the Science of Learning Research Centre).

The decrease in the number of grants in 2012–13 is due to only one selection round being conducted under the Linkage Projects scheme following the establishment of the ITRP. The ITRP supports fewer grants of a larger scale (specifically research hubs and training centres).

Figure 6.1: Linkage Program, number of proposals funded

ARC Centres: ARC Centres of Excellence; LASP: Linkage Learned Academies Special Projects; SRI: Special Research Initiatives; ITRP: Industrial Transformation Research Program (comprising Industrial Transformation Research Hubs and Industrial Transformation Training Centres); LIEF: Linkage Infrastructure, Equipment and Facilities; LP: Linkage Projects


Amounts awarded to administering organisations

Deliverable

Amounts awarded to administering organisations (across the life of the projects)

Result2012–13: $130 428 0002011–12: $194 483 0002010–11: $409 763 186

The ARC awarded total funding of $130.4 million for 267 new grants under the Linkage Program. The total funding awarded comprised:

$14.5 million over four years for Industrial Transformation Research Hubs; $9.3 million over three years for Industrial Transformation Training Centres; $29.0 million for Linkage Infrastructure, Equipment and Facilities grants (predominantly one-year

grants); $58.4 million over three years for Linkage Projects grants; $3.2 million over four years for ATSIRN; and $16.0 million over five years for the Science of Learning Research Centre.

The total funding awarded fluctuates each year depending on the selection rounds conducted. The decrease in the total funding awarded in 2012–13 is due to only one selection round being conducted under the Linkage Projects scheme (following the establishment of the ITRP) and to an unforeseen delay in implementing the ITRP.

The significant drop in funding between 2010–11 and 2011–12 is a result of the ARC Centres of Excellence selection round in 2010–11. In that round, new funding was awarded to 13 centres, with funding totalling $255 million over five years.

Figure 6.2: Linkage Program, total funding awarded

ARC Centres: ARC Centres of Excellence; LASP: Linkage Learned Academies Special Projects; SRI: Special Research Initiatives; ITRP: Industrial Transformation Research Program (Industrial Transformation Research Hubs and Industrial Transformation Training Centres); LIEF: Linkage Infrastructure, Equipment and Facilities; LP: Linkage Projects


Number of researchers supported

Deliverable

Number of researchers supported(all Linkage Program funding schemes)

Result* 2012–13: 16502011–12: 2098

* Not a deliverable in 2010–11

The 267 new grants awarded for funding commencing in 2012–13 under the Linkage Program involved 1650 researchers. For this purpose researchers are defined as named participants on successful funding proposals, that is, chief investigators and partner investigators under Linkage Projects; Linkage Infrastructure, Equipment and Facilities; Industrial Transformation Research Hubs; Industrial Transformation Training Centres; and Special Research Initiatives.

The total recorded is lower than the number of researchers supported on new projects commencing in 2011–12 (2098), due to only one selection round being conducted under the Linkage Projects scheme.

Due to the nature of the research programs funded, Industrial Transformation Research Hubs, Industrial Transformation Training Centres, ATSIRN and the Science of Learning Centre will involve many more researchers and research students than those named in the funding proposals.

Policy advice

Deliverable Policy advice related to research collaboration

Result* 2012–13: Achieved2011–12: Achieved

* Not a deliverable in 2010–11

In 2012–13 the ARC provided advice and engaged in discussions on a range of policy matters relevant to the Linkage Program, including development of the ITRP and its alignment with the Industry Innovation Precincts.

Details of policy issues relevant to both Discovery and Linkage Programs are detailed in a case study in Chapter 4 (pages 46–47).


Key performance indicatorsKey Performance Indicator 1: There is a high level of collaboration between ARC-funded researchers and those within other components of the national and international innovation systems (KPI 1.2 in ARC strategic plan)

Measure 1 Financial commitment (cash and in-kind) from partner organisations for every dollar contributed by the ARC

Target Greater than $1.90 (2011–12 and 2012–13)Maintain level (2010–11)

Result2012–13: $1.872011–12: $2.052010–11: $2.00

TARGET NOT MET

Measure 2 Proportion of partner organisations that indicate that their involvement in projects was beneficial or very beneficial (Linkage Projects)


Result* 2012–13: 94.8 per cent (based on 2008 projects)2011–12: 96.4 per cent (based on 2007 projects)

TARGET MET

*Not a measure in 2010–11

Measure 1Across the three funding schemes—Linkage Projects, Industrial Transformation Research Hubs (ITRH) and Industrial Transformation Training Centres (ITTC)—partner organisations committed $1.87 to every dollar committed by the ARC ($2.20, $1.47 and $0.59 for Linkage Projects, ITRH and ITTC respectively).

This result is slightly less than the target of $1.90. This is due to the lower contribution requirements under the new Industrial Transformation Training Centres scheme, compared with the Linkage Projects scheme.

Measure 2Under the Linkage Projects scheme, 94.8 per cent of partner organisations involved in grants commencing in 2008 indicated that their involvement in the research project was beneficial or very beneficial. This information is drawn from final reports submitted by applicants following completion of the research projects.


Key Performance Indicator 1: There is a high level of collaboration between ARC-funded researchers and those within other components of the national and international innovation systems (continued)

Measure 3 Proportion of projects involving international collaboration(all Linkage Program funding schemes)


Result2012–13: 44.6 per cent2011–12: 40.7 per cent (LP and LIEF only)2010–11: 45.1 per cent

TARGET MET

Measure 4 Average number of organisations involved in projects funded (Linkage Infrastructure, Equipment and Facilities)

Target Greater than 3.5

Result2012–13: 4.32011–12: 3.92010–11: 4.2

TARGET MET

Measure 3Approximately 45 per cent of new projects awarded funding in 2012–13 indicated that they involved international collaboration.

Measure 4The 72 new research infrastructure projects funded under the Linkage Infrastructure, Equipment and Facilities scheme for funding commencing in 2013 involved an average of 4.3 organisations on each project. This figure has remained relatively stable over the past three years.

Table 6.2: Linkage Program, proportion of projects involving international collaboration

SchemeFunding commencing in

2010–11(%)

2011–12(%)

2012–13(%)

ATSIRN n/a n/a 100.0

ARC Centres of Excellence 100.0 n/a n/a

Linkage Infrastructure, Equipment and Facilities 47.4 45.5 45.8

Linkage Projects 42.8 39.7 41.6

Industrial Transformation Research Hubs n/a n/a 100.0

Industrial Transformation Training Centres n/a n/a 75.0

Science of Learning Research Centre n/a n/a 100.0


Key Performance Indicator 2: Outputs and outcomes arising from ARC-supported research are of a high quality and produce national benefits (KPI 1.1 in ARC strategic plan)

Measure 5 Evidence of impact of ARC-funded research

Target Significantly exceeds benchmarks where available


NOT MEASURED

Measure 6 Outcomes arising from ARC-funded research that provide social, economic, environmental and cultural benefits

Target Evidence of benefits arising from the outcomes of ARC-funded research


TARGET MET

Measure 5The ARC did not conduct a bibliometric study during the reporting period due to resource constraints. In the past the ARC has periodically commissioned a bibliometric study to measure the citation impact of ARC-funded research relative to the Australian and world averages. The last study was released in 2009 and used to report on performance in the 2009–10 annual report.

In 2012–13 the ARC commenced a scoping study to determine the feasibility of conducting the study in-house.

Under the Linkage Program, research projects and fellowships initially funded in 2008 produced an average of 16.3 academic outputs per research project, and a total of 74 commercialisation outputs. In 2012 ARC Centres of Excellence initially funded in 2005, 2007 and 2011 produced on average 244 academic outputs and a total of 67 patent- related outputs.

Measure 6Examples of outcomes arising from ARC-funded research are provided in the case studies on pages 26–43.


Key Performance Indicator 3: ARC-supported research contributes significantly to high quality research training (KPI 2.2 in ARC strategic plan)

Measure 7Proportion of ARC-funded researchers who are early career researchers (within five years of completion of their PhD)(Linkage Projects)


Result2012–13: 18.3 per cent2011–12: 13.3 per cent (LP and LIEF)2010–11: 13.1 per cent

TARGET MET

Measure 8 Support for research training in areas of strategic importance to Australian industries

Target Provide funding to support the establishment of Industrial Transformation Training Centres

Result* 2012–13: Industrial Transformation Training Centres commenced funding in 2013

TARGET MET

Measure 9 Number of research students supported by ARC-funded research projects

Target Enhance ARC capacity to report on research students supported directly and indirectly through ARC grants

Result* 2012–13: Met TARGET MET


Measure 7A total of 18.3 per cent of researchers funded under the Linkage Projects scheme in 2012–13 were early career researchers. The increase compared to the 2011–12 figure reflects the exclusion of the Linkage Infrastructure, Equipment and Facilities scheme from calculations in 2012–13.

Measure 8The ARC funded four Industrial Transformation Training Centres commencing in 2013. The new centres will support 42 higher degree by research candidates and 13 postdoctoral fellows. Further information on the centres is provided on pages 79–81.

Measure 9In 2012–13 the ARC conducted checks on final reports data to confirm data integrity and clarified questions in final reports forms to improve data collection.

Indicative data collected from previous final report forms shows that each Linkage Projects grant initially funded in 2008 supported 3.8 research personnel on average (including postgraduate students) other than those named in the proposal (Table A3.5). In 2012 ARC Centres of Excellence initially funded in 2005, 2007 and 2011 supported 2227 research students.


Key Performance Indicator 4: ARC-funded research makes a significant contribution to research activity and capability in areas of national need (KPI 2.3 in ARC strategic plan)

Measure 10 Proportion of funded proposals that address the National Research Priorities (all Linkage Program schemes)



TARGET MET

Measure 11 Evidence of impact in areas of National Research Priorities

Target Examples of impact


TARGET MET

Measure 10Over 98 per cent of new proposals funded under the Linkage Program in 2012–13 indicated that they involved research relevant to one of the Australian Government’s four national research priorities.

Under the Linkage Infrastructure, Equipment and Facilities scheme, the largest proportion of proposals funded (56.9 per cent) fell within the research priority area of Frontier Technologies. Under the Linkage Projects scheme, in comparison, the largest proportion of proposals funded (31.9 per cent) fell within the Environment research priority area.

Measure 11Support provided by the ARC in past years has contributed to new knowledge and outcomes for the community in each of the four priority areas (see case studies in Chapter 4, pages 26–48).

Figure 6.3: Linkage Program, proportion of grants in the National Research Priorities


Key Performance Indicator 5: Policy advice enhances Australia’s capacity and excellence in research (KPI 3.1 in ARC strategic plan)

Measure 12 Evidence of impact of policy advice

Target Policy advice improves the ARC’s capacity to contribute to the national innovation

Result* 2012–13: Met2011–12: Met

TARGET MET

* Not a measure in 2010–11

Measure 12As noted under the deliverables, in 2012–13 the ARC provided advice and engaged in discussions on a range of policy matters relevant to the Linkage Program.

Details of policy issues relevant to both Discovery and Linkage Programs are detailed in the case studies in Chapter 4, pages 46–47.


Progress in meeting objectivesObjective 1: Encourage partnerships between university based researchers and end-user organisationsThe Linkage Program supports collaborative research and development projects between higher education organisations and other parts of the national innovation system. It aims to improve the use of research outcomes by fostering long-term strategic alliances between higher education organisations and a range of end-user organisations, including industry.

2012–13 performanceIndustrial Transformation Research HubsARC strategic plan priority action for 2012–13: Conduct a selection round under the new Industrial Transformation Research Hubs scheme

Under the first round of the Industrial Transformation Research Hubs scheme, $14.5 million in ARC funding was awarded to four projects that will advance Australia’s food industries and address challenges in important areas such as storage, food processing, manufacturing capabilities and product opportunities.

The four research hubs will support university-based researchers and industries to work together to find solutions to a range of significant issues facing Australian industries. They will leverage private and international investment in targeted industry sectors. The 13 partner organisations involved with the projects have committed cash and in-kind contributions of $21.4 million.

The four successful hub proposals were:

Commercial development of rock lobster culture systems: the cutting edge of aquaculture, University of Tasmania;

Dairy Innovation Hub: transformational research to underpin the future of the Australian dairy manufacturing industry, The University of Melbourne;

Pathways to market: transforming food industry futures through improved sensing, provenance and choice, University of Tasmania; and

Unlocking the food value chain: Australian food industry transformation for the Association of Southeast Asian Nations markets, The University of Melbourne.


Objective 2: Foster opportunities for postgraduate and postdoctoral researchersThe Linkage Program offers opportunities for postgraduate and early career researchers to pursue internationally competitive research opportunities in collaboration with industry.

2012–13 performance Industrial Transformation Training Centres ARC strategic plan priority action for 2012–13: Implement the new Industrial Transformation Training Centres scheme

Under the first round of the Industrial Transformation Training Centres scheme, ARC funding of $9.3 million over three years was awarded to four research projects that will advance Australia’s food industries and address challenges in important areas such as storage, food processing, manufacturing capabilities and product opportunities.

The training centres will provide innovative training environments for 42 higher degree research candidates and 13 postdoctoral fellows, providing the opportunity to develop their skills in an industry setting. They will also foster close partnerships between researchers and industry members to translate research outcomes and address current and future industry needs.

The four successful centres were:

Agents of change: transforming the food industry for Australia, Asia and beyond, University of Queensland;

A molecular technology platform for enabling the next revolution in the food industry, Macquarie University;

Innovative Wine Production: responding to climate, water, market and economic challenges, University of Adelaide; and

Training Centre for Advanced Technologies in Food Manufacture, University of New South Wales.


CASE STUDY

Developing an Australian rock lobster aquaculture industryLobsters are a valuable and sought after seafood in an expanding international market. Current supply relies on wild stocks, many of which are in decline. With the support of funding under the Industrial Transformation Research Hubs scheme, researchers from the University of Tasmania will collaborate with industry partners, Darden Inc, JSA Consulting Engineers, Plastic Fabrications and the University of Auckland, to form a new research hub to examine the commercial development of rock lobster culture systems.

Using unique engineering, state-of-the art hatcheries and plastic manufacturing, the new hub aims to develop innovative aquaculture technology to mass produce lobster seed stock. It will receive $5 million in funding over five years from the ARC to boost research specifically in the areas of hatching lobsters, larval rearing systems and health.

Research generated by this international, multi-million dollar aquaculture venture will result in commercial opportunities for Australian companies. Not only will a reliable, large-scale supply of seed enable sea-cage culture of rock lobsters, but wild fisheries will also be enhanced through release of seed lobsters. It will provide opportunities for new aquaculture industries in Australia in the longer-term, through application of novel aquaculture systems to other sectors such as abalone, mud crabs, prawns and marine fish. The research has many potential fisheries and conservation benefits, with the aim of more sustainable food production in Australia.


Objective 3: Support investment in strategic national and international research infrastructure Through the Linkage Infrastructure, Equipment and Facilities scheme, the ARC supports the purchase and development of, and access to, tools which are crucial for leading edge research in Australia. Funding under the scheme includes international subscriptions to enable Australian-based researchers to access major international facilities. The Special Research Initiatives scheme is also used to fund initiatives relevant to this objective.

2012–13 performanceNew grantsIn 2013 the ARC awarded over $29 million to 72 new research infrastructure projects.

The grants included funding of $990,000 to The Australian National University to secure Australia’s partnership for the Advanced Laser Interferometer Gravitational-Wave Observatory (LIGO) Project for a further four years.

LIGO will be the first gravitational wave observatory capable of frequent observation of known sources of gravitational waves leading to the birth of gravitational wave astronomy. By playing a key role in this facility, Australia will reap the scientific rewards of being part of an exciting frontier of physics in the 21st century. Collaborating organisations include The University of Adelaide Laser Interferometer Gravitational-Wave Observatory.

Ongoing grantsIn 2012–13 the ARC continued to fund access, under the LIEF scheme, to the following international research facilities: the Integrated Ocean Drilling Program; International Gemini Partnership; NANTEN sub-millimetre Telescope Facility; and the ISIS Neutron Spallation Source.

In addition, the ARC has provided funding to support researcher access to the Australian Synchrotron under the Special Research Initiatives scheme. The Australian Synchrotron is the largest stand-alone piece of scientific infrastructure in the southern hemisphere. The ARC is providing funding of $25 million, the NHMRC is co-contributing $5 million and collaborating organisations have committed a further $25 million.

Additional separate funding from other government agencies and departments, as well as the New Zealand Government, bring the total funding for the facility to $100 million over the next four years. The facility can be used by almost any industry across a wide range of research fields and offers an array of new possibilities for research and development.


CASE STUDY

Innovating in the wine industryThe University of Adelaide has been awarded $2.4 million under the ARC Industrial Transformation Training Centres scheme to establish the Training Centre for Innovative Wine Production. The centre will help the industry produce wines of the composition, style and quality that consumers want.

As an industry that earns over $4 billion annually and employs 60,000 people, the Australian wine industry is facing major challenges through climate change, water restrictions, changing consumer preferences and rising wine alcohol content. The centre will provide new knowledge, methods and technologies, as well as skilled researchers to help the wine industry tackle its big challenges, with key objectives being to better manage flavour and alcohol content in Australia’s wines.

The centre provides an opportunity for The University of Adelaide to work with other wine research groups and with grape, wine and allied companies to investigate innovative wine production methods to benefit the Australian industry.

The centre’s personnel will include at least 12 PhD candidates and three postdoctoral fellows, who will have an opportunity to spend extended periods embedded within a partner organisation. The centre will provide them with experience working at the university–industry interface and contributing to the industry’s success beyond this project.


Objective 4: Encourage the growth of clusters of research and research training through funding research centres and hubsThe ARC supports the development of clusters of research and research training through support for ARC Centres of Excellence, Co-funded research centres, Industrial Transformation Research Program and Special Research Initiatives

2012–13 performanceScience of Learning Research Centre ARC strategic plan priority action for 2012–13: Conduct a selection process for a multidisciplinary Science of Learning Centre under the Special Research Initiatives scheme

On 7 May 2013 the Minister announced the new Science of Learning Research Centre which brings researchers and educators together to improve the quality and methods of teaching used in schools. The centre is a key recommendation of the Prime Minister’s Science, Engineering and Innovation Council Expert Working Group report, Transforming Learning and the Transmission of Knowledge (2009).

The centre will investigate the complex issues of the human learning process and with a multidisciplinary approach will unite researchers in disciplines ranging from neuroscience and cognitive development to pedagogy and educational technology. It will address a range of issues relating to Indigenous learners, learners in regional and remote locations, and learners from diverse backgrounds as well as the role of digital technology in education.

The University of Queensland will lead the centre with involvement from seven collaborating organisations (comprising six other Australian universities and the Australian Council for Educational Research) and nine partner organisations. The ARC is providing $16 million of funding to the centre over four years.

ARC Centres of Excellence for funding commencing in 2014ARC strategic plan priority action for 2012–13: Commence a selection process for new ARC Centres of Excellence

In 2013 the ARC commenced a selection round for new ARC Centres of Excellence for funding commencing in 2014. ARC Centres of Excellence are prestigious foci of expertise through which world class research teams maintain and develop Australia’s international standing in research areas of national priority.

The aim is to build Australia’s research capacity in a range of disciplines and support high quality postgraduate and postdoctoral training, offering Australian researchers opportunities to work on large-scale problems over a period of up to seven years.

In 2012–13 the ARC also continued to fund 24 ARC Centres of Excellence that were initially funded under selection rounds conducted for funding commencing in 2005 and 2011. Case studies highlighting achievements of some of the ARC Centres of Excellence in 2012–13 can be found on pages 33–34, Chapter 4.

Aboriginal and Torres Strait Islander Researchers’ NetworkIn November 2012 the Australian Government announced the outcome of the new Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network.

The National Indigenous Research and Knowledges Network (NIRAKN) will be headquartered at the Queensland University of Technology and will receive ARC funding of $3.2 million over four years. Under the leadership of Professor Aileen Moreton-Robinson, the network will bring together Aboriginal and Torres Strait Islander researchers across Australian universities and across research disciplines to facilitate collaborative and innovative approaches to planning and undertaking research and research training.


NIRAKN will comprise 44 Indigenous academic network participants from 21 universities, the Australian Institute of Aboriginal and Torres Strait Islander Studies, and five Indigenous partner organisations.

National ICT AustraliaNational ICT Australia (NICTA) was established in 2002 and is jointly funded by the ARC and the Department of Broadband, Communications and the Digital Economy to build capacity and strengthen investment in strategic information and communications technology (ICT) research. Total Australian Government funding for NICTA for the period 2002–15 is $564.5 million.

In 2012–13:

An independent economic impact analysis determined that the 12 projects assessed could have an estimated $3 billion per annum impact on the national economy.

NICTA senior researcher Dr Terry Percival received a prestigious European Patent Office Inventor Award for his role in developing core technology Wireless LAN, now used in billions of electronic devices worldwide.

NICTA embarked on a multi-million dollar contract with the United States Government Defense Advanced Research Projects Agency to develop a new breed of software to protect the critical systems of unmanned vehicles from cyber attack.

Australian Centre for Plant Functional GenomicsThe Australian Centre for Plant Functional Genomics (ACPFG) was established in 2002 and is jointly funded by the ARC and the Grains Research and Development Corporation (GRDC) to improve cereal crop resistance to environmental stress. The ARC and GRDC have committed $47.8 million to fund the ACPFG from 2002 to 2014.

In 2012–13 the ACPFG was part of a major breakthrough for cereal research through its involvement with the publication of the structure and organisation of the barley genome.

National Centre for Groundwater Research and TrainingThe National Centre for Groundwater Research and Training (NCGRT) was established in June 2009 as a joint funding initiative of the ARC and the National Water Commission (NWC) to build scale and focus for groundwater research. The ARC and the NWC are jointly committing up to $29.5 million over five years to the centre.

In 2012–13:

The NCGRT continued to forge strong new links with industry, including with the United States Geological Survey, the Australian Nuclear Science and Technology Organisation and Rio Tinto.

The NCGRT attracted over 600 attendees to training activities, and provided in-house training to Geoscience Australia and the Australian Government’s Office of Water Science.

The NCGRT served as general rapporteur for the Beijing meeting of the UNESCO International Groundwater Governance project.

Research in Bionic Vision Science and Technology InitiativeIn 2012–13 a mid-term review of the Research in Bionic Vision Science and Technology Initiative found that the two projects funded to develop a bionic eye have made exceptional advances in several areas of performance and capacity building.

Stem Cell ScienceThe ARC provided ongoing funding in 2012–13 under the Special Research Initiative in Stem Cell Science. Stem Cells Australia was awarded $21 million over seven years from July 2011. Stem Cells Australia is working to build Australia’s capacity in stem cell research and is led by internationally renowned researcher Professor Martin Pera.


CHAPTER 7PROGRAM 1.3: EXCELLENCE IN RESEARCH FOR AUSTRALIA


DescriptionExcellence in Research for Australia (ERA) evaluates the quality of the research conducted at Australian universities in all research disciplines (including medical and health sciences). ERA identifies the specific research strengths of individual universities and of the Australian university sector as a whole. It also highlights disciplines where there are opportunities to further develop the research capacities of Australian universities.

ERA is an ongoing Australian Government program. The ARC conducted a trial in 2009 and has now completed two full rounds of evaluation in 2010 and 2012.

Summary of performance2012–13 performance is summarised in Table 7.1.

DeliverablesThrough ERA, the ARC delivers the national evaluation of the quality of research undertaken in Australia’s universities. The evaluations are conducted by committees comprising experienced, distinguished experts and their judgments are informed by a range of indicators as well as more traditional measures of quality, such as citation analysis and peer review.

Table 7.1: Program 1.3—Excellence for Research in Australia, performance summary

Performance Page

Deliverables

Evaluations of research disciplines conducted by Research Evaluation Committees Achieved 88

Publication of the outcomes of the evaluations in the ERA 2012 National Report Achieved 88


Contribution to best practice evaluation of Australia’s research investment in higher education institutions 1 target met 89

Achievement of milestones for delivery of ERA 2012 1 target met 90

Successful outreach initiatives that further inform and engage the sector and other key stakeholders in overarching ERA policy and implementation 1 target met 90

Objectives

Administer an evaluation framework that provides assurance of research excellence met 91

Provide an overview of areas of research strength and areas with opportunities for development met 92

Allow comparison of Australian research nationally and internationally for all disciplines met 92

Allow comparison of research effort over time met 94


Research Evaluation Committees

Deliverable Evaluations of research disciplines conducted by Research Evaluation Committees.

Result Evaluations in ERA 2012 were undertaken by eight Research Evaluation Committees

The ARC appointed 147 internationally recognised discipline experts to eight Research Evaluation Committees (RECs) to conduct the ERA 2012 evaluations. Committee members were drawn from a pool of nominations submitted to the ARC from the higher education sector. A list of the committee members for ERA 2012 is provided in Part 5, Appendix 5.

In addition, peer reviewers are engaged to complement the expertise of the RECs in disciplines where peer review is an agreed key indicator. Approximately 850 peer reviewers from Australia and overseas submitted reports as part of the ERA 2012 evaluation process.

ERA 2012 National Report

Deliverable Publication of the outcomes of the evaluations in the ERA 2012 National Report

Result Released December 2012

The outcomes of the 2012 evaluation were published in the ERA 2012 National Report released by the then Minister, Senator the Hon Chris Evans, on 6 December 2012. The report contains more than 2300 assessment ratings for both disciplines and broad fields of research across the higher education sector. The report provides a summary of research activity in Australia’s universities.

The report also provides extensive analyses of the outcomes and of the comprehensive ERA data collection. The report is in addition to the more detailed reporting on the ERA outcomes to individual universities.


Key performance indicatorsKey Performance Indicator 1: Contribution to best practice evaluation of Australia’s research investment in higher education institutions

Measure 1 Evidence of contribution to best practice evaluation of research investment

Target Examples of contribution to best practice

Result Achieved TARGET MET

Measure 1Elements of best practice evaluation include: planning and review; transparency; robust methodology and communicating the results.

Planning and review The ARC consulted extensively with the Australian higher education sector about the method to be used for the ERA 2012 evaluations. These consultations included the draft ERA 2012 journal list, the draft ERA 2012 documents (including submission guidelines), the discipline matrix, applied measures, and a range of other specified issues. The ARC also incorporated enhancements to the ERA approach to ensure the comparability of the ERA outcomes from one round to the next. All enhancements to ERA for 2012 were communicated at the earliest opportunity for the information of the sector.

TransparencyThe ARC published detailed documentation about ERA 2012 on its website to ensure broad understanding of the detail of the evaluation approach. Documentation published included the training and instructional material provided to reviewers. The results of the ERA evaluations and the comprehensive ERA data collection were published in the ERA 2012 National Report and the ARC provided further detailed information about the ERA outcomes to individual universities.

MethodologyRobustness of the methodology was ensured through:

extensive engagement with the research community in Australia and with national and international experts in research evaluation;

clear documentation about the approach and processes published in advance by the ARC to ensure broad understanding of the ERA requirements and evaluation in ERA;

review mechanisms to ensure the integrity of submitted data; engagement of over 1000 independent internationally-recognised experts in evaluation; and detailed training for the expert committees.

A recent Organisation for Economic Cooperation and Development (OECD) publication recognised ERA’s use of expert review informed by metrics to evaluate quality and promote excellence in research as ‘state of the art’ (OECD 2010, Performance-based Funding for Public Research in Tertiary Education Institutions).

Communicating the ResultsThe ERA 2012 National Report was released on 6 December 2012. In addition, the ARC provided more detailed information and briefings to individual universities.


Key Performance Indicator 2: Achievement of milestones for delivery of ERA 2012

Measure 2 Completion of ERA 2012

Target Release of ERA 2012 National Report


Measure 2ARC strategic plan priority action for 2012–13: Complete the ERA process and announce results

The ERA 2012 National Report was released on 6 December 2012. The milestones in delivery of the final report included the following:

engaging approximately 1000 reviewers who conducted their evaluations during 2012; providing training for the expert committees and preparing and publishing on the ARC website a

range of supporting documentation; enhancing the System to Evaluate the Excellence of Research (SEER), the custom-built internet-

based evaluation system that provided ERA with a single platform to gather information from universities, present data to reviewers, and record the evaluation process and outcomes; and

detailed consideration by expert reviewers of assigned material over several months concluding with face-to-face meetings of all RECs to decide the final outcomes for each assessable unit of evaluation.

Key Performance Indicator 3: Successful outreach initiatives that further inform and engage the sector and other key stakeholders in overarching ERA policy and implementation

Measure 3 Sector contribution to review of ERA 2012 and future development of ERA processes and policy

Target Sector understanding of the ERA 2012 outcomes


Measure 3On 6 December 2012 the Australian Government announced that a further round of ERA would take place in 2015.

To inform development of the process for 2015, during April 2013 the ARC invited responses to a public consultation paper regarding the ERA submission process, aspects of the ERA evaluation methodology and what information should be reported at the conclusion of each round. Universities, individual academics, discipline groups and peak bodies provided a range of feedback and suggestions for the next round of ERA.

Further consultations are on-going in preparation for ERA 2015 including targeted consultations with those directly involved in ERA 2012 to ensure that lessons learned from the recently completed process and issues raised by universities and other stakeholders in relation to ERA are considered and addressed appropriately.


Progress towards meeting objectives Objective 1: Evaluation framework that gives assurance of the excellence of research conducted in Australia’s higher education institutions The results of the ERA 2012 evaluations confirm that Australian universities compete with the world’s best in a wide range of fundamental and applied disciplines. The ratings achieved by Australian universities were higher overall in ERA 2012 than in ERA 2010, and the range of fields of research assessed was wider. The improvement in ERA ratings is consistent with other key indicators of the Australian university sector’s performance.

2012–13 performanceThe ERA results are designed to provide information to government, universities, industry and the public about research strengths within each university and the range of research activity across the higher education sector.

ERA provides reliable and credible data about the quality of research in the higher education sector that:

allows research managers and investors to reward excellence in research; assures Australian taxpayers that their investment in research is well spent; facilitates strategic planning to further strengthen Australia’s research capabilities; and helps promote Australia’s research strengths on the world stage.

ERA data and outcomes are used by the universities, as well as by government and other stakeholders. For example, ERA results are used in the internal reporting and planning documents (such as the annual reports and strategic plans) of many universities and universities regularly use ERA outcomes to promote their research strengths, both to Australian stakeholders and on the world stage.

ARC strategic plan priority action for 2012–13: Collaborate with Department of Industry, Innovation, Climate Change, Science, Research and Tertiary Education on the use of ERA results to inform key research policy and programs

The ERA 2012 evaluations were completed by late 2012 in order for the results to be used to inform funding allocations under the Sustainable Research Excellence (SRE) program, administered by the Department. The 2013 SRE funding allocations include a funding component moderated by the quality ratings achieved by each institution in ERA 2012.

ERA data has informed key policies and benchmarking documents such as:

Research Skills for an Innovative Future: A Research Workforce Strategy (Department of Innovation, Industry, Science and Research, 2011);

Health of Australian Science (Office of the Chief Scientist, 2012) and the National Research Investment Plan (Department of Innovation, Industry, Science and

Research, 2012).

ERA results will also inform the 2014–16 Mission-Based Compacts negotiated between the Australian Government and each institution, committing to common strategic goals and innovation priorities.


Objective 2: Provide an overview of areas of research strength and areas with opportunities for developmentERA is a comprehensive collection of research activity in Australia’s universities over a six-year period. This means that the data collection is a rich source of information about the higher education research landscape in Australia, quite apart from the evaluation outcomes. The ERA 2012 National Report contains analyses in addition to identifying research strengths, including emerging disciplines and areas for development, research application, multi-disciplinary research, and research collaboration and co-authorship.

2012–13 performanceERA gives a detailed view of the research landscape in Australia. It highlights national research strengths in areas of critical economic and social importance and the strengths of individual universities. In the following disciplines there are 10 or more Australian universities judged in ERA to be performing at above world standard, including at least four performing at well above world standard:

0201-Astronomical and Space Sciences 0303-Macromolecular and Materials Chemistry 0403-Geology 0502-Environmental Science and Management 0602-Ecology 0603-Evolutionary Biology 0607-Plant Biology 0906-Electrical and Electronic Engineering 0912-Materials Engineering 1103-Clinical Sciences 1106-Human Movement and Sports Science 1107-Immunology 1108-Medical Microbiology 1110-Nursing 1115-Pharmacology and Pharmaceutical Sciences 1116-Medical Physiology 1701-Psychology 1801-Law 2002-Cultural Studies 2103-Historical Studies

Objective 3: Allow comparison of Australian research nationally and internationally for all disciplinesPerformance measures in ERA are benchmarked for each discipline to the rest of the Australian higher education sector and to the rest of the world. The ERA rating scale is designed to be broadly consistent with the approach taken in research evaluation processes in other countries specifically to allow for international comparison.

This methodology provides hard evidence of quality relative to world standards. It combines the benefits of holistic assessment by distinguished researchers with the objectivity that comes from using multiple quantitative and qualitative indicators.

The ARC routinely engages with colleagues from other national systems to inform the further development of ERA, and briefs staff from government agencies in those countries about the design of ERA to inform policy development overseas. In 2012-13 the ARC had ongoing engagement with overseas authorities involved in the development of research evaluation policies and practices, including agencies in Canada, New Zealand, Thailand and the United Kingdom.


2012–13 performanceThe ERA 2012 results confirm that researchers at Australian universities compete with the world’s best in a wide range of disciplines.

Figure 7.1 shows the number of universities receiving ratings of 3 (world standard) or above at the broad two-digit field of research level.

Figure 7.1: Number of universities rated at world standard or higher, all broad Fields of Research (two-digit FoR codes)


Objective 4: Allow comparison of research effort over timeThe ERA framework was applied consistently in 2010 and 2012 to ensure that the results of the two evaluations are comparable.

2012–13 performanceRelease of the ERA 2012 National Report in December 2012 marked the end of the second comprehensive review of research at Australian universities.

Overall, the ERA 2012 results show that the size of the sector is increasing—with more researchers and more outputs (see Table 7.2). This expansion reflects increased funding from Australian competitive grants and other public sector income.

The ratings achieved by Australian universities were also higher overall in ERA 2012 than in ERA 2010 (Table 7.3), and the range of fields of research assessed was wider.

There was a significant increase in the number of national strengths (Table 7.3), where a national strength is defined as a specific discipline where ten or more Australian universities are rated under ERA at above world standard or higher.

Table 7.2: Differences between ERA 2012 and ERA 2010, inputs

Element Number Difference from 2010

Unique research publications/outputs 413 478 Up 24 per cent

Competitive grant income $3.75 billion Up 18 per cent

Other public sector income $2.39 billion Up 25 per cent

Researcher workforce 60 668 Up nine per cent

Patents 781 Up 16 per cent

Table 7.3: Differences between ERA 2012 and ERA 2010, ratings

Difference Number of units of evaluation % of total

-3 1 0.05

-2 25 1.22

-1 280 13.71

0 1083 53.04

1 570 27.91

2 72 3.53

3 11 0.54

Subtotal 2042 100.0

n/a (evaluated in 2012 but not 2010) 281

Total 2323


Table 7.4: Differences between ERA 2012 and ERA 2010, areas of research strength

2010 and 2012 New in 2012

0201-Astronomical and Space Sciences0403-Geology0603-Evolutionary Biology0607-Plant Biology0906-Electrical and Electronic Engineering1103-Clinical Sciences1106-Human Movement and Sports Science1107-Immunology1115-Pharmacology and Pharmaceutical Sciences

0303-Macromolecular and Materials Chemistry0502-Environmental Science and Management0602-Ecology0912-Materials Engineering1108-Medical Microbiology1110-Nursing1116-Medical Physiology1701-Psychology1801-Law2002-Cultural Studies2103-Historical Studies


PART 3MANAGEMENT AND ACCOUNTABILITYCHAPTER 8: GOVERNANCE 104

CHAPTER 9: EXTERNAL SCRUTINY 115

CHAPTER 10: PEOPLE MANAGEMENT 120

CHAPTER 11: FINANCIAL AND LEGAL SERVICES 128

CHAPTER 12: ICT AND FACILITIES 131

CHAPTER 13: COMMUNICATION 134


CHAPTER 8Governance


PortfolioAt 30 June 2013 the ARC was a statutory agency in the Industry, Innovation, Climate Change, Science, Research and Tertiary Education portfolio.

LegislationThe ARC is established as an independent body under the Australian Research Council Act 2001 (ARC Act).

Under the ARC Act, the Minister has a range of powers including approving the ARC’s strategic plan, funding rules and proposals for expenditure under the National Competitive Grants Program (NCGP). The Minister also has the power to:

establish designated committees to assist in carrying out the functions of the Chief Executive Officer (CEO);

direct the CEO about the performance of the CEO’s functions; and provide notification of the general policies of the Australian Government that are to apply to the

ARC or its components (that is, the ARC committees and staff).

There were no Ministerial directions issued to the ARC during 2012–13. One Ministerial direction issued to the ARC during 2002–03 was ongoing: the ARC was directed by the then Minister for Education, Science and Training to take account of the National Research Priorities in performing its functions under the ARC Act.

The CEO has the following functions under the ARC Act:

to make recommendations to the Minister on which proposals should be approved for funding; to administer the financial assistance for research provided through the NCGP; to provide advice to the Minister on research matters; and any other functions conferred on the CEO by this or any other Act.

Senior staff responsibilities

Executive staffProfessor Aidan Byrne, Chief Executive OfficerThe CEO has responsibilities under the ARC Act as outlined above. Professor Byrne also has statutory responsibilities for managing and leading the agency in accordance with the requirements of the Public Service Act 1999, the Financial Management Act 1997 (FMA Act) and other legislation.

Leanne Harvey,Executive General ManagerThe Executive General Manager is responsible for the Corporate Branch and the Research Excellence Branch.

Corporate Branch comprises three sections: Finance, People and Services and Stakeholder Relations. Together these sections have responsibility for delivery of finance functions, property and facilities management, delivery of corporate communications, media relations and publications activities, ministerial and parliamentary liaison, and people management.

The Research Excellence Branch comprises two sections: Metrics Assessment and Analysis, and Program Evaluation.


Dr Mary Kelly, Branch Manager, StrategyThe Branch Manager, Strategy is responsible for policy development and advice; coordinating the agency’s strategic and operational planning and performance reporting; NCGP data analysis; providing Secretariat support to the ARC Advisory Council, Australian Research Integrity Committee and ARC Audit Committee; risk management; and coordinating an internal audit program.

Dr Fiona Cameron, Executive Director, Biological Sciences and BiotechnologyDr Cameron is responsible for oversight of the ARC Centres of Excellence, Industrial Research Transformation Research Program and Linkage Projects funding schemes. In addition, she has particular responsibility for discipline activities in biotechnology and biological sciences.

Professor Marian Simms, Executive Director, Social, Behavioural and Economic SciencesProfessor Simms is responsible for oversight of the Australian Laureate Fellowships, Discovery Indigenous, and Discovery Projects funding schemes. In addition she has particular responsibility for discipline activities in the social, behavioural and economic sciences.

Professor Brian Yates, Executive Director, Engineering, Mathematics and Information SciencesProfessor Yates is responsible for oversight of the Discovery Early Career Researcher Award, Future Fellowships, and Linkage Infrastructure, Equipment and Facilities funding schemes. In addition he has particular responsibility for discipline activities in engineering, mathematics and information sciences.

Senior staffTony Andersen, Chief Information OfficerThe Chief Information Officer is responsible for the ICT Services Branch, which comprises two sections: ICT Applications and ICT Operations. The ICT Services Branch is responsible for the development and ongoing maintenance of in-house ICT applications supporting delivery of the NCGP and Excellence in Research for Australia (ERA), as well as other IT functions.

Dr Laura Dan, Chief Program OfficerThe Chief Program Officer is responsible for the Programs Branch, which comprises three sections: Discovery, Linkage and Program Partnerships. The Programs Branch administers the funding schemes of the NCGP, including activities at all stages of the grants process, from application through to post award.

Julija Deleva, Chief Financial OfficerThe Chief Financial Officer is responsible for delivery of ARC financial functions including ensuring the application of relevant Australian Government financial standards, preparation of annual financial accounts and statements, purchasing, tendering, and compliance and delegations.


CommitteesThe ARC has a number of governance committees and a number of committees that assist with the delivery of the NCGP and ERA. Membership of each committee during the reporting period is in Part 5, Appendix 5.

GovernanceARC Advisory CouncilUnder section 4 of the ARC Act, the Minister may establish a committee or committees to assist in carrying out the functions of the CEO. The ARC Advisory Council is the ARC’s sole designated committee. Further details of the council are provided in Part 1, Chapter 2.

Audit CommitteeUnder the FMA Act, the CEO is required to establish and maintain an Audit Committee. The FMA Act outlines that the function of the audit committee is to help the agency comply with obligations under the Act and the Finance Minister’s Orders for Financial Reporting; and to provide a forum for communications between the CEO, senior staff and the Auditor-General.

In 2012–13 the ARC Audit Committee comprised two external members, including the Chair, and two internal members. The committee met five times in 2012–13, undertaking financial statement responsibilities and providing the CEO with independent assurance on the risk, control and compliance framework of the ARC.

Senior Management GroupThe Senior Management Group (SMG) provides advice and direction on strategic and operational issues and coordinates activities across the agency. SMG comprises the CEO, Executive General Manager, Branch Manager, Strategy, Chief Financial Officer, Chief Information Officer and Chief Program Officer. SMG was scheduled fortnightly during 2012–13.

Other committeesOther governance committees in place as at 30 June 2013 included:

the ARC Security Committee, which oversees the effective and efficient adherence to physical, personnel, and IT security measures within the ARC. This committee meets every four months, or as required, and reports to the CEO and SMG.

the Business Continuity Plan (BCP) Committee meets annually, or as required, to ensure that the BCP remains current and practical and is tested on a regular basis.

the Work Health and Safety Committee, which develops and promotes initiatives to protect the health and safety of employees, contractors and visitors through the implementation of and review of the effectiveness of the ARC work health and safety policies and practices. This committee meets at least four times a year and provides advice to the CEO and SMG.

ICT Change Control Committee, which oversees the approval of change for ICT applications and infrastructure, coordinates the release of all changes and accepts recommendations from the ICT change triage team. This committee reports to the CEO and SMG.

ICT Governance Committee, which reviews the ICT Services requirements for the ARC, acts as the project board on significant ICT projects, and provides guidance on priorities for the ICT Services Branch. This Committee meets annually, or as required, and reports to the CEO and SMG.

People Management and Development Committee, which provides a forum for the ARC to consult with employees and their representatives about workplace issues that affect them. This committee meets four times a year.

the Salary Review Committee, which advises the CEO, supervisors and staff on salary and performance issues. This committee meets twice a year following the mid- and end-of-cycle performance reviews.


National Competitive Grants ProgramARC CollegeThe ARC College plays a fundamental role in identifying research excellence, moderating external assessments and recommending fundable proposals. Furthermore, the ARC College helps recruit and assign assessors, and implement peer review reforms in established and emerging disciplines as well as interdisciplinary areas. The members are appointed across five discipline groups for up to three years, subject to an annual performance review.

Meetings of ARC College members are convened during the year depending on scheme requirements. Generally, larger multi-panel meetings are held in April and August each year, while smaller interdisciplinary sub-group meetings may be convened at the ARC or online at other times.

Following a competitive selection process, the ARC appointed 78 new members to the ARC College in January 2013. When appointing these new members, consideration was given to the expanding research areas of grant proposals, gender balance, institutional affiliations and state/territory representation.

The 2013 ARC College comprises 134 experts of international standing drawn from the Australian research community—from higher education, industry and public sector research organisations.

Appeals CommitteeThe ARC Appeals Committee considers appeals submitted to the ARC in relation to the NCGP. For each appeal, the committee determines if there was an administrative error related to a selection process that has adversely affected a proposal. The committee then makes a recommendation to the CEO about whether an appeal should be upheld or dismissed. The committee also provides general advice to the ARC in relation to how administrative processes could be modified or improved. The committee consists of external members appointed by the CEO.

In 2012–13 the committee met twice to consider nine appeals received by the ARC in relation to NCGP proposals across the Discovery Projects, Linkage Infrastructure, Equipment and Facilities and Linkage Projects schemes. Of these, one appeal was upheld.

Scrutiny CommitteeThe ARC Scrutiny Committee scrutinises the probity of the assessment processes of the ARC College in relation to funding proposals involving members of the college and/or ARC staff. On completion of the process, the committee reports its findings and recommendations to the CEO. The committee consists of three members, who are external to the ARC and have prior experience as a member of the ARC College. The CEO appoints new members annually. The committee met once during 2012–13.

Selection Advisory CommitteesSelection Advisory Committees assessed proposals for funding under the following schemes: Australian Laureate Fellowships, Special Research Initiative for a Science of Learning Research Centre, Aboriginal and Torres Strait Islander Researchers’ Network, and the Industrial Transformation Research Program.

Excellence in Research for AustraliaThe ERA Research Evaluation Committees (RECs) are established to evaluate research at Australian higher education institutions by discipline. The committees comprise distinguished and internationally-recognised researchers with expertise in research evaluation. For the ERA 2012 evaluations 147 members were appointed to eight RECs. Training for the RECs was conducted in April 2012 and the RECs met from 15–19 October for the ERA 2012 Evaluation Meeting.


Australian Research Integrity CommitteeThe ARC and the National Health and Medical Research Council (NHMRC) established the Australian Research Integrity Committee (ARIC) in February 2011. ARIC is comprised of four expert members and reports to both the ARC and the NHMRC. The committee reviews the processes by which a university has managed an allegation of research misconduct. It supplements the existing framework for the investigation of allegations of research misconduct in Australia.

ARIC’s role in reviewing institutional processes, in response to allegations of research misconduct, ensures institutions observe proper process in their investigations. In doing so, ARIC contributes to public confidence regarding the integrity of Australia’s research effort. Upon request, ARIC reviews whether an institution’s investigation of allegations of research misconduct is consistent with the Australian Code for the Responsible Conduct of Research (2007) and the institution’s own policies and procedures.

The ARC provides secretariat support for ARIC matters relevant to ARC-funded research. An important component of the ARC’s involvement is to create an awareness of ARIC and its responsibilities.

In 2012–13 ARIC and its secretariat continued to work on refining its operational procedures and the ARIC request for review form. These refinements have improved responsiveness to applications and ensured an accurate and consistent application of the ARIC Framework (February 2011).

During 2012–13 the ARC received two requests for review to be undertaken by the ARIC.

Planning and reporting

Strategic planAs required under the ARC Act, each year the CEO prepares a strategic plan that sets out the goals, priorities, policies and strategies to be adopted by the ARC to achieve its objectives. The strategic plan also includes performance indicators to evaluate how the ARC has performed against the strategies outlined in the plan.

The ARC Strategic Plan 2012–13 to 2014–15 was approved by the Minister in November 2012 and it was tabled in The Parliament of Australia in February 2013. The plan comprised three key objectives based on supporting excellence in research, building Australia’s research capacity, and the provision of high quality advice to the Australian Government. The plan also included two enabling objectives based on improving organisational performance and communicating the benefits of Australia’s research efforts, whilst maintaining productive relationships with stakeholders.

Operational planThe ARC prepares an operational plan each year to support the strategic plan. The ARC Operational Plan 2012–13 details the actions undertaken to address the key and enabling objectives outlined in the strategic plan and is reviewed quarterly to monitor progress of the actions. Each section of the ARC provides input into the operational plan and a quarterly progress report, and these are then provided to SMG for endorsement.

Portfolio Budget StatementsThe Portfolio Budget Statements (PBS) are used to inform Senators and Members of Parliament of the proposed allocation of resources to Australian Government outcomes by agencies within the portfolio. The ARC is included as a separate agency within the Portfolio Budget Statements 2012–13, Budget Related Paper No. 1.13, Industry, Innovation, Science, Research and Tertiary Education Portfolio.


Annual reportThe annual report, which is prepared in accordance with the ARC Act, is the main instrument through which the ARC reports to the Parliament of Australia. The report provides an overview of the ARC’s activities and performance against the performance indicators in the strategic plan and the PBS for a given financial year.

Risk management and compliance

Risk management frameworkThe ARC manages risk in accordance with the Australian/New Zealand Standard for Risk Management (AS/NZS ISO 31000: 2009). The ARC risk management framework is designed to minimise the possibility of loss or damage to operations, staff, property, reputation and assets, while recognising opportunities to meet the stated objectives of the organisation within a good corporate governance framework.

The CEO has assigned responsibility for oversight of risk management processes within the ARC to the Branch Manager, Strategy, who is responsible for providing assurance to the Audit Committee that the risk management process is operating effectively.

The ARC risk management process includes an annual review of strategic risks to the agency and six monthly reviews of operational risks. During 2012–13 the ARC strengthened its risk management processes by encouraging staff to participate in risk management training, improving risk register reporting, and implementing a greater alignment between risk management and business planning activities.

In 2012–13 the ARC participated in the Comcover Risk Management Benchmarking Survey. This exercise provided the ARC with the opportunity to review and measure how successfully risk management has been integrated into business operations from an enterprise-wide perspective, helping to identify areas for improvement and risk management activities to be prioritised.

Fraud controlDuring 2012–13 the ARC reviewed and updated its Fraud Risk Assessment Summary. The Fraud Control Plan was updated in 2011–12 and is next due to be updated in 2013–14. A copy of the plan is available to all staff on the ARC Intranet.

The CEO has certified within the Letter of Transmittal (page iii) that the ARC has complied with the requirements of the Commonwealth Fraud Control Guidelines.

Business continuity and disaster recovery

Business continuityIn 2012–13 the ARC reviewed and updated its Business Continuity Plan.

Disaster recovery scenario and testingThe ARC has designed, developed and implemented ICT systems with availability as a key requirement. The ARC has mirrored server and storage systems located in separate geographical locations in Canberra to provide high levels of business systems and application availability. The design and operation of these systems ensures high availability and resilience of business systems that exceed that of the majority of small and medium Australian Government agencies.

ICT Operations conduct scenario-based testing of the ICT systems annually to ensure that in the event of an ARC systems failure, secondary system components automatically take over to ensure there are no interruptions to availability and that this process occurs as designed and expected.


During 2012–13 a failure of the ARC’s storage system node at the Transact data centre triggered a failure scenario that tested the ability of the ARC to respond to either site being unavailable. All internal and external systems and applications continued to be available for all stakeholders and there were no outages as a result of this failure. This failure was considered to be the equivalent of a planned test and no additional planned testing was conducted.

Internal AuditInternal audit is an integral part of the ARC’s corporate governance framework. The internal audit function provides an independent and objective review and advisory service to:

provide assurance to the CEO that the ARC’s financial and operational controls designed to manage the organisation’s risks and achieve the ARC’s objectives are operating in an efficient, effective, economical and ethical manner; and

assist management in improving the ARC’s business performance.

The Branch Manager, Strategy is the ARC’s Head, Internal Audit and during 2012–13 KPMG was the ARC’s internal auditor. The Head, Internal Audit is accountable to the CEO for efficient and effective operation of the internal audit function. The internal auditor reports to the Audit Committee through the Head, Internal Audit.

In consultation with the Head, Internal Audit, senior ARC management, the Audit Committee and the CEO, the internal auditor produced the Annual Internal Audit Work Plan 2012–13 and the Strategic Internal Audit Plan 2012–2014. In accordance with the annual work plan, the internal auditor completed five audits in the areas of ERA, post-award grant management and monitoring, payroll, work health and safety, and IT change management.

The ARC Internal Audit Charter and the ARC Internal Audit Protocol were updated, and endorsed by the CEO, following the release of the Australian National Audit Office Public Sector Internal Audit, Better Practice Guide (September 2012).

Institutional reviewsDuring 2012–13 the ARC undertook two institutional reviews. The objective of the reviews was to monitor and evaluate universities’ compliance with ARC funding agreement requirements. As part of the reviews, discussions were held with key stakeholders and analysis and testing was performed on the universities’ internal accounting and research grant administration frameworks.

Ethical behaviour

StaffHigh ethical standards are promoted by ARC senior management and the ARC Strategic Plan 2012–13 to 2014–15 includes among its guiding principles ‘accountability through adherence to ethical standards’. Ethical standards are incorporated into ARC governance policies and guidelines and the ARC has an intranet site to promote ethical behaviour and the Australian Public Service Commission (APSC) Ethics Advisory Service. The ARC also has an Ethics Contact Officer available to staff.

Induction training for new appointees includes an overview and discussion of the Australian Public Service (APS) Values and Code of Conduct. Copies of the values and the code are provided to new appointees, who are required to acknowledge that they understand and adopt these before their appointments are finalised. Furthermore, biannual individual performance reviews provide ongoing opportunities for staff and supervisors to address ethical issues.

The ARC conducted an intensive awareness campaign for staff in relation to the introduction of the revised APS Values and Code of Conduct, which came into effect on 1 July 2013. This included mandatory attendance at information sessions.

The ARC Audit Committee has continued to carry out its responsibility for reviewing whether management has taken steps to embed a culture that promotes the proper use of Commonwealth


resources and is committed to ethical and lawful behaviour, as set out in the ARC Audit Committee Charter (April 2013).

In the State of the Service Report 2011–2012, published by the APSC in December 2012, 88 per cent of ARC staff believed that ARC senior executives act in accordance with the APS values, compared to 68 per cent APS wide.

ARC-funded researchersAll ARC-funded research must conform to the principles outlined in the Australian Code for the Responsible Conduct of Research, 2007; National Statement on Ethical Conduct in Human Research, 2007; National Principles of Intellectual Property Management for Publicly Funded Research; and as applicable, codes on animal research declared by the NHMRC. The requirements for ethical compliance are clearly stated in the NCGP funding rules.

The ARC Complaints Handling Policy and Procedures includes a formal process for handling research misconduct allegations related to scientific fraud, ethical breaches and research misconduct that is external to the ARC, but associated with research funded by the ARC. The ARC has a Research Misconduct Officer responsible for maintaining a register and managing the investigation process for research misconduct allegations. The Research Misconduct Officer may recommend that an allegation of research misconduct be referred to ARIC if the case falls within the scope of ARIC.

ARIC provides a system to review institutional processes to respond to allegations of research misconduct.

ARC committee members and assessorsThe ARC is committed to preserving public confidence in the integrity, legitimacy, impartiality and fairness of its decision-making processes.

Selection committee members and assessors (or equivalent) are bound by the ARC Guidelines for Disclosure of Interests and Confidentiality Obligations which requires that they:

observe the APS Values and Code of Conduct; act with integrity, objectivity, openness and honesty; be accountable for their decisions and actions; be subject to an appropriate level of scrutiny; provide assurances to the ARC that they will abide by the ARC confidentiality requirements; and disclose any conflicts of interest related to their official duties.

The guidelines are made available to any relevant parties and are available on the ARC website.

The ARC Complaints Handling Policy and Procedures outlines reporting processes for ARC College members or assessors who discover a possible case of research misconduct during the peer review of a proposal.


CHAPTER 9EXTERNAL SCRUTINY


Parliamentary CommitteesThe ARC appeared before the Senate Economics Legislation Committee at estimates hearings held in October 2012, February 2013 and June 2013.

The ARC responded to 14 Questions on Notice arising from these hearings. It also provided input to 136 Questions on Notice directed to the ARC’s portfolio department—as at 30 June 2013, the Department of Industry, Innovation, Climate Change, Science, Research and Tertiary Education. During this time, the ARC received and responded to 19 Parliamentary Questions on Notice.

On 12 October 2012 the ARC CEO appeared before the Inquiry into Australia’s biodiversity in a changing climate, undertaken by the House of Representatives Standing Committee on Climate Change, Environment, and the Arts.

On 10 October 2012 the Senate Economics Legislation Committee released its report on annual reports of the agencies for which it is responsible (Annual reports—No. 1 of 2013). The committee reported that it considered that the ARC had met its reporting requirements under section 63 of the Public Service Act 1999 (PS Act), the Financial Management and Accountability Act 1997 (FMA Act) and the Australian Research Council Act 2001 (ARC Act).

Australian National Audit OfficeThe Australian National Audit Office (ANAO) audited the ARC’s annual financial statements for the year ended 30 June 2013. The report for this audit can be found in Part 4, Chapter 15.

In 2012–13 there were no audit reports tabled by the ANAO that involved the ARC’s participation. The ARC reviewed and considered the recommendations made by the ANAO in a number of audit reports dealing with topics relevant to the ARC including:

Confidentiality in Government Contracts: Senate Order for Departmental and Agency Contracts (Calendar Year 2011 Compliance), Audit Report No. 4, tabled on 20 September 2012;

Audits of the Financial Statements of Australian Government Entities for the Period Ended 30 June 2012, Audit Report No. 16, tabled on 20 December 2012;

Administration of the Research Block Grants Program, Audit Report No. 27, tabled on 9 April 2013;

The Australian Government Performance Measurement and Reporting Framework-Pilot Project to Audit Key Performance Indicators, Audit Report No. 28, tabled on 23 April 2013; and

Control of Credit Card Use, Audit Report No. 35, tabled on 16 May 2013.

In 2012–13 the ANAO released two Better Practice Guides relevant to the ARC’s activities: Public Sector Internal Audit and Preparation of Financial Statements by Public Sector Entities.


Other external bodiesDuring the 2012–13 financial year:

there was one investigation about ARC business initiated by the Commonwealth Ombudsman’s Office;

the Human Rights and Equal Opportunity Commissioner referred one complaintto the ARC;

no complaints about the ARC were referred to the Federal Privacy Commissioner; there were no judicial decisions against the ARC under the Administrative Decisions (Judicial

Review) Act 1977 (which provides for judicial review of most administrative decisions made under the Commonwealth enactments on grounds relating to legality, rather than merits, of decisions);

the ARC did not receive any claims under the Compensation for Detriment for Defective Administration scheme (which allows people adversely affected by the maladministration of an Australian Government agency to receive compensation when they have no legal redress); and

there were no requests from the office of the Australian Information Commissioner to review ARC freedom of information decisions.

Stakeholders

Client Service CharterThe ARC Client Service Charter is published on the ARC website. The charter sets out the standards of service clients and stakeholders should expect from the ARC. It also provides guidance for the process clients and stakeholders can follow if they are dissatisfied with the level of service they have received.

In 2012–13 the ARC received no complaints in relation to the client service charter mechanism. Part 5, Appendix 7 provides details of the ARC’s performance against the service standards in the charter.

Complaints handlingThe ARC Complaints Handling Policy and Procedures is reviewed annually and published on the ARC website. This policy aims to assist clients and stakeholders if they have:

a general complaint about the ARC; an appeal about the administrative processes of the NCGP; or research misconduct allegations relating to scientific fraud, ethical breaches and research

misconduct external to the ARC, but associated with ARC–funded research.

In 2012–13 nine appeals about NCGP administrative processes, three general complaints and eight research misconduct allegations were submitted to the ARC. Further information about the appeals can be found on page 102.

The allegations of research misconduct were forwarded to the administering organisations overseeing the grants for information and investigation of the allegation. Where the allegations were proven, funding for the research program was relinquished by the organisation to the ARC.


Mandatory reporting in annual reports

Legislative requirementsIn accordance with specific legislative requirements, annual reports must include matters in relation to:

work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011); advertising and market research (section 311A, Commonwealth Electoral Act 1918); ecologically sustainable development and environmental performance (section 516A,

Environment Protection and Biodiversity Conservation Act 1999); and compliance with the agency’s obligations under the Carer Recognition Act 2010.

Appendices 8, 9 and 10 respectively provide reports against the first three requirements above.

The ARC does not have any obligations with regard to the Carer Recognition Act 2010; that is, it is not an agency as defined in the PS Act that is responsible for the development, implementation, provision of evaluation of policies, programs or services directed to carers or the persons for whom they care.

Other requirementsGrant programsThe ARC administers a number of research funding schemes under the National Competitive Grants Program. A full list of these schemes is in Part 5, Appendix 2. Further information on the grants awarded by the ARC during the period 1 July 2012 to 30 June 2013 is available at <www.arc.gov.au>.

Disability reportingSince 1994 Commonwealth departments and agencies have reported on their performance as policy advisor, purchaser, employer, regulator and provider under the Commonwealth Disability Strategy.

In 2007–08 reporting on the employer role was transferred to the Australian Public Service Commission’s State of the Service Report and the APS Statistical Bulletin. These reports are available at <www.aspc.gov.au>. From 2010–11 departments and agencies are no longer required to report on these functions.

The Commonwealth Disability Strategy was overtaken by the National Disability Strategy which sets out a ten-year national policy framework for improving life for Australians with a disability, their families and carers. A high-level report to track progress for people with a disability at a national level will be produced by the Standing Council on Community, Housing and Disability Services to the Council of Australian Governments and will be available at <www.fahcsia.gov.au>.

The Social Inclusion Measurement and Reporting Strategy agreed by the Australian Government in December 2009 includes some reporting on disability matters in its regular How Australia is Faring report and, if appropriate, in strategic change indicators in agency annual reports. More detail on social inclusion matters can be found at <www.socialinclusion.gov.au>.

Social inclusion outcomesFor departments that have developed social inclusion strategic change indicators with the Social Inclusion Unit of the Department of the Prime Minister and Cabinet, an annual report must contain information about relevant programs and progress in relation to social inclusion strategic change indicators. This requirement does not apply to the ARC.

Information Publication SchemeAgencies subject to the Freedom of Information Act 1982 (FOI Act) are required to publish information to the public as part of the Information Publication Scheme (IPS). This requirement is in


Part II of the FOI Act and has replaced the former requirement for agencies to publish a section 8 statement in their annual report.

Each agency must display on its website a plan showing what information it publishes in accordance with the IPS requirements. ARC information relating to the IPS and the FOI disclosure log is published at <www.arc.gov.au/about_arc/foi_act.htm>.

Spatial reportingThe ARC is not required to provide spatial reporting.

Correction of errorsErrors or omissions of fact that were identified in the ARC Annual Report 2011–12 are detailed in Part 5, Appendix 10.

Other reportingThe Commonwealth Grant Guidelines establish the grants policy and reporting framework for all departments and agencies subject to the FMA Act. In January 2013 the Finance Minister released an updated version of the guidelines which came into effect from 1 June 2013.

Under the guidelines the ARC must publish on its website details of all grants within 14 days of the signing of the grant agreement. This information is provided on the ARC website at <www.arc.gov.au/about_arc/grants.htm>.


CHAPTER 10PEOPLE MANAGEMENT


Staff statisticsStatistics on ARC employees by classification level, full-time/part-time status, gender and employment arrangements are provided in Part 5, Appendix 11 (Tables A11.1 to A11.4).

At 30 June 2013 (including the CEO):

The ARC had 125 staff, the same number as last year. The largest number of staff were at Executive Level 1 (Figure 10.1).

Over 93 per cent of total staff were ongoing and the number of full-time staff had reduced from 87 per cent in 2011–12 to 83 per cent in 2012–13 (Figure 10.2).

67 per cent of staff were female with the largest number of females employed at the Australian Public Service (APS) 4–5 level (Figure 10.3).

Workforce planningThe ARC undertakes a workforce planning exercise each year as part of internal budget deliberations. Priorities for the upcoming year and resources required to meet those priorities are considered during this planning exercise.

Various committees have input into ensuring the needs of the organisation and individuals are met. Workforce planning in a small agency includes staff rotations within the organisation, training, knowledge management and succession planning.

Figure 10.1: ARC staff by classification (excluding CEO)


Figure 10.2: ARC staff by status (ongoing and non-ongoing)

Figure 10.3: ARC staff by gender


Staff turnover and retentionThe ARC maintained the same turnover as 2011–12 with 20 separations in 2012–13. Table A11.4 (Part 5, Appendix 11) shows the number of staff separations by classification level and employment category.

To assist in retaining skilled staff, the ARC has a range of human resource strategies in place. These strategies include the provision of flexible employment conditions; access to training and development opportunities; a safe and healthy work environment; workplace diversity; good communication strategies; and rewards and recognition.

Employment conditionsAt 30 June 2013 the ARC employed 125 staff under either the ARC Enterprise Agreement 2011–14 or an Australian Workplace Agreement (AWA). Nine staff employed under the enterprise agreement were also covered by Individual Flexibility Arrangements (IFAs). At 30 June 2013 there were five senior executive service staff employed under common law contracts. Table 11.5 (Part 5, Appendix 11) shows the number of staff under various workplace arrangements at 30 June 2012 and 2013.

Workplace arrangementsEnterprise agreementThe ARC Enterprise Agreement 2011–14 came into effect on 20 September 2011. Features of the agreement that occurred in 2012–13 include:

a pay increase of three per cent from 1 July 2012; the payment of a Healthy Lifestyle Allowance of $250 per year; and provision of training to staff in the areas of performance management and preventing and

dealing with bullying and harassment.

Individual flexibility arrangementsEmployees covered by the ARC Enterprise Agreement 2011-14 may agree to make an IFA to vary the effect of terms of the agreement. IFAs within the ARC generally deal with retention allowances or remuneration allowing the Chief Executive Officer (CEO) to remunerate specialised employees based on market forces and experience.

Australian Workplace AgreementsAt 30 June 2013, six non-Senior Executive Service (SES) staff continued to be covered by AWAs. These AWAs were in place prior to the changes to the Workplace Relations Act 1996, which stipulated that no new AWA may be entered into on or after 13 February 2008.

Section 24(1) determinationsUnder Section 24(1) of the Public Service Act 1999, the CEO can make determinations to offer staff remuneration or conditions that supplement those available under an enterprise agreement or AWA in order to avoid disadvantage. Section 24(1) determinations used in the ARC are individual arrangements and in general provide for a specified retention allowance. The ARC Enterprise Agreement 2011-14 obviates the need for new determinations, although existing determinations will continue.

Common law contractsEmployee arrangements under common law contracts set the terms and conditions for SES staff. As at 30 June 2013 there were five Common Law Contracts in place for SES staff.


RemunerationNon-SES staffSalary ranges for non-SES staff reflect various workplace arrangements. The following ranges for 2012–13 include salaries under all workplace arrangements outlined above:

Executive Level 2: $111 082 – $155 000 Executive Level 1: $92 557 – $116 912 APS 6: $72 483 – $84 186 APS 5: $65 467 – $71 951 APS 4: $60 261 – $63 682 APS 3: $53 604 – $56 646 APS 2: $47 997 – $52 142 APS 1: $44 398 – $45 534

SES staffIndividual common law contracts determine the nature and amount of remuneration provided to SES employees. Remuneration is reviewed annually taking into account the individual’s personal skills, knowledge, experience and capabilities as well as achievements against goals set in the preceding performance cycle.

At 30 June 2013 the notional salary range for SES Band 1 and Band 2 officers was between $150 000 and $276 000. In the Financial Statements, Note 13 provides additional information on executive remuneration in 2012–13 (see Part 4, page 177).

Performance payThe ARC does not provide access to performance pay.

Training and development

ExpenditureThe ARC spent a total of $131 434 on learning and development activities including formal training programs in 2012–13 (Table 10.1).

The average training and development expenditure was $1051 per person (based on 125 employees) with an average attendance of 2 days per person. The ARC spent a total of $10 049 on studies assistance for nine staff members to undertake studies approved under the ARC Studies Assistance Guidelines during 2012–13.

Table 10.1: Training and development by classification, 2012–13

Classification Staff (no.)

Days used(no.)

Expenditure ($)

CEO and SES 6 18.4 20 910

Executive Level 1–2 48 69.9 33 759

APS 1–6 65 155.3 76 765

Total 119 243.6 131 434


Internal trainingDuring the year all new employees were required to attend the following induction programs:

Introduction to the ARC; Introduction to the APS; and Introduction to Administrative Law.

The enterprise agreement continues to support this training initiative for new employees. Throughout 2012–13 the ARC also provided in-house training to staff on performance management, a bullying and harassment free workplace, mental health awareness, writing for results, Freedom of Information and the Privacy Act 1988.

Safe and healthy work environmentPart 5, Appendix 7 provides information on the ARC’s work health and safety performance, as required under the Work Health and Safety Act 2011 (Cth).

Workplace policiesDuring 2012–13 the ARC implemented the Executive Level Attendance Policy, Loss and Damage to Personal Effects and Clothing Policy and the Health-Related Lifestyle Allowance Policy. The Non-Performance of Duties Policy, the Purchased Leave Policy and the First Aid Policy were all reviewed.

Productivity gainsIn 2012–13 the ARC made productivity gains by:

continuing to use the portfolio agency for corporate services such as training; strengthening the performance management framework; implementing retention strategies; improving links with business planning and human resources strategic plans; improving business processes; expanding and strengthening learning and development; strengthening the governance framework; and improving the efficiency of corporate functions.


STATE OF THE SERVICE SURVEY RESULTSThe Australian Public Service Commission (APSC) conducted its State of the Service survey in May 2012.

Staff surveyFor the first time all APSC staff were invited to participate in a staff survey and the results subsequently provided to individual agencies for analysis. Seventy-five per cent of ARC staff participated in the survey and the ARC benchmarked the results obtained against the results of ARC staff surveys conducted in 2008 and 2009 respectively.

At the time the survey was conducted, 80 per cent of staff indicated that they were satisfied with their current job (compared to 61 per cent and 64 per cent of staff in 2009 and 2008 respectively).

The results highlighted the ARC’s strengths and weaknesses compared to other Australian Public Service (APS) agencies. The profile of staff, together with the results of the survey, provide a valuable resource to assist in staff planning.

StrengthsThe ARC performed more strongly than the overall APS in areas such as:

support for work/life balance (87 per cent satisfied compared to the APS average of 72 per cent);

effective communication between senior leaders and other employees (60 per cent compared to the APS average of 38 per cent);

employees feeling valued for their contribution (70 per cent compared to the APS average of 45 per cent); and

the agency genuinely caring about employees being healthy and safe at work (84 per cent compared to the APS average of 67 per cent).

WeaknessesThe ARC performed below the overall APS in access to effective learning and development (62 per cent compared to the APS average of 64 per cent).

Agency surveyThe report, State of the Service 2011–12, also included a survey of each APS agency as a whole. Following from that survey the APSC identified the ARC as one of the five APS agencies with the highest rates of unscheduled absences (for example, sick leave). The report notes that in small agencies, overall absence rates can be influenced significantly by one or two employees on leave.


Rewards and recognition

Australia Day Achievement MedallionsOn 1 February 2013 the CEO presented four Australia Day Achievement Medallions to ARC staff whose dedication and commitment to the ARC during 2012 had been invaluable.

The recipients were:

Leanne Harvey, who received the CEO Award for her outstanding contributions to ERA—both development and implementation—and commitment to the ARC by acting as CEO for the period of the reappointment of a new CEO, and for assisting the new CEO through his transition into the ARC. The award is also special recognition of the high-level public service advice Ms Harvey provides across the whole of the ARC.

Alex Hodgson for taking on the extraordinary responsibility of managing three schemes whilst delivering outcomes in short timeframes and ensuring the work of her team was completed at a high level.

Mandeep Goraya for being instrumental in the streamlining of ARC reports and for the redevelopment of over 80 reports which enables users to run their own reports. These developments have resulted in significant efficiency improvements for the ARC.

Cassie Hesketh for consistent and exceptional assistance to the ARC as a member of the Stakeholder Relations team, in particular for in-house graphic design, finalisation of major reports and assistance with event management. Special mention was also made of Ms Hesketh’s work in organising promotional material for the ARC’s stand at the Euroscience Open Forum in Dublin.

The CEO also made honourable mention of Deb Kirchner for her hard work and dedication to the agency and taking on an enormous amount of responsibility as one of only two Assistant Directors in Program Operations during 2012.


CHAPTER 11Financial and legal services


Financial services

PurchasingThe Commonwealth Procurement Rules set out the key principles of purchasing which are:

value for money; encouraging competition; efficient, effective, economical and ethical use of resources; and accountability and transparency.

The ARC’s approach to purchasing is consistent with the Commonwealth Procurement Rules and is set out in the ARC’s Chief Executive Instructions, the ARC Procurement Manual and other specific policy and procedure guides such as those for travel and use of Commonwealth credit cards, all of which are updated periodically. In 2012–13 procurement guidance, forms and the ARC’s intranet site were updated to reflect the requirements of the new Commonwealth Procurement Rules.

The Finance Section has overall responsibility for procurement within the ARC. Finance Section staff provide information and training about procurement policies and procedures as required.

The ARC provides information on procurements in the ARC’s annual procurement plan, available from the AusTender website <www.tenders.gov.au>. This plan outlines significant planned procurements for the coming year and gives potential suppliers early notice.

ConsultantsPolicy on selection and engagement of consultantsThe ARC’s policy on selecting and engaging consultants is set out in the ARC’s Chief Executive Instructions and in related procurement instructions and guidance material. The ARC engages consultants primarily where a specialist skill or expertise is required or where there is a need for independent research or assessment. Consultants are engaged through a selection or procurement process.

Consultancy services are distinguished from other contracts for services by the nature of the work performed, which typically involves the development of an intellectual output that assists with agency decision-making and reflects the independent views of the service provider. By contrast, other (non-consultancy) contracts for services are typically far more restrictive in the degree of latitude afforded to the contractor.

These types of contracts are characterised by a clear and tight specification of the form of product or service, or by requirements for how the work is to be performed. Details of contracts for services are available at<www.tenders.gov.au>.

ExpenditureDuring 2012–13 the ARC entered into 90 new consultancy contracts involving total actual expenditure of $5 043 052. In addition, 131 ongoing consultancy contracts were active during the 2012–13 year, involving total actual expenditure of $7 534 979.


The majority of the new consultancy contracts in 2012–13 were for services relating to ARC committees, primarily the ARC College and the Australian Laureate Fellowships Selection Advisory Committee.

Over the past three years the ARC’s expenditure on consultancy contracts was:

$3 203 817 in 2012–13; $1 081 686 in 2011–12; and $2 640 108 in 2010–11.

Annual reports contain information about actual expenditure on contracts for consultancies. Information on the value of individual contracts and consultancies is available on the AusTender website at <www.tenders.gov.au>.

Exempt contractsThe Chief Executive Officer did not exempt any contracts from publication on the AusTender website on the basis that their release would disclose exempt matters under the Freedom of Information Act 1982 (FOI Act).

Australian National Audit Office access clausesAll contracts let for goods and services during the reporting period of $100 000 or more (inclusive of GST) provided for the Auditor-General to have access to the contractor’s premises.

Legal services

Legal services expenditureUnder the Legal Services Directions 2005 the ARC is required to make publicly available by 30 October each year details of its legal services expenditure for the previous financial year. The ARC makes this information available in its annual report (Part 5, Appendix 12).

Freedom of informationThe ARC received 12 requests for access to ARC documents under the FOI Act throughout 2012–13. Table 11.1 shows the status of requests made under the FOI Act since 2010–11.

Table 11.1: Requests under the FOI Act, 2010–11 to 2012–13

RequestsYear

2010–11 2011–12 2012–13

Received 9 12 12

Granted in full or in part 7 9 12

Denied 0 3 0

Not finalised (as at 30 June) 1 0 0

Transferred to another agency 0 0 0

Withdrawn 1 0 0

Proceeded to internal review 0 1 1


CHAPTER 12ICT and facilities


ICT Services

PlanningThe ARC Information and Communications Technology (ICT) Branch uses a rolling annual operational planning tool to plan and measure activities within the agency. Key projects and milestones are recorded and tracked using a traffic light system. Performance is reported to the ICT leadership and as appropriate to the ICT Governance Committee and the Senior Management Group.

Operational projects relating to infrastructure and support activities, along with software and application development activities, are also recorded and reported.

The ICT Branch continues to implement savings and efficiency measures in support of ARC business outcomes. Whole of Australian Government contract and purchasing arrangements have been used to deliver benefits to the ARC on top of strategic use of the latest virtualisation technology within server, desktop and storage domains.

Delivery of the National Competitive Grants ProgramDuring 2012–13 the ARC began to deliver new functionality and tools in support of the National Competitive Grants Program (NCGP) based on new platforms and application development technologies. This included the delivery of a number of new or improved reporting, assessment and meeting applications and interfaces. This work has allowed for new business processes and for the decommissioning of legacy systems.

Significant improvements were also made to the financial and reporting systems and tools supporting NCGP, including a transition to a new reports framework and the implementation of new reports to support business processes.

System availability and supportThe ARC’s Research Management System (RMS) application has over 73 000 registered active users, consisting of researchers, researcher/assessors, research office staff and ARC staff.

The RMS was maintained at an availability of greater than 99.9 per cent for planned availability time during 2012–13.

The RMS Help Desk service operates 9 am to 5 pm on Canberra business days. The help desk utilises immediate automated assistance for users requiring a password reset, personal email and telephone based support for technical matters, and tracks requests that have been escalated for resolution.

At least 90 per cent of the calls received by the RMS Help Desk are resolved on first contact, and for those that are not initially resolved, an update is provided on the status of the query within 48 hours.

Delivery of Excellence in Research for AustraliaThe Excellence in Research for Australia (ERA) 2012 evaluation utilised the System for the Evaluation of Excellence in Research (SEER). During 2012–13 further development and enhancement was made to SEER to support the business objectives of ERA 2012. This included the delivery of routine programmed systems releases, along with new functionality.

A new feature of ERA 2012 was an institutional post-evaluation review, which required new functionality to be developed, tested and deployed within SEER.

The outcomes of the ERA 2012 were supported and underpinned by the stability and performance of SEER during all phases of ERA 2012.

System availability and support


Total availability of SEER during 2012–13 was 99.8 per cent. SEER experienced only one major unplanned outage in 2012–13, with the system being offline for a period of 14 hours. This outage was outside business hours and caused minimal disruption with no call to the help desk logged in association with the event.

IT infrastructure and servicesDuring 2012–13 ICT Services decommissioned a number of legacy physical file servers. This has enabled a cost saving to the ARC by a reduction of the number of server racks leased at the Australian Government Information Management Office (AGIMO) endorsed Transact Data Centre. The equipment removed supported a number of legacy reporting and financial applications.

Facilities

Property managementThe ARC terminated the lease of its Brisbane and Hobart offices during 2012–13. The ARC now has only one office location, situated at Majura Park, Canberra.

The ARC Property Management Plan covers the ARC’s occupied lease and ensures better practise in property management planning. In 2012–13 the ARC met the Australian Government’s Commonwealth Property Management Guidelines (October 2009) occupational density target of 16 square meters per occupied work space.

Asset managementAsset management is not a significant aspect of the ARC’s strategic business. The ARC’s assets include office fit out, furniture, IT software and ‘portable and attractive’ equipment held at the ARC office.

The ARC reviews its asset holdings annually to ensure cost effectiveness and whole-of-life asset utilisation. The ARC conducted a stocktake of its assets in March 2013. While the Facilities team coordinates asset management activities, responsibility for the safekeeping of assets remains within each business area of the ARC.

Records managementThe ARC‘s records are a major component of its corporate memory and as such are a vital asset that supports ongoing operations and provides valuable evidence of business activities over time. The ARC is committed to implementing best practice record keeping systems to ensure the creation, maintenance and protection of records.

The Facilities team coordinates responsibility for records management activity within the ARC. During 2012–13, the team achieved the following:

the paper records management system was updated to provide staff with a more efficient and user friendly service;

a file location exercise was undertaken to ensure all records were correctly entered into the system; and

initial discussions were held in relation to the transition to digital record keeping.

Physical securityDuring 2012–13 the ARC Facilities team managed ARC security passes for staff and contractors. The ARC complies with the advice on protective security provided by the AGIMO.


CHAPTER 13COMMUNICATION


Promotion

Grant announcement eventsThe ARC announced the outcomes of the 2012 Australian Laureate Fellowships at an event held on 30 July 2012 at Regatta Point in Canberra. Thirteen of the 17 successful Laureate Fellows attended the event and received their award from the then Minister for Science and Research, Senator the Hon. Chris Evans. Two new fellows, Professor Douglas MacFarlane, from Monash University and Professor Nalini Joshi, from The University of Sydney, gave short presentations about their research at the event.

Media releasesDuring 2012–13 the ARC made 17 public announcements by media release about ARC activities. These included media releases issued by the ARC as well as those issued by the responsible Minister.

Media releases included announcement of:

successful grants commencing in 2013 under the Discovery Early Career Researcher Award, Discovery Indigenous, Discovery Projects, Linkage Projects, and Linkage Infrastructure, Equipment and Facilities schemes;

the 2012 Australian Laureate Fellowships; the release of the Excellence in Research for Australia 2012 National Report; the outcomes of the first selection round conducted under the Industrial Transformation

Research Program and the priorities for round 2; and the Special Research Initiative for a Science of Learning Research Centre.

A full list of media releases is provided in Part 5, Appendix 13.

Communicating research outcomesSubject to commercial sensitivities and intellectual property considerations, the ARC requires researchers and research institutions to communicate the outcomes of ARC-funded research projects to the research community and, where appropriate and possible, to the community at large.

The ARC also plays a part in highlighting the outcomes of research it funds and looks for opportunities to showcase research projects on the ARC website and through publications.

New external e-newsletterIn March 2013 the ARC introduced a new external e-newsletter titled ARChway. The primary focus of the newsletter, in addition to providing an overview of ARC activities, events and announcements, is to publish feature articles highlighting ARC-funded research. Two editions of ARChway were produced in 2012–13. At 30 June 2013 there were 596 subscribers.

SponsorshipAustralasian Research Management Society Annual ConferenceThe ARC was a ‘Bronze Level’ sponsor of the Australasian Research Management Society 14th Annual National Conference (titled Ride the Wave of Collaboration: Industry, Institutions, Individuals) held in Sydney on 19–21 September 2012.

Cooperative Research Centres Association ConferenceThe ARC was an exhibitor at the Cooperative Research Centres Association’s Collaborate Innovate 2013 Conference, held at the Melbourne Convention and Exhibition Centre, on 15–17 May 2013.


Stakeholder engagement

ConsultationsDuring April 2013 the ARC invited responses to a public consultation paper regarding the Excellence for Research in Australia (ERA) submission process and aspects of the ERA evaluation methodology. Universities, individual academics, discipline groups and peak bodies provided a range of feedback and suggestions for the next round of ERA.

The ARC undertook other stakeholder consultations during 2012–13 in relation to:

open access; open data; and the operation of the Future Fellowships scheme.

Part 2 of this report provides further information on these consultations.

Participation in national and international forumsNationalDuring 2012–13 the ARC Chief Executive Officer (CEO) was a member of the following committees:

Australian Research Committee; Coordination Committee on Innovation; Cooperative Research Centres Committee; National Advisory Group on Higher Education Data; Prime Minister’s Science, Engineering and Innovation Council; and Strengthened Export Controls Steering Group.

The ARC worked closely with the Department of Industry, Innovation, Climate Change, Science, Research and Tertiary Education across a range of areas relating to research policy and programs including:

provision of data and analysis for ERA and NCGP (including for the Australian Government’s mission-based compacts with universities and the Sustainable Research Excellence funding allocations);

representation on the Higher Education Research Data Committee’s Publications Review Working Group;

representation on the Scholarly Book Publishing Expert Reference Group; further work on the development of an Australian Government approach to evaluating research

impact; and the continued provision of information and advice through representation on the Australian

Research Committee.

InternationalDuring the year ARC representatives visited research agencies and organisations overseas to participate in conferences, seek new ideas and common ground on research policy, and exchange information about research assessment processes and best practice in evaluating research excellence.

Visits made included the following:

World Congress of Political Science (Spain) July 2012; Euroscience Open Forum (Ireland) July 2012; Science and Technology in Society Forum (Japan) October 2012; Japan Society for the Promotion of Science (Japan) October 2012; 2nd Annual Global Research Council Global Summit (Germany) May 2013; Deutsche Forschungsgemeinschaft (Germany) May 2012;


Thomson Reuters (United Kingdom) May 2013;

UK Medical Research Council (United Kingdom) May 2013; Helmholtz Open Access Workshop (Germany) June 2013; and Challenges in Computational Homogeneous Catalysis (Sweden) June 2013.

The ARC also hosted visits from overseas organisations, including the:

Embassy of Japan, July 2012; Indian Department of Science and Technology, July 2012; National Research Foundation of Dubai, September 2012; Chinese Academy of Sciences,

September 2012; National Natural Science Foundation of China, September 2012; Korea Research Council for Industrial Science and Technology, November 2012; Canadian High Commission, February 2013; Korea Advanced Institute of Science and Technology, April 2013; Embassy of Mongolia, April 2013; Embassy of France, April 2013; French National Institute for Agricultural Research, April 2013; and National Centre for Scientific Research, France, April 2013.

Provision of informationARC/NHMRC Research Administrators’ SeminarThe ARC, together with the Australasian Research Management Society and the National Health and Medical Research Council (NHMRC), holds an annual research administrators’ seminar.

The 2012 seminar was held on 19–20 November 2012 in Canberra with 300 people in attendance from approximately 70 institutions. This event is important in providing information to the sector about changes to NCGP funding schemes, ERA and a range of other policy and program matters.

ARC Centre Directors’ ForumThe second ARC Centre Directors’ Forum was held on 2 August 2012 in Canberra. Twenty-eight ARC Centre Directors, or their representatives, attended the forum.

The forum covered issues raised by Centre Directors such as effective establishment and management of centres, the position and role of centres within their institutions, communication and outreach for centres, and ARC interaction. A concurrent session was held for Centre Managers and Chief Operating Officers focusing on issues such as reporting requirements, managing collaborations across nodes, event management, marketing and media handling, and industry partnerships.

Participants found the forum to be valuable and strongly supported future annual forums.


ARC Centres of Excellence road showDuring April 2013 the ARC conducted an Australia-wide road show to promote and provide advice on the 2014 selection round for ARC Centres of Excellence. The road show was hosted by universities in Adelaide, Brisbane, Canberra, Hobart, Melbourne, Perth and Sydney.

The road show was well attended, with up to 100 research administrators, prospective Centre Directors and researchers attending each session. ARC staff presented an overview of the objectives of the scheme, the selection process and changes made since the selection round for funding commencing 2011, before answering a number of questions from the attendees.

The ARC received positive feedback about the road show, with many attendees expressing their appreciation to the ARC for providing an information session in their home State or Territory.

ARC websiteThe ARC website provides information about the ARC to national and international researchers and stakeholders, and other interested parties.

The website recorded 1 266 564 visits in 2012–13, compared with 1 117 529 in 2011–12. The peak period of web traffic occurred in November and December 2012 with two peak days of visits:

21 696 visits on 5 November 2012 due to the major grants announcement for the Discovery Early Career Researcher Award, Discovery Indigenous, Discovery Projects and Linkage Infrastructure, Equipment and Facilities schemes; and

17 220 visits on 6 November 2012 due to the release of the Excellence in Research for Australia 2012 National Report.

In November 2012, the ARC developed a new website template that complies with Level AA of the Australian Government’s new Web Content Accessibility Guidelines 2.0. The ARC aims to launch its new website in 2013–14.

Network messagesThe ARC issued 56 messages by email to institutional research offices and other relevant administrative units. These messages are primarily used to provide information about key processes associated with the administration of the NCGP—from release of funding rules through to opening for applications and announcements.

Social mediaDuring 2012–13 the ARC continued to maintain Facebook, LinkedIn and Twitter accounts.At 30 June 2013 the ARC had 965 followers on Twitter.

The ARC maintains a verified government Twitter account.


PART 4FINANCIAL PERFORMANCECHAPTER 14: FINANCIAL OVERVIEW 141

CHAPTER 15: FINANCIAL STATEMENTS 143


CHAPTER 14Financial overview


IntroductionThis chapter provides a summary of the ARC’s 2012–13 financial performance. The Parliament of Australia provides the ARC with two types of funding: administered and departmental where:

administered funding is managed by agencies on behalf of government, including for example, grants, subsidies and benefits; and

departmental items are assets, liabilities, revenues and expenses that are controlled by the agency in providing its outputs, including for example, employees expenses, supplier expenses, and other operational expenses.

Analysis of performanceThe ARC’s total annual appropriated resources for 2012–13 were $906.6 million.

This comprised:

$884.7 million for the administered appropriation ($879.1 million special appropriation for the National Competitive Grants Program and $5.6 million for annual administered appropriation); and

$21.9 million for the departmental appropriation ($19.0 million for operating expenses, $1.3 million for the Departmental Capital Budget and $1.6 million for an equity injection).

In 2012–13 the ARC disclosed an operating deficit of $0.9 million due to the removal of depreciation funding as part of the Operation Sunlight net cash appropriations framework. The ARC’s administered annual appropriation for 2012–13 was reduced by $0.6 million due to the savings realised from the Excellence in Research for Australia initiative.

A resource summary of the ARC’s departmental and administered expenses is provided in Appendix 14. Actual expenses at year-end varied from budgeted expenses in the following area:

The 2012-13 departmental operating expenses are $2 million less than the budget estimate. This is due to the implementation of a range of strategies to manage departmental expenditure.

Further information on the financial performance of the ARC is in the financial statements and accompanying notes. The Australian National Audit Office found that the ARC’s financial statements, including lead schedules and reconciliations, were appropriate for the needs of the audit.


CHAPTER 15FINANCIAL STATEMENTS


IntroductionThe following pages provide the financial statements for the ARC for the financial period ended 30 June 2013. They have been submitted to the Auditor-General for audit as required by section 57 of the Financial Management and Accountability Act 1997.

Page No.

Audit Report 140

Statement by the Chief Executive and Chief Financial Officer 142

Statement of Comprehensive Income 143

Balance Sheet 144

Statement of Changes in Equity 145

Cash Flow Statement 146

Schedule of Commitments 147

Administered Schedule of Comprehensive Income for non-profit Reporting Entities 149

Administered Schedule of Assets and Liabilities 150

Administered Reconciliation Schedule 151

Administered Cash Flows 152

Schedule of Administered Commitments 153

Notes of the Financial Statements 154


PART 5APPENDICESAPPENDIX 1: PERFORMANCE FRAMEWORK 146

APPENDIX 2: NCGP, DISCOVERY PROGRAM 150

APPENDIX 3: NCGP, LINKAGE PROGRAM 155

APPENDIX 4: PRIZES AND AWARDS 164

APPENDIX 5: MEMBERSHIP OF COMMITTEES 166

APPENDIX 6: CLIENT SERVICE CHARTER 183

APPENDIX 7: WORK HEALTH AND SAFETY 185

APPENDIX 8: ADVERTISING AND MARKET RESEARCH 186

APPENDIX 9: ECOLOGICALLY SUSTAINABLE DEVELOPMENT 187

APPENDIX 10: CORRECTION OF ERRORS 192

APPENDIX 11: STAFF STATISTICS 193

APPENDIX 12: LEGAL SERVICES EXPENDITURE 196

APPENDIX 13: COMMUNICATION 197

APPENDIX 14: AGENCY RESOURCE STATEMENTS 198


APPENDIX 1: PERFORMANCE FRAMEWORKMapping of indicatorsTable A1.1 maps the indicators and measures identified in the ARC Strategic Plan 2012–13 to 2014–15 to the Key Performance Indicators identified in the 2012–13 Portfolio Budget Statements.

Table A1.1: Mapping of Key Performance Indicators

Strategic Plan Portfolio Budget Statements

Key Objective / Key Performance Indicator / Measure Program

1: Research

1.1 Outputs and outcomes arising from ARC-supported research are of a high quality and produce national benefits.

Program 1.1: DiscoveryProgram 1.2: Linkage

Evidence of impact of ARC-funded researchProgram 1.1: Discovery

Program 1.2: Linkage

Outcomes arising from ARC-funded research that provide social, economic, environmental and cultural benefits


1.2 There is a high level of collaboration between ARC-funded researchers and those within other components of the national and international innovation systems


Financial commitment (cash and in-kind) from partner organisations for every dollar contributed by the ARC Program 1.2: Linkage

Proportion of partner organisations that indicated that their involvement in projects was beneficial or very beneficial (Linkage Projects scheme)


Proportion of projects involving international collaboration


Average number of organisations involved in projects funded (Linkage Infrastructure, Equipment and Facilities scheme)


2: Capacity

2.1 ARC funding supports excellent researchers. Program 1.1: Discovery

External recognition of the achievements of ARC-funded researchers Program 1.1: Discovery

Evidence of impact of research conducted by ARC-funded fellows Program 1.1: Discovery

ARC fellowship schemes offer opportunities for excellent researchers to balance their research careers with family responsibilities

Not identified as a KPI in 2012–13 PBS but reported under Program 1.1: Discovery in this report

2.2 ARC-supported research contributes significantly to high quality research training




Key Objective / Key Performance Indicator / Measure Program

Proportion of ARC-funded researchers who are early career researchers (within five years of completion of their PhD)


Support for research training in areas of strategic importance to Australian industries Program 1.2: Linkage

Number of research students supported by ARC-funded research projects

Not identified as a KPI in 2012–13 PBS but reported under Program 1.1: Discovery and Program 1.2: Linkage in this report

2.3 ARC-funded research makes a significant contribution to research activity and capability in areas of national need


Proportion of funded proposals that address the National Research Priorities (NRPs)


Evidence of impact in NRP areas Program 1.1: DiscoveryProgram 1.2: Linkage

2.4 ARC fellowship and award schemes attract high quality international applicants Program 1.1: Discovery

Proportion of fellowships and awards that are awarded to international applicants (foreign nationals and returning Australians)

Program 1.1: Discovery

3: Policy and evaluation

3.1 Policy advice that enhances Australia’s capacity and excellence in research


Evidence of impact of policy advice Program 1.1: DiscoveryProgram 1.2: Linkage

3.2 Contribution to best practice evaluation of Australia’s research investment in higher education institutions Program 1.3: ERA

Evidence of contribution to best practice evaluation of research investment Program 1.3: ERA

3.3 Achievement of milestones for delivery of ERA 2012 Program 1.3: ERA

Completion of ERA 2012 Program 1.3: ERA

3.4 Successful outreach initiatives that further inform and engage the sector and other key stakeholders of overarching ERA policy and implementation

Program 1.3: ERA

Sector contribution to review of ERA 2012 and future development of ERA processes and policy Program 1.3: ERA


Priority actions for 2012–13Table A1.2 maps the priority actions identified in the ARC Strategic Plan 2012–13 to 2014−15 to the programs identified in the 2012–13 Portfolio Budget Statements.

Table A1.2: Mapping of priority actions for 2012–13


Key Objective / Priority action Program

1: Research

Conduct a selection round under the new Industrial Transformation Research Hubs scheme Program 1.2: Linkage

Continue to enhance ARC peer review processes including improving ICT capability to support application and selection processes

Program 1.1: Discovery

Implement an open access policy based on international best practice


2: Capacity

Conduct a selection process for a multidisciplinary Science of Learning Centre under the Special Research Initiatives scheme


Commence a selection process for new ARC Centres of Excellence Program 1.2: Linkage

Implement the new Industrial Transformation Research Hubs scheme Program 1.2: Linkage

3: Policy and evaluation

Complete the ERA process and announce results Program 1.3: ERA

Collaborate with Department of Industry, Innovation, Climate Change, Science, Research and Tertiary Education on the use of ERA results to inform key research policy and programs

Program 1.3: ERA

Conduct a review of the Future Fellowships scheme Program 1.1: Discovery

Engage with the national discussion about developing a methodology for evaluating the impact of research Program 1.3: ERA


APPENDIX 2: NATIONAL COMPETITIVE GRANTS PROGRAM, DISCOVERY PROGRAMThis appendix provides additional information to support the performance data for the Discovery Program provided in Chapter 5.

Discovery Program funding schemesTable A2.1: Discovery Program, funding schemes

Description

Australian Laureate Fellowships

First selection round Funding commencing in 2009

Frequency Annual

DescriptionThe Australian Laureate Fellowships scheme is aimed at attracting and retaining outstanding researchers in Australia. The scheme provides fellows with project funding in addition to a salary supplement and salary-related (on-cost) support.

Discovery Early Career Researcher Award


Frequency Annual

Description The Discovery Early Career Researcher Award scheme is aimed at supporting early-career researchers.

Discovery Indigenous

First selection round

Funding commencing in 2002 (Discovery Indigenous Researchers Development); funding commencing in 2012 (Discovery Indigenous)

Frequency Annual

Description

The Discovery Indigenous scheme supports the development of Indigenous researchers’ skills and expertise. It replaces the Discovery Indigenous Researchers Development scheme, the last selection round of which was conducted for funding commencing in 2011.

Discovery Projects


Frequency Annual

Description The Discovery Projects scheme provides funding for research projects undertaken by excellent individual researchers and research teams.

Future Fellowships


Frequency Annual


Description

Description The Future Fellowships scheme is aimed at attracting and retaining the best and brightest mid-career researchers.


Discovery Program grant statisticsTable A2.2: Discovery Program, funding commencing in 2010–11 to 2012–13

Funding commencing in

2010–11 2011–12 2012–13

Australian Laureate Fellowships 2010 2011 2012

Number of proposals 97 139 108

Number of awards 15 17 17

Total funding ($) 35 541 053 44 516 902 46 654 655

Success rate (%) 15.5 12.2 15.7

Discovery Early Career Researcher Award 2011 2012 2013

Number of proposals n/a 2 159 1 281

Number of awards n/a 277 200

Total funding ($) n/a 103 875 000 72 321 876

Success rate (%) n/a 12.8 15.6

Discovery Indigenous 2011 2012 2013



Total funding ($) 2 045 759 3 850 751 4 320 000

Success rate (%) 45.0 34.5 31.3

Discovery Projects 2011 2012 2013

Number of proposals 4 230 3 544 3 425


Total funding ($) 318 162 472 236 837 254 253 982 000

Success rate (%) 22.0 22.0 21.4

Future Fellowships 2010 2011 2012



Total funding ($) 143 760 941 144 342 673 151 559 267

Success rate (%) 26.4 30.7 34.7

Super Science Fellowships 2010 2011 2012

Number of proposals 149 124 n/a

Number of awards 50 50 n/a

Total funding ($) 13 920 000 13 920 000 n/a

Success rate (%) 33.6 40.3 n/a


Discovery Program, additional performance dataTable A2.3: Discovery Program, research outputs*

Funding commencing in

2006 2007 2008

Academic Outputs

Books and book chapters 1 829 1 620 910

Journal articles 8 000 7 063 5 155

Conference publications 7 277 6 015 4 522

Other 1 700 1 261 831

Total 18 806 15 959 11 418

Commercialisation outputs

Invention disclosures 48 55 30

Licences executed 25 5 2

Patents filed 92 57 31

Patents pending 16 22 6

Start-up companies 5 8 2

Total 186 147 71

Summary

Number of final reports 838 700 595

Average number of outputs/research projects 22.66 23.01 19.31

*Outputs arising from research projects funded under the Discovery Program for which final reports had been submitted to the ARC as at 1 July 2013.


Table A2.4: Discovery Projects scheme, research personnel outputs for funding commencing in 2008*

Type of personnel

Research

PhD students receiving stipends and research support* 213

Masters students receiving stipends and research support* 34

PhD students receiving research support but not stipends 670

Masters students receiving research support but not stipends 145

Honours students receiving research support but not stipends 700

Overseas PhD students involved in the project 337

Overseas research Masters students involved in the project 108

Overseas Honours students involved in the project 100

Early career researchers (excluding those named in the application) 430

Other employed personnel

Research associates/assistants funded (full-time) 363

Research associates/assistants funded (part-time) 579

Professional and/or technical officers 96

Industry partner employees 7

Other personnel involved 216

Total

Number of final reports 591

Total number of research projects awarded funding 878

*Research personnel on projects funded under the Discovery Projects scheme for which final reports had been submitted to the ARC as at 1 July 2013.


APPENDIX 3: NATIONAL COMPETITIVE GRANTS PROGRAM, LINKAGE PROGRAMThis appendix provides additional information to support the performance data for the Linkage Program provided in Chapter 6.

Linkage Program funding schemesTable A3.1: Linkage Program, funding schemes

Description

ARC Centres of Excellence


Frequency Periodic

DescriptionThe ARC Centres of Excellence scheme is aimed at building critical mass in areas of research priority. Funding of between $1 million and $4 million per annum for up to seven years may be awarded for each ARC Centre of Excellence.

Industrial Transformation Research Hubs


Frequency Periodic

Description

The Industrial Transformation Research Hubs scheme supports collaborative research activity between the Australian higher education sector and industry, focusing on strategic outcomes not independently realisable in areas of importance to industry.

Industrial Transformation Training Centres


Frequency Annual

Description

The Industrial Transformation Training Centres scheme fosters close partnerships between university-based researchers and other research end-users to provide innovative Higher Degree by Research and postdoctoral training for the end-user focused research industries vital to Australia’s future.

Linkage Infrastructure, Equipment and Facilities


Frequency Annual

Description (2011)

The Linkage Infrastructure, Equipment and Facilities scheme encourages institutions to develop collaborative organisational arrangements to develop research infrastructure.

Linkage Learned Academies Special Projects

First selection Funding commencing in 2002


Description

round

Frequency Every three years

DescriptionThe Linkage Learned Academies Special Projects scheme funds the Australian Council of Learned Academies and the Learned Academies to undertake research projects.

Linkage Projects


Frequency Twice per year (until 2012)

Description The Linkage Projects scheme supports collaborative research and research training between universities and partner organisations.

Special Research Initiatives


Frequency As required

DescriptionUnder the Special Research Initiatives scheme, the ARC identifies new or emerging areas of research for funding. Applications for funding may be submitted only when invited by the ARC by means of a call for proposal(s).


Linkage Program, grant statisticsTable A3.2: Linkage Program, funding commencing in 2010–11 to 2012–13

Selection rounds for funding commencing in

2010–11 2011–12 2012–13

Arc Centres of Excellence1 2011 2012 2013

Number of proposals 111 n/a n/a

Number of awards 13 n/a n/a

Total $ 255 900 000 n/a n/a

% success rate 11.7 n/a n/a

Linkage Infrastructure, Equipment and Facilities 2011 2012 2013



Total $ 30 873 624 28 300 078 29 025 000

% success rate 47.3 45.3 42.6

Linkage Learned Academies Special Projects 2011 2012 2013

Number of proposals n/a 6 n/a

Number of awards n/a 6 n/a

Total $ n/a 10 000 000 n/a

% success rate n/a 100 n/a

Linkage Projects (Round 1/January)2 2011 2012 2013

Number of proposals 398 418 n/a

Number of awards 186 151 n/a

Total $ 56 235 992 42 789 355 n/a

% success rate 46.7 36.1 n/a

Linkage Projects (Round 2/July) 2010 2011 2012



Total $ 66 753 570 67 393 349 58 404 739

% success rate 42.6 40.9 36.7

Industrial Transformation Research Hubs 2011 2012 2012

Number of proposals n/a n/a 12


Selection rounds for funding commencing in

2010–11 2011–12 2012–13

Number of awards n/a n/a 4

Total $ n/a n/a 14 500 000

% success rate n/a n/a 33.3

Industrial Transformation Training Centres 2011 2012 2013

Number of proposals n/a n/a 13

Number of awards n/a n/a 4

Total $ n/a n/a 9 300 204

% success rate n/a n/a 30.8

Special Research Initiatives3 2010-11 2011 & 2012 2012 & 2013

Number of proposals n/a 3 4

Number of awards n/a 2 2

Total $ n/a 46 000 000 19 198 392

General notes

n/a not applicable

Linkage Program notes

1 The 2011 ARC Centres of Excellence selection round included a preliminary expression of interest (EOI) stage. The number of proposals recorded in Table A3.2 is the number of EOIs received for consideration.

2 Due to the restructuring of the Linkage Projects scheme, there was only one round of funding conducted during 2012–13.

3 The Special Research Initiatives scheme includes the Special Research Initiative in Stem Cell Science

(July 2011), the Special Research Initiative in Synchrotron Science (2012), the Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network (2012), and the Special Research Initiative for a Science of Learning Research Centre (2013).


Linkage Program, additional performance data

Table A3.3: Linkage Program, research outputs*

2006 2007 2008

Academic outputs

Books and book chapters 485 525 229

Journal articles 2683 2535 1730

Conference publications 3139 2527 1465

Other 950 777 1421

Total 7257 6364 4845

Commercialisation outputs

Invention disclosures 24 15 10

Licences executed 3 8 35

Patents filed 36 30 14

Patents pending 11 8 9

Start-up companies 2 2 5

Total 76 63 73

Summary

Number of Final Reports 498 421 298

Average number of outputs/research projects 14.7 15.3 16.5

*Outputs arising from research projects funded under the Linkage Program for which final reports had been submitted to the ARC as at 1 July 2013.


Table A3.4: ARC Centres of Excellence, research outputs, 2012

Type of output 2005 Centres

2007 Centres

2011 Centres

Research

Books 25 15 25

Book chapters 117 35 115

Journal articles (articles in scholarly refereed journal) 1158 67 1432

Journal articles (other) 46 10 76

Unpublished reports 148 8 38

Conference publications 939 96 1323

Audio-visual recording 2 2 74

Computer software 2 0 26

Designs 0 0 0

Patents – filed 15 0 2


2007 Centres

2011 Centres

Patents – pending 30 0 20

Creative works 3 0 77

Exhibition curatorship 0 0 5

Collaboration

Number of national collaborating institutions (average per centre) 15 16 14

Number of international collaborating institutions (average per centre) 58 14 33

Number of countries involved in collaboration (average per centre) 20 8 12

Number of countries from which international visitors originated (average per centre) 15 10 14

Number of international visitors (average per centre) 41 36 47

Number of overseas visits by Centre personnel (average per centre) 58 35 64

Training

Number of PhD graduated 100 9 78

Number of Masters students graduated 28 0 21

Number of Honours students graduated 68 7 123

Number of PhD students enrolled 485 60 543

Number of Masters students enrolled 103 2 47



2007 Centres

2011 Centres

Number of Honours students enrolled 71 8 129

Number of early career researchers(within 5 years of PhD completion) 187 13 345

Training programs/teaching packages conducted 181 16 181

Total number of Centres 11 1 13

Table A3.5: Linkage Projects scheme, research personnel outputs for funding commencing in 2008

Type of personnel

Research

PhD students receiving stipends and research support* 129

Masters students receiving stipends and research support* 8

PhD students receiving research support but not stipends 107

Masters students receiving research support but not stipends 40

Honours students receiving research support but not stipends 175

Overseas PhD students involved in the project 51

Overseas research Masters students involved in the project 17

Overseas Honours students involved in the project 23

ECRs (excluding those named in the application) 110

Other employed personnel

Research associates/assistants funded (full-time) 86

Research associates/assistants funded (part-time) 227

Professional and/or technical officers 72

Industry partner employees 93

Other personnel involved 334

Total

Number of final reports 175

Total number of research projects awarded funding 410

*Research personnel on projects funded under the Linkage Projects scheme for which final reports had been submitted to the ARC as at 1 July 2013.


Table A3.6: Linkage Projects scheme, partner organisation contributions by type of organisation

Organisation type

2010–11 2011–12 2012–13

Cash ($M) Total ($M) Cash ($M) Total ($M) Cash ($M)

Total ($M)

Round 2 (July)

Company/Industry body

Australian 14.17 42.64 17.00 49.02 11.55 42.21

International 3.96 12.47 3.74 13.04 7.37 20.19

Government

Commonwealth 1.50 5.04 1.47 3.86 1.97 7.17

International 0.03 0.49 0.29 1.15 9.4 32.51

State & Local 6.96 21.93 7.46 26.68 0.2 1.16

Non-profit

Australian 3.56 17.63 2.59 11.44 1.33 5.62

International 0.03 0.15 0.9 1.38 1.3 2.95

Other

Other 8.81 27.86 9.07 32.55 3.63 15.2

Total 39.02 128.21 42.52 139.14 36.74 127.01

Round 1 (January)*

Company/Industry body

Australian 11.76 34.37 10.87 33.07 n/a n/a

International 3.13 9.37 2.65 11.11 n/a n/a

Government

Commonwealth 2.83 6.36 1.42 4.59 n/a n/a


State & Local 9.16 27.03 6.65 18.39 n/a n/a

Non-profit

Australian 1.07 4.10 1.07 4.35 n/a n/a


Other

Other 8.82 35.41 2.65 11.42 n/a n/a

Total 36.88 117.22 26.94 86.74 n/a n/a

*Note: Only one round of the Linkage Projects scheme was conducted in 2012–13 due to the introduction of the International Transformation Research Program.


APPENDIX 4: PRIZES AND AWARDS2012 Prime Minister’s Prize for ScienceProfessor Ken Freeman, The Australian National University (Discovery Projects)

2012 Tall Poppy AwardsDr Thomas Denson, The University of New South Wales (Discovery Early Career Researcher Award)

Dr Nicholas Graham, James Cook University (Discovery Early Career Researcher Award)

Dr Megan Higgie, James Cook University (Discovery Early Career Researcher Award)

Dr Rita Henderson, The University of New South Wales (Australian Postdoctoral Fellow, Industry)

Dr James McCaw, The University of Melbourne (Future Fellow)

Associate Professor Kevin Pfleger, Western Australian Institute for Medical Research (Future Fellow)

Dr Georgina Such, The University of Melbourne (Future Fellow)

Dr Kristofer Thurecht, The University of Queensland (Future Fellow)

Dr Trent Woodruff, The University of Queensland (Future Fellow)

Australian AcademiesAcademy of Technological Sciences and Engineering Clunies Ross AwardsDr Steven Frisken, ARC Centre of Excellence for Ultra-high Bandwidth Devices for Optical Systems

Australian Academy of the Humanities Max Crawford Medal (joint winner)Dr Lisa Ford, The University of New South Wales (Discovery Early Career Researcher Award)

Australian Academy of Science 2013 Awards2013 Anton Hales Medal for research in earth sciences

Associate Professor Wouter Schellart, Monash University (Future Fellow)

2013 Fenner Medal for research in biology

Dr Ulrike Mathesius, The Australian National University (Future Fellow)

2013 Jaeger Medal for research into earth sciences

Professor Roger Powell FAA, The University of Melbourne (Australian Professorial Fellow)

2013 Le Fevre Memorial Prize for research in basic chemistry

Professor Sebastien Perrier, The University of Sydney (Future Fellow)

2013 Matthew Flinders Medal and Lecture for scientific research of the highest standing in the physical sciences

Professor Ken Freeman, The Australian National University (Discovery Projects)

2013 Moran Medal for research in statistics

Dr Aurore Delaigle, The University of Melbourne (Queen Elizabeth II Fellow)

2013 Pawsey Medal for research in physics

Associate Professor Christopher Blake, Swinburne University of Technology (Future Fellow)

2013 Ruth Stephens Gani Medal for research in human genetics

Professor Alexksandra Filipvska, Western Australian Institute for Medical Research (Future Fellow)Australian Research Council | Annual Report 2012-2013

2013 Thomas Ranken Lyle Medal for research in mathematics or physics

Professor Cheryl Praeger AM FAA, The University of Western Australia (Federation Fellow)

Royal Societies2012 Royal Society of Victoria Medal for Excellence in Scientific Research in the Physical SciencesProfessor Frank Caruso, The University of Melbourne (Australian Laureate Fellow)

2012 State Scientists of the yearNSW: Professor John Aitken, The University of Newcastle (ARC-funded researcher)

TAS: Professor Paul Haddad, University of Tasmania (ARC-funded researcher)

Other Australian awards2012 The Australian Innovation Challenge Award (overall winner)Professor Veena Sahajwalla, The University of New South Wales (Future Fellow)

2012 Young Biophysicist AwardMs Tamsyn Hilder, University of Wollongong (Discovery Early Career Researcher Award)

International awardsCharles Albert Shull Award (USA)Winthrop Professor Harvey Millar, The University of Western Australia (Future Fellow)

Ludwig Leichhardt Jubilee Fellowship (Alexander von Humboldt Foundation)Dr Nick Thieberger, The University of Melbourne (Australian Research Fellow)

United States National Academy of Sciences (foreign associate)Professor Peter Hall, The University of Melbourne (Australian Laureate Fellow)

2013 L’Oreal-UNESCO Special FellowshipDr Devi Stuart-Fox, The University of Melbourne (Australian Professional Fellow)


APPENDIX 5: MEMBERSHIP OF COMMITTEESGovernance

ARC Advisory CouncilTable A5.1: ARC Advisory Council, 2012–13

Member Date of appointment

Expiry of appointment

Professor A Byrne, Australian Research Council (Chair) 23/07/2012 23/07/2017

Professor A Brungs, University of Technology, Sydney 01/01/2013 31/12/2014

Professor P Buckskin, University of South Australia 01/01/2011 31/12/2014

Dr L Farrell, Biota Pty Ltd 01/01/2013 31/12/2014

Professor S Garton, The University of Sydney 01/01/2011 31/12/2014

Professor M Harding, The Australian National University 01/01/2011 31/12/2012

Professor S Harding, James Cook University 01/01/2013 31/12/2014

Professor P Johnson, The University of Western Australia 01/01/2011 31/12/2014

Professor A Lawson, University of Wollongong 01/01/2011 31/12/2012

Professor S Miller, South Australian Museum 01/01/2013 31/12/2014

Professor S Thomas, Charles Sturt University 01/01/2013 31/12/2014

Professor I Young, The Australian National University 01/01/2010 31/12/2012

ARC Audit CommitteeTable A5.2: ARC Audit Committee, 2012–13

Member Date of appointment


Mr B Burmester, External 01/10/2010 30/09/2013

Mr P Kennedy, External (Chair) 01/01/2010 30/09/2013

Ms T Leahey, Australian Research Council 10/04/2012 31/03/2014

Mr S Sedgley, Australian Research Council -/02/2009 01/11/2012

Ms E Visher, Australian Research Council 01/11/2012 30/09/2013


Other ARC Governance CommitteesTable A5.3: Other ARC governance committees, 2012–13

Committee Membership

ARC Security Committee

Four members comprising the Executive General Manager (Chair); Chief Information Officer; Director, People and Services; and IT Security Adviser.

Business Continuity Plan Committee

Seven members comprising the Director, People and Services (Chair); Executive General Manager; Branch Manager, Strategy; Chief Information Officer; Chief Programs Officer; Chief Financial Officer; and Facilities Manager.

ICT Change Committee

Seven members comprising Chief Information Officer (Chair); ICT Directors; technical specialist; National Competetive Grants Program representative; Excellence in Research for Australia representative; and Chief Financial Officer representative.

ICT Governance Committee

Three members comprising the Executive General Manager (Chair); Chief Information Officer; and Executive Director, Physical, Mathematical and Information Sciences. The committee may invite guests to attend as required.

People Management and Development Committee

Seven members comprising the Executive General Manager (Chair); Director, People and Services; four self-nominated staff representatives; and a Community and Public Sector Union representative.

Salary Review Committee

Four members comprising the Executive General Manager (Chair); an Executive Director; Branch Manager, Strategy; and Director, People and Services.

Senior Management Group

Six members comprising the CEO (Chair); Executive General Manager; Chief Information Officer; Branch Manager, Strategy; Chief Financial Officer; and Chief Programs Officer. Observers may be invited to assist the committee on matters under consideration.

Work Health and Safety Committee

Four members comprising the Director, People and Services (Chair); the Health and Safety Representative; the Deputy Health and Safety Representative; and the Facilities Manager. While guests may be invited to assist the committee on matters under consideration, they do not form part of the ongoing committee membership.


National Competitive Grants Program

ARC Appeals CommitteeTable A5.4: ARC Appeals Committee, 2012–13

Member Year of appointment


Emeritus Professor R MacDonald 2008 31/12/2013

Professor M Poole 2011 31/12/2013

Emeritus Professor P Sheehan AO (Chair 2011–13) 2008 31/12/2013

ARC CollegeTable A5.5: ARC College, 2012–13

Panel; Member; Institution Year of appointment


Biological Sciences and Biotechnology

Professor M Bellgard, Murdoch University 2012 31/12/2014

Associate Professor K Belov, The University of Sydney 2011 31/12/2013

Professor D Bowman, University of Tasmania 2013 31/12/2015

Professor J Boyages, Macquarie University 2013 31/12/2015

Professor H Chan, The University of Sydney 2013 31/12/2015

Professor J Cairney, University of Western Sydney 2011 31/12/2012

Professor S Collin, The University of Western Australia (Chair 2012) 2010 31/12/2012

Professor C Dickman, The University of Sydney 2011 31/12/2013

Professor A Dulhunty, The Australian National University 2012 31/12/2014

Professor G Egan, Monash University 2011 31/12/2013

Professor M Elgar, The University of Melbourne 2013 31/12/2015

Dr W Gerlach, self-employed 2011 31/12/2013

Professor L Griffiths, Griffith University (Chair 2013) 2012 31/12/2014

Professor C Grof, The University of Newcastle 2013 31/12/2015

Professor G Hardy, Murdoch University 2013 31/12/2015

Professor R Henry, Southern Cross University 2010 31/12/2012

Professor A Hill, The University of Melbourne 2013 31/12/2015

Professor M Hindell, University of Tasmania 2013 31/12/2015

Professor D Hutmacher, Queensland Institute of Technology 2010 31/12/2012




Associate Professor H Irving, Monash University 2013 31/12/2015

Professor B Kobe, The University of Queensland 2013 31/12/2015

Dr A Koltunow, CSIRO 2010 31/12/2012

Professor D Lambert, Griffith University 2013 31/12/2015

Associate Professor M Leishman, Macquarie University from 9/03/2012 31/12/2014

Dr J Luck, CRC Plant Biosecurity 2011 31/12/2013

Professor E McLaughlin, The University of Newcastle 2013 31/12/2015

Professor S Meikle, The University of Sydney 2013 31/12/2015

Associate Professor J Mitchell, The Flinders University of South Australia 2012 31/12/2014

Professor P Newsholme, Curtin University of Technology from 19/03/2012 31/12/2015

Professor G Otting, The Australian National University 2011 31/12/2013

Professor D Raftos, Macquarie University 2013 31/12/2015

Winthrop Professor Z Rengel, The University of Western Australia 2013 31/12/2015

Professor M Sleeman, Monash University 2012 31/12/2014

Professor W Stock, Edith Cowan University 2013 31/12/2015

Associate Professor D Traini, The University of Sydney 2013 31/12/2015

Associate Professor P Young, The University of Sydney 2013 31/12/2015

Engineering, Mathematics and Informatics

Professor H Abbass, The University of New South Wales 2013 31/12/2015

Professor S Armfield, The University of Sydney 2012 31/12/2014

Professor J Armstrong, Monash University 2012 31/12/2014

Professor H Bachor, The Australian National University 2010 31/12/2012

Professor J Bell, Queensland University of Technology 2012 31/12/2014

Winthrop Professor M Bennamoun, The University of Western Australia 2013 31/12/2015

Professor M Blumenstein, Griffith University 2013 31/12/2015

Professor N Boland, The University of Newcastle 2013 31/12/2015

Professor M Biggs, The University of Adelaide 2010 31/12/2012

Professor M Bradford, The University of New South Wales 2010 31/12/2012

Winthrop Professor M Cassidy, The University of Western Australia (Chair 2012 and 2013) 2011 31/12/2013

Professor Y Chen, Deakin University 2013 31/12/2014




Professor G Evans, The University of Newcastle 2013 31/12/2015

Professor J Filar, The Flinders University of South Australia 2013 31/12/2015

Professor V Gaitsgory, University of South Australia 2010 31/12/2012

Professor K Galvin, The University of Newcastle 2013 31/12/2015

Winthrop Professor H Hao, The University of Western Australia 2013 31/12/2015

Professor J Keller, The University of Queensland 2011 31/12/2013

Professor B Kirk, Curtin University of Technology 2013 31/12/2015

Professor S Kitipornchai, The University of Queensland 2013 31/12/2015

Professor J Lloyd, The Australian National University 2011 31/12/2013

Professor A Lucey, Curtin University of Technology 2012 31/12/2014

Professor R Mahony, The Australian National University 2013 31/12/2015

Professor B Ninness, The University of Newcastle 2011 31/12/2013

Professor P Pollett, The University of Queensland 2013 31/12/2015

Winthrop Professor C Praeger, The University of Western Australia 2011 31/12/2013

Professor K Rasmussen, The University of Sydney 2013 31/12/2015

Professor J Ramagge, University of Wollongong 2010 31/12/2012

Professor V Sahajwalla, The University of New South Wales 2011 31/12/2013

Professor M Sanderson, RMIT University 2012 31/12/2014

Professor A Sharma, The University of New South Wales 2013 31/12/2015

Professor D Sheng, The University of Newcastle 2013 31/12/2015

Professor C Standing, Edith Cowan University 2011 31/12/2013

Professor L Sterling, Swinburne University of Technology 2012 31/12/2014

Professor V Varadharajan, Macquarie University 2011 31/12/2013

Professor C Wang, RMIT University 2013 31/12/2015

Professor H Wang, Monash University 2013 31/12/2015

Professor A Whittaker, The University of Queensland 2013 31/12/2015

Professor C Zhang, University of Technology, Sydney 2012 31/12/2014

Humanities and Creative Arts

Professor J Bennett, The University of New South Wales 2010 31/12/2012

Professor A Corn, The Australian National University 2012 31/12/2014

Professor M Davies, The Flinders University of South Australia 2010 31/12/2012

Dr P Edmonds, University of Tasmania 2013 31/12/2015

Professor T Flew, Queensland University of Technology 2013 31/12/2015




Professor J Hartley, Curtin University of Technology 2011 31/12/2013

Professor S Kaji-O’Grady, The University of Sydney 2011 14/05/2013

Professor M Macintyre, The University of Melbourne 2012 31/12/2014

Professor C Mackenzie, Macquarie University (Chair 2012) 2010 31/12/2012

Professor G Mackenzie, Bond University 2012 31/12/2014

Professor J Maynard, The University of Newcastle 2010 31/12/2012

Professor Pauline Nestor, Monash University 2012 31/12/2014

Professor S O’Connor, The Australian National University 2012 31/12/2014

Professor B Opeskin, Macquarie University 2013 31/12/2015

Professor P Patton, The University of New South Wales 2013 31/12/2015

Professor L Ryan, The University of Newcastle 2013 31/12/2015

Professor E Scheer, The University of New South Wales 2013 31/12/2015

Professor G Sluga, The University of Sydney 2011 14/05/2013

Dr C Smith, La Trobe University 2013 31/12/2015

Professor J Tompkins, The University of Queensland 2011 31/12/2013

Dr S Ulm, James Cook University 2013 31/12/2015

Professor S Ware, RMIT University 2013 31/12/2015

Professor G Wigglesworth, The University of Melbourne 2011 31/12/2013

Professor J WIllis, The University of Melbourne 2013 31/12/2015

Physics, Chemistry and Earth Sciences

Professor A Abell, The University of Adelaide 2011 31/12/2013

Professor J Aitchison, The University of Sydney 2013 31/12/2015

Professor N Barnett, Deakin University 2013 31/12/2015

Professor J Beck, University of Wollongong 2010 31/12/2012

Professor P Bernhardt, The University of Queensland 2013 31/12/2015

Professor M Coffin, University of Tasmania 2013 31/12/2015

Professor M Coote, The Australian National University 2013 31/12/2015

Professor W Couch, Swinburne University of Technology 2010 31/12/2012

Professor M de Sterke, The University of Sydney 2013 31/12/2015

Professor S Dou, University of Wollongong 2012 31/12/2014

Professor C Easton, The Australian National University 2013 31/12/2015

Professor J Foden, University of Adelaide 2013 31/12/2015

Dr P Fraser, CSIRO 2012 14/05/2013




Professor J Gale, Curtin University of Technology 2013 31/12/2015

Professor K Glazebrook, Swinburne University of Technology 2013 31/12/2015

Professor T Ireland, The Australian National University 2010 31/12/2012

Professor G Ivey, The University of Western Australia 2010 31/12/2012

Professor D Jamieson, The University of Melbourne 2012 31/12/2014

Professor S Kable, The University of Sydney 2013 31/12/2015

Professor G Lewis, The University of Sydney 2013 31/12/2015

Professor P Marriott, Monash University 2013 31/12/2015

Professor D McClelland, The Australian National University 2013 31/12/2015

Professor I McArthur, The University of Western Australia 2010 31/12/2012

Professor N McClure-Griffiths, CSIRO 2012 31/12/2014

Professor L Moresi, Monash University 2012 31/12/2014

Associate Professor S Perrier, The University of Sydney 2011 31/12/2013

Professor W Price, University of Wollongong 2013 31/12/2015

Professor L Staveley-Smith, The University of Western Australia 2013 31/12/2015

Professor M Stenzel, The University of New South Wales 2013 31/12/2015

Professor A Stuchbery, The Australian National University 2013 31/12/2015

Professor L Sullivan, Southern Cross University 2012 31/12/2014

Professor A Williams, The University of Adelaide 2012 31/12/2014

Professor H Wiseman, Griffith University 2012 31/12/2014

Professor B Yates, University of Tasmania (Chair 2012) 2010 31/12/2012

Social, Behavioural and Economic Sciences

Professor L Adkins, The University of Newcastle 2011 31/12/2013

Professor B Barber, Murdoch University 2010 31/12/2012

Professor J Baxter, The University of Queensland 2012 31/12/2014

Professor A Beer, The University of Adelaide 2012 31/12/2014

Professor P Bordia, The Australian National University 2013 31/12/2015

Emeritus Professor B Byrne, The University of New England 2010 31/12/2012

Professor K Cornish, Monash University 2013 31/12/2015

Professor P Creed, Griffith University 2013 31/12/2015

Professor M Dungey, University of Tasmania 2011 31/12/2013

Professor P Fairbrother, RMIT University 2011 31/12/2013

Professor L Given, Charles Sturt University 2012 31/12/2014




Professor N Haslam, The University of Melbourne 2013 31/12/2015

Professor B Hayes, The University of New South Wales 2013 31/12/2015

Professor B Head, The University of Queensland 2012 31/12/2014

Professor J Jetten, The University of Queensland 2013 31/12/2015

Associate Professor M Kelaher, The University of Melbourne 2013 31/12/2015

Professor E Kendall, Griffith University (Chair 2012) 2010 31/12/2012

Professor C Kulik, University of South Australia 2010 31/12/2012

Professor L Lockyer, Macquarie University (Chair 2013) 2011 31/12/2013

Professor T Lowrie, Charles Sturt University from 01/07/2011 31/12/2014

Professor C McGarty, Murdoch University 2013 31/12/2015

Professor P Miller, Curtin University of Technology 2013 31/12/2015

Professor A Neal, The University of Queensland 2013 31/12/2015

Professor S Roach Anleu, The Flinders University of South Australia 2013 31/12/2015

Professor J Roberts, The Australian National University 2013 31/12/2015

Professor D Schofield, The University of Sydney 2012 31/12/2014

Professor T Smith, The Australian National University 2010 31/12/2012

Professor G Venville, The University of Western Australia 2012 31/12/2014

Professor E Wertheim, La Trobe University 2013 31/12/2015

ARC Scrutiny Committee Table A5.6: ARC Scrutiny Committee, 2012–13

Member, institution Year of appointment


Professor S Donald, The University of New South Wales (Chair, 2012) 2011 31/12/2012

Professor R Fitzgerald, University of Canberra 2012 31/12/2012

Professor M Harding, The Australian National University 2012 31/12/2012


ARC Selection Advisory CommitteesTable A5.7: Australian Laureate Fellowships Selection Advisory Committee, 2013

Member; Institution For funding commencing in

Professor L Astheimer, Deakin University (Chair) 2013

Professor H Bloch, Curtain Univeristy of Technology 2013

Professor P Goodyear, The University of Sydney (Deputy Chair) 2013

Professor P Grimshaw, The University of Melbourne 2013

Professor M Johnson , Macquarie University 2013

Professor J Mattick, Garvin Institute of Medical Research 2013

Professor G Milburn, The University of Queensland 2013

Professor C Moritz, The Australian National University 2013

Professor P Mulvaney, The University of Melbourne 2013

Professor J Ramagge, University of Wollongong 2013

Professor T Rowse, University of Western Sydney 2013

Professor C Turney, The University of New South Wales 2013

Professor B Uy, The University of New South Wales 2013

Professor G Whitlock, The University of Queensland 2013

Table A5.8: Special Research Initiative for a Science of Learning Research Centre Selection Advisory Committee, 2012


Emeritus Professor B Hesketh, University of Western Sydney (Chair) 2012

Professor T Ka’ai, Auckland University of Technology, New Zealand 2012

Professor S Lewandowsky, The University of Western Australia 2012

Emeritus Professor L Saha, The Australian National University 2012


Table A5.9: Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network Selection Advisory Committee, 2012


Associate Professor G Christie, University of British Columbia, Canada 2012

Mr M Gooda, Aboriginal and Torres Strait Islander Social Justice Commissioner 2012

Professor T Ka’ai, Auckland University of Technology, New Zealand 2012

Professor G Turner, The University of Queensland (Chair) 2012

Table A5.10: Industrial Transformation Research Program Selection Advisory Committee, 2012–13


Professor M Cole, Commonwealth Scientific and Industrial Research Organisation Hubs, 2012Centres, 2013

Ms J Davey, Australian Institute of Food Science and Technology Hubs, 2012Centres, 2013

Dr W Gerlach, self-employed (Chair) Hubs, 2012Centres, 2013

Professor C Grof, The University of Newcastle Hubs, 2012Centres, 2013

Dr J Keniry AM, Ridley Corporation Hubs, 2012Centres, 2013

Mr P Shelley, Asia Pacific Panel Pty Ltd Hubs, 2012Centres, 2013

Professor H Singh, Massey University, New Zealand Hubs, 2012Centres, 2013


Excellence in Research for Australia

Research Evaluation Committees

Table A5.11: ERA Research Evaluation Committees, 2012

Panel; Member Institution

Physical, Chemical and Earth Sciences

Professor M Banwell The Australian National University

Professor N Barnett Deakin University

Professor P Bouwknegt The Australian National University

Professor M Brunger The Flinders University of South Australia

Professor A Chivas University of Wollongong

Professor K Ghiggino The University of Melbourne

Professor A Green The University of Sydney

Professor M Humphrey The Australian National University

Professor M Kennedy The University of Adelaide

Professor B Messerle The University of New South Wales

Professor J O’Connor The University of Newcastle

Professor S O’Reilly Macquarie University

Professor T Ralph The University of Queensland

Professor N Tapper Monash University

Professor M Tobar The University of Western Australia

Professor R Vincent (Chair) The University of Adelaide

Associate Professor E Wanless The University of Newcastle

Dr K Watson The University of Melbourne

Humanities and Creative Arts

Professor M Burry RMIT University

Professor C Cole University of Wollongong

Professor S Crain Macquarie University

Professor J Damousi (Chair) The University of Melbourne

Professor J Davidson The University of Western Australia

Professor S H Donald The University of New South Wales

Professor T Flew Queensland University of Technology

Professor D Frankel La Trobe University

Professor N Frankham University of Tasmania

Professor J Gascoigne The University of New South Wales



Professor P Griffiths The University of Sydney

Professor B Hodge University of Western Sydney

Professor A Liddicoat University of South Australia

Professor J Macarthur The University of Queensland

Professor M Möllering Macquarie University

Professor G Oppy Monash University

Professor D Prasad The University of New South Wales

Professor C Rhodes The University of Sydney

Professor I Richards University of South Australia

Professor J Riley The University of Sydney

Professor P Tait La Trobe University

Professor V L Taylor The Australian National University

Professor G Whitlock The University of Queensland

Engineering and Environmental Sciences

Professor G Alici University of Wollongong

Professor R Amal (Chair) The University of New South Wales

Professor S Bhatia The University of Queensland

Professor J Carter The University of Newcastle

Professor F Caruso The University of Melbourne

Professor I Cosic RMIT University

Professor B Falzon Monash University

Professor M James The Australian National University

Professor K Kwok University of Western Sydney

Professor A McBratney The University of Sydney

Professor R Minasian The University of Sydney

Professor H Nguyen University of Technology, Sydney

Professor J Patterson The University of Sydney

Professor Z Rengel The University of Western Australia

Professor Z Xu Griffith University

W/Professor D Zhang The University of Western Australia

Education and Human Society

Professor D Berthelsen Queensland University of Technology

Professor S Billett Griffith University

Professor J Brett La Trobe University



Professor J Chan The University of New South Wales

Professor F Devine The University of Manchester, UK

Professor C Diezmann Queensland University of Technology

Professor S Dinham The University of Melbourne

Professor J J Fox The Australian National University

Professor B Fraser Curtin University of Technology

Professor G Gill The University of Sydney

Professor M Goos The University of Queensland

Professor J Gray The University of Adelaide

Professor P Harris University of South Australia

Professor L Head University of Wollongong

Professor R Homel Griffith University

Professor S Webb The University of Newcastle

Professor A Welch The University of Sydney

Professor M Western (Chair) The University of Queensland

Professor C Wyatt-Smith Griffith University

Professor N Yelland Victoria University

Economics and Commerce

Professor S Benn University of Technology, Sydney

Professor J Borland The University of Melbourne

Professor V Callan The University of Queensland

Professor E Cowley The University of Sydney

Professor C Edwards Kingston University London, UK

Professor D Grant The University of Sydney

Professor S Grant The University of Queensland

Professor R Heaney The University of Western Australia

Professor K Langfield-Smith (Chair) Monash University

Emeritus Professor R Layton The University of New South Wales

Professor A O’Cass University of Tasmania

Professor R Pomfret The University of Adelaide

Professor D S P Rao The University of Queensland

Professor G Soutar The University of Western Australia

Professor K Trotman The University of New South Wales

Professor S Ville University of Wollongong



Mathematics, Information and Computing Science

Professor V Anh Queensland University of Technology

Professor J Borwein The University of Newcastle

Professor P Corke Queensland University of Technology

Professor E N Dancer The University of Sydney

Professor P Forrester The University of Melbourne

Professor D G Green Monash University

Professor J Grundy Swinburne University of Technology

Professor J Hu The University of New South Wales

Professor J Hunter The University of Queensland

Professor M Papazoglou Tilburg University, The Netherlands

Professor I Shparlinski Macquarie University

Professor S Simoff The University of Western Sydney

Professor M Stumptner University of South Australia

Professor W Susilo University of Wollongong

Professor A Welsh The Australian National University

Professor M A Williams (Chair) University of Technology, Sydney

Biological and Biotechnological Sciences

Professor R Coppel Monash University

Professor A Elizur University of the Sunshine Coast

Professor N Enright Murdoch University

Professor F Geiser The University of New England

Professor W Hein James Cook University

Professor N Hoogenraad La Trobe University

Professor K Jones The University of Newcastle

Professor G King Southern Cross University

Professor H Lambers The University of Western Australia

Professor D Lambert Griffith University

Professor R Leigh The University of Adelaide

Professor E Mackie The University of Melbourne

Professor B Nowak University of Tasmania

Professor J Schwartz (Chair) Griffith University

Professor P Timms Queensland University of Technology

Professor H Wallace University of the Sunshine Coast



Medical and Health Sciences

Professor H Barrett (Chair) The University of Western Australia

Professor L Brown University of Southern Queensland

Professor A Castles Macquarie University

Professor P Davidson University of Technology Sydney

Professor G Davis The University of Sydney

Associate Professor K Denton Monash University

Professor P Foster The University of Newcastle

Professor N Johnson Griffith University

Professor C Jones The University of Sydney

Professor B Kent Deakin University

Professor S Killcross The University of New South Wales

Professor C Levi The University of Newcastle

Professor O Lipp The University of Queensland

Professor J Lynch The University of Adelaide/University of Bristol, UK

Professor V Macefield University of Western Sydney

Professor H Morris University of South Australia

Professor C Saunders The University of Western Australia

Professor A Somogyi The University of Adelaide

Professor T Sorrell The University of Sydney

Professor L Tapsell University of Wollongong

Professor R Widdop Monash University

Professor J Wood Queensland University of Technology


Other

Australian Research Integrity Committee

Table A5.12: Australian Research Integrity Committee

Member Year of appointment Expiry of appointment

Dr K Breen 2011 31/01/2014

Mr R Brent (Chair) 2011 31/01/2014

Ms J Hamblin 2011 31/01/2014

Emeritus Professor S Shaver 2011 31/01/2014


APPENDIX 6: CLIENT SERVICE CHARTERTable A6.1: Summary of performance against the ARC client service charter, 2012–13

Standard 2012–13 performance

Communication

In our dealings with you we will: be courteous; treat you fairly and professionally; provide timely advice that is clear, concise, accurate

and complete; keep any confidential information provided to us as in

confidence except where disclosure is required by law.

The ARC did not receive any general complaints in relation to the communication standards set out in the client service charter.

If you phone us we will: answer phone calls promptly during normal business

hours and identify ourselves; and aim to resolve your enquiry during the call or if we

can’t take your details and arrange for the appropriate person to return your call as soon as possible.

The ARC did not receive any general complaints in relation to answering and/or resolving phone call queries.

If you write to us we will: for simple requests, aim to respond to you within ten

working days; and for more complex inquiries, aim to respond within 20

working days.

The ARC did not receive any general complaints in relation to response times to written requests.

Administration of NCGP

We will make available on our website accurate advice and information about our funding schemes.

The ARC website contains extensive information about NCGP funding schemes.

We will promote equitable access to our schemes and services.

NCGP funding rules aim to provide equitable access to funding for eligible researchers.

We will act fairly, in accordance with our published guidelines, criteria, regulations or legislation.

NCGP funding rules make provision for an appeals process, whereby appeals will be considered against administrative process issues.

We will, when reviewing funding schemes and scheme funding rules, consult widely and provide reasonable timeframes for consultation with interested parties.

In 2012–13 the ARC consulted relevant stakeholders when reviewing and developing NCGP schemes including the Future Fellowships scheme.

Administration of ERA

We will make available on our website accurate advice and information about the initiative.

The ARC website contains extensive information about the ERA initiative.

We will act fairly in accordance with our published The ARC did not receive any general


Standard 2012–13 performance

guidelines. complaints in relation to the administration of ERA.

We will, when reviewing ERA policy and processes, consult widely and provide reasonable timeframes for consultation.

ERA consultations were undertaken in 2012–13 with feedback informing the development of the rules and documentation for ERA 2012.

Policy advice

We will consult with appropriate parties to ensure the views of all stakeholders are properly considered.

Where appropriate the ARC has consulted stakeholders when developing policy advice.

We will ensure policy decisions are evidence based. Wherever possible the ARC analyses collected data to inform policy decisions.

We will provide a reasonable timeframe for comments. The ARC did not receive any general complaints in relation to timeframes provided when seeking comments.

We will provide information about our decision. Where appropriate the ARC provides information about decisions to stakeholders directly or by publishing on the ARC website.

Online services

We will aim to have the ARC website accessible at least 98 per cent of the time. There may be times when it is not accessible due to technical upgrades or scheduled maintenance. The ARC will endeavour to keep down times to a minimum.

The ARC website was available greater than 99.6 per cent of the time during 2012–13.

Privacy

We will respect the confidentiality of your personal information and use it only in accordance with the law. We will give you access to your personal information if you request it.

The ARC has clearly defined procedures for dealing with personal information gathered as part of the agency’s responsibilities for the NCGP and ERA.


APPENDIX 7: WORK HEALTH AND SAFETYUnder the Work Health and Safety Act 2011 (WHS Act) the ARC is required to report in its annual report on the following matters:

a) initiatives taken during the year to ensure the health, safety and welfare of workers who carry out work for the ARC;

b) health and safety outcomes achieved as a result of the initiatives mentioned;c) statistics of any notifiable incidents of which the ARC became aware during the year that

arose out of the conduct of businesses or undertakings by the agency;d) any investigations conducted during the year that related to businesses or undertakings

conducted by the ARC, including details of all notices given to the entity during the year under Part 10 of the WHS Act; and

e) such other matters as are required by the guidelines approved on behalf of the Parliament by the Joint Committee of Public Accounts and Audit.

Health and safety initiativesDuring the year the ARC undertook a range of initiatives in preparation for commencement of the WHS Act. Chapter 10 provides further details. The ARC held Work Health and Safety Committee meetings and continued to provide:

first aid training to nominated first aid officers within the ARC; employer-subsidised eyesight testing for screen-based work; training for fire wardens and health and safety representatives; influenza vaccinations to employees and contractors; and workstation assessments.

Health and safety outcomesFour incidents were reported to the Director, People and Services, in accordance with the department’s incident notification and reporting procedures.

Notifiable incidentsUnder the WHS Act, a notifiable incident is one involving death of a person, serious injury or illness of a person, or a dangerous incident. The ARC had no notifiable incidents during 2012–13.

Investigations including details of all noticesUnder the WHS Act, improvement, prohibition or non-disturbance notices may be issued to the agency. The ARC was not issued with any notices and there were no investigations undertaken during 2012–13.

Any other mattersThere are no other matters required by the guidelines.


APPENDIX 8: ADVERTISING AND MARKET RESEARCHUnder section 311(a) of the Commonwealth Electoral Act 1918 agencies are required to report in their annual report on payments made to advertising agencies, market research organisations, polling organisations, direct mail organisations and media advertising organisations.

During 2012–13 the ARC paid a total of $8824 to Adcorp Australia Ltd and $3170 to the Australian Public Service Commission for advertising costs. The advertising was undertaken to advertise ARC programs and to recruit employees.

No advertising campaigns were undertaken by the ARC during 2012–13. The ARC did not employ the services of market research, polling or direct mail organisations during the year.


APPENDIX 9: ECOLOGICALLY SUSTAINABLE DEVELOPMENTThis report on ecologically sustainable development and environmental matters is provided in accordance with section 516(a) of the Environment Protection and Biodiversity Conservation Act 1999.

Accordance of the activities of the organisation and the administration of legislation by the organisation with the principles of ecologically sustainable development The NCGP provides funding for all disciplines including research relevant to ecologically sustainable development and environmental protection.

‘An environmentally sustainable Australia’ is one of the four national research priorities of the Australian Government. A summary of research projects with funding commencing in 2012–13 in the area of an environmentally sustainable Australia is provided in Table A9.1.

Contribution of the outcomes specified in a relevant appropriation act to ecologically sustainable developmentThe ARC receives its administered funding through an appropriation in the Australian Research Council Act 2001. This funding is reported in the Portfolio Budget Statements under a single outcome: Growth of knowledge and innovation through managing research funding schemes, measuring research excellence and providing advice.

Under the NCGP the ARC supports a research capability that addresses issues of national significance including health, social welfare, defence, transport, communications, and the environment.

Effect of the ARC’s activities on the environmentAs indicated in Table A9.1, under the NCGP the ARC supports a broad range of research relevant to ecologically sustainable development. The research outcomes will benefit Australians by increasing understanding of, and offering solutions to, problems such as how to use finite resources more efficiently and sustainably.

The ARC recognises its daily activities have a negative impact on the environment through the use of electricity, vehicles, water, paper and other materials, and the generation of waste. Measures to minimise such impact are outlined in the next section.


Table A9.1: New ARC-funded research projects in the area of an environmentally sustainable Australia, funding commencing in 2012–13

Scheme Projects (no.) and % of total

Total funding ($) and % of total

Australian Laureate Fellowships 2012

Environment proposals funded 9 26 119 243

Total funded proposals 17 46 654 655

Environment as % of total 53 56

ARC Future Fellowships 2012




Discovery Projects 2013




Discovery Early Career Researcher Award 2013




Discovery Indigenous 2013

Environment proposals funded 1 460 000



Linkage Projects 2012 (Round 2)




Linkage Infrastructure, Equipment and Facilities 2013

Environment proposals funded

20 6 215 000


Scheme Projects (no.) and % of total

Total funding ($) and % of total




Measures being taken to minimise the impact of the ARC’s activities on the environmentBuildingThe ARC leases office space in 11 Lancaster Place Majura Park, Canberra. Majura Park houses one of the largest tri-generation plants in Australia. Tri-generation is a process wherein natural gas is used as the single input source of energy to generate electricity. Excess energy that would have been lost during the production of electricity is used to heat the buildings in winter and cool them in summer.

In addition to producing three forms of energy, tri-generation provides efficiencies of 90 per cent. This far surpasses the Commonwealth Green Lease Requirement of 4.5 Star NABERS (The National Australian Building Environment Rating System). It also equates to less than half the carbon dioxide emissions of a 5 Star NABERS building.

In 2012–13 ARC staff participated in the ‘Earth Hour 2013’ initiative held on 23 March 2013 by switching off computers and other electrical appliances. Staff were asked not to enter ARC offices during this period. The initiative aimed to raise awareness about energy usage.

ICT servicesIn 2012–13 the ARC reduced its data centre footprint from four racks to three racks in the Transact hosting facility as part of legacy business application reduction. This will return real benefits to the agency in terms of power usage and costs. Furthermore, the ARC’s modern fully virtualised ICT server and storage systems continue to meet the Australian Government ICT sustainability targets.

The Australian Government ICT Sustainability Plan provides target guidelines for agencies to measure against over the five-year plan. In terms of the summary measures of the plan the ARC can record the achievements below.

Sustainable procurementDuring 2012–13 the ARC used approved procurement practices introduced from July 2012 and continued to use 50 per cent recycled office copy and print paper. No hardware was purchased during the year.

Table A9.2: Managing resource consumption and demand

Target Consumption

Internal copy paper per end user (reams per annum) 13 8.6

Desktop computers to printer ratio 14.0:1 7.7:1

Desktop devices per end user 1.4:1 1.4:1


Managing eWasteDuring 2012–13 the Agency disposed of 20 kilograms of eWaste through the ACT government eWaste disposal facilities.

Mechanisms, if any, for reviewing and increasing the effectiveness of these measuresThe Canberra Airport Group has control over all building-related matters for all tenants, including the ARC, within Majura Park. Assessment of the effectiveness of ICT environmental strategies is undertaken at meetings of Senior Management Group and the ICT Governance Committee.

Table A9.3: Managing energy consumption

Target Consumption

Desktop energy per end user (kWh per annum and averaged across agency) 400 105

Power usage effectiveness(1) in data centres and server room 2.5 1.47

Desktop computers off after hours 90% 91%

(1) Power usage effectiveness figures provided by Data Centre Provider (TransACT Communications).


APPENDIX 10: CORRECTION OF ERRORSUnder the Annual Report requirements, agencies are required to identify errors in the previous report. The ARC has identified the following errors in the ARC Annual Report 2011–12:

Data printed in Table A4.1 for the number of final reports submitted for projects commencing in 2005, 2006 and 2007 is incorrect. The numbers of final reports refers to projects commencing in 2004, 2005 and 2006. Therefore, the average number of outputs per research project is also incorrect.

Data printed in Table A4.3 for projects commencing in 2007, was for projects commencing in 2006

It has also been established that the number of final reports (and therefore number of outputs and personnel per project) reported in Tables A4.1 and A4.3 of the 2010-11 Annual Report was incorrect.

Notes 15A and 15B of the financial statements were omitted and notes 15C and 15D were duplicated. The missing notes are inserted here for reference.


APPENDIX 11: STAFF STATISTICSClassification levelTable A11.1: All staff by classification level (at 30 June 2012 and 2013)

Classification 2012 2013

CEO 0 1

SES Band 2 0 1

SES Band 1 4 4

Executive Level 2 16 15

Executive Level 1 36 40

APS 6 (ARC Level 3) 32 27

APS 4–5 (ARC Level 2) 32 34

APS 1–3 (ARC Level 1) 5 3

Total 125 125

Employment statusTable A11.2: All staff by employment category, employment status and gender (at 30 June 2012 and 2013)

Employment category / status

Male Female Total Females as % of total

2012 2013 2012 2013 2012 2013 2012 2013

Ongoing

Full-time 38 38 61 67 99 105 62 63

Part-time 1 0 15 13 16 13 94 100

Sub-total 39 38 76 80 115 118 66 68

Non-ongoing

Full-time 2 3 8 4 10 7 80 57

Part-time 0 0 0 0 0 0 0 0

Sub-total 2 3 8 4 10 7 80 57

Total 41 41 84 84 125 125 67 67


GenderTable A11.3: All staff by classification level and gender (at 30 June 2012 and 2013)

ClassificationMale Female Total Females as %

of total

2012 2013 2012 2013 2012 2013 2012 2013

CEO 0 1 0 0 0 1 0 0

SES Band 2 0 0 0 1 0 1 0 100

SES Band 1 1 1 3 3 4 4 75 75

Executive Level 2 7 5 9 10 16 15 56 67

Executive Level 1 11 17 25 23 36 40 69 57

APS 6 (ARC Level 3) 11 6 21 21 32 27 66 78

APS 4–5 (ARC Level 2) 9 10 23 24 32 34 72 71

APS 1–3 (ARC Level 1) 2 1 3 2 5 3 60 67

Total 41 41 84 84 125 125 67 67

Staff separationsTable 11.4: Staff separations by classification level and employment category (at 30 June 2012 and 2013)

ClassificationOngoing Non-ongoing Total

2012 2013 2012 2013 2012 2013

SES Bands 1–2 0 0 2 1 2 1

Executive Level 2 0 3 1 1 1 4

Executive Level 1 2 6 0 1 2 7

APS 6 (ARC Level 3) 3 2 0 3 3 5

APS 4–5 (ARC Level 2) 7 5 3 3 10 8

APS 1–3 (ARC Level 1) 1 0 1 1 2 1

Total 13 16 7 10 20 26


Employment arrangementsTable A11.5: Employment arrangements covering staff (at 30 June 2012 and 2013)

Employment arrangement Staff 2012 (no.) 2013 (no.)

ARC Enterprise AgreementSES 0 0

Non-SES 115 119

Australian Workplace AgreementsSES 0 0

Non-SES 7 6

Common Law ContractsSES 4 5

Non-SES 0 0

s. 24(1) DeterminationsSES 0 0

Non-SES 2 2

Individual Flexibility ArrangementsSES 0 0

Non-SES 4 9

1. The CEO is not included in these staffing figures.

2. Non-SES employees with a section 24(1) Determination or Individual Flexibility Arrangement (IFA) are also covered by the ARC Enterprise Agreement. As a result the total number of agreements is higher than the total number of staff by the number of s. 24(1) Determinations and IFA.


APPENDIX 12: LEGAL SERVICES EXPENDITURETable A12.1 reports on the ARC’s legal services expenditure in accordance with the Legal Services Directions (2005). The Directions require Chief Executives of FMA Act agencies to ensure that their agency publishes its legal services expenditure by 30 October each year. The ARC publishes this information in its annual report.

Table A12.1: Legal services expenditure report (inclusive of GST), 2012–13

Totals

Total costs recovered 0

Total external legal services expenditure $40 585.28

Total internal legal services expenditure $233 278.84

Total (internal + external) expenditure $273 864.12

Summary of External Legal Services Expenditure

Total value of briefs to counsel (A) 0

Total value of disbursements (excluding counsel) (B) $77.78

Total value of professional fees paid (C) $40 507.50

Total External Legal Services Expenditure (A + B + C) $40 585.28

Counsel

Number of briefs to male counsel 0

Number of briefs to female counsel 0

Total number of briefs to counsel 0

Number of direct briefs to male counsel (including direct briefs) 0

Number of direct briefs to female counsel (including direct briefs) 0

Total number of direct briefs to counsel (A) 0

Total value of briefs to male counsel (including direct briefs) 0

Total value of briefs to female counsel (including direct briefs) 0

Total value of briefs to Counsel (A) 0

Disbursements

Total value of disbursements (excluding counsel) (B) $77.78Professional fees

Australian Government Solicitor $40 507.50Total value of professional fees paid (C) $40 507.50


APPENDIX 13: COMMUNICATIONMedia releases 6 July 2012

The science of learning: improving education 25 July 2012

Australians to benefit from research by best and brightest 30 July 2012

Australia’s newest elite Laureates announced 20 September 2012

Australian research breaks through computing barrier 26 September 2012

Esteemed Tasmanian researcher joins the ARC 22 October 2012

Research and university funding remains at record levels 1 November 2012

Congratulations PM’s prizes for science winners 5 November 2012

$360m investment in uni research to benefit Australians 6 December 2012

Record investment lifts university research rankings 14 December 2012

ARC CEO receives prestigious Peter Baume Award 23 January 2013

New members appointed to ARC Advisory Council 2 February 2013

ARC CEO thanks Senator Evans for contribution to research 2 April 2013

Sector feedback requested on ERA 1 May 2013

Labor’s plan to secure Australian industries and jobs 7 May 2013

New centre to transform education through science 15 May 2013

ARC CEO welcomes additional round for Future Fellowships scheme 28 June 2013

Collaboration to drive innovation: ARC Linkage Projects


APPENDIX 14: AGENCY RESOURCE STATEMENTS Table A14.1: Agency Resource Statement, 2012–13

Actual available appropriation for 2012–13

Payments made 2012–13

Balance remaining 2012–13

$’000 $’000 $’000

(A) (B) (A) – (B)

Ordinary annual services

Departmental appropriation1 27 520 18 353 9 167

Total 27 520 18 353

Administered expenses

Outcome¹ 5 025 4 772

Total 5 025 4 772

Total ordinary annual services A 32 545 23 125

Other services

Departmental non-operating

Equity injections² 3 410 1 167 2 243

Total 3 410 1 167 2 243

Total other services B 3 410 1 167

Total available annual appropriations and payments 35 955 24 292

Special appropriations

Special appropriations limited by criteria/entitlement

ARC Act 2001 879 107 873 231

Total special appropriations C 879 107 873 231

Special accounts

Opening balance 9 548

Appropriation receipts 24 624

Appropriation receipts – other agencies³

Payments made 17 508

Total special account D 34 172 17 508 16 664

Total resourcing and payments A+B+C+D 949 234 915 031


Actual available appropriation for 2012–13

Payments made 2012–13

Balance remaining 2012–13

$’000 $’000 $’000

Less appropriations drawn from annual or special appropriations above and credited to special accounts through annual appropriations

24 624

Total net resourcing and payments for ARC 924 610 915 031

1 Appropriation Bill (No.1) 2012-13. This includes Prior Year departmental appropriation and s.31 relevant agency receipts. Includes an amount of $1.270m in 2012-13 for the Departmental Capital Budget. For accounting purposes this amount has been designated as ‘contributions by owners’.

2 Appropriation Bill (No.2) 2012-13.

3 Appropriation receipts from other agencies credited to ARC's Research Endowment Account (special account).

Table A14.2: Expenses and Resources for Outcome 1

Outcome 1: Growth of knowledge and innovation through managing research funding schemes, measuring research excellence and providing advice.

Actual

Budget2012–13$’000(A)

Expenses2012–13$’000(B)

Variation2012–13$’000(A)-(B)

Program 1.1: Discovery—Research and Research Training


Ordinary annual services (Appropriation Bill No. 1) 40 - 40

Special appropriations 541 901 567 323 - 25 422

Departmental expenses

Ordinary annual services (Appropriation Bill No. 1) 7 190 6 564 626

Expenses not requiring appropriation in the Budget year 1 028 897 131

Total for Program 1.1 550 159 574 784 - 24 625

Program 1.2: Linkage—Cross-Sector Research Partnerships



Special appropriations 320 913 287 973 32 940

Special Accounts 16 293 17 508 - 1 215




Outcome 1: Growth of knowledge and innovation through managing research funding schemes, measuring research excellence and providing advice.

Actual

Budget2012–13$’000(A)

Expenses2012–13$’000(B)

Variation2012–13$’000(A)-(B)


Total for Program 1.2 348 452 315 761 32 691

Program 1.3: Excellence in Research for Australia






Total for Program 1.3 7 665 7 104 561

Outcome 1: Totals by appropriation type

Administered Expenses


Special appropriations 862 814 855 296 7 518

Special Accounts 16 293 17 508 - 1 215


Ordinary annual services (Appropriation Bill No. 1) 19 058 17 401 1 657

Expenses not requiring appropriation in the Budget year 3 086 2 691 395

Total expenses for Outcome 1 906 276 897 649 8 627

2011–12 2012–13

Average Staffing Level (number) 107 115

* Full-year budget, including any subsequent adjustment made to the 2012-13 Budget.


PART 6REFERENCELIST OF FIGURES AND TABLES 203

ABBREVIATIONS AND ACRONYMS 206

GLOSSARY 210

COMPLIANCE INDEX 212

ALPHABETICAL INDEX 218


LIST OF FIGURES AND TABLESFigures

Page

2.1 ARC budget, 2012–13 12

2.2 Structure of the Australian Research Council 13

2.3 ARC Outcome and Programs, 2012–13 16

3.1 Australian Government support for science, research and innovation, 2012–13 19

5.1 Discovery Program, number of proposals funded 51

5.2 Discovery Program, total funding awarded 52

5.3 Discovery Program, proportion of projects involving international collaboration, 2012–13 59

6.1 Linkage Program, number of proposals funded 70

6.2 Linkage Program, total funding awarded 71

6.3 Linkage Program, proportion of grants in National Research Priorities 77

7.1 Number of universities rated at world standard or higher, all broad Fields of Research 93

10.1 ARC staff by classification 114

10.2 ARC staff by status 115

10.3 ARC staff by gender 115

TablesPage

5.1 Program 1.1 — Discovery Program, performance summary 50

5.2 Discovery Program, international applicants 57

5.3 Discovery Program, fellowships and awards 62

6.1 Program 1.2 — Linkage Program, performance summary 69

6.2 Linkage Program, proportion of projects involving international collaboration 74

7.1 Program 1.3 — Excellence in Research for Australia, performance summary 87

7.2 Differences between ERA 2012 and ERA 2010 inputs 94

7.3 Differences between ERA 2012 and ERA 2010, ratings 94


4 Differences between ERA 2012 and ERA 2010, areas of research strength 95

10.1 Training and development by classification, 2012–13 117

11.1 Requests under the FOI Act, 2010–11 to 2012–13 124

A1.1 Mapping of Key Performance Indicators 206

A1.2 Mapping of priority actions for 2012–13 208

A2.1 Discovery Program, funding schemes 209

A2.2 Discovery Program, funding commencing in 2010–11 to 2012–13 210

A2.3 Discovery Program, research outputs 211

A2.4 Discovery Projects scheme, research personnel outputs for funding commencing in 2008 212

A3.1 Linkage Program, funding schemes 213

A3.2 Linkage Program, funding commencing in 2010–11 to 2012–13 214

A3.3 Linkage Program, research outputs 216

A3.4 ARC Centres of Excellence, research outputs, 2012 216

A3.5 Linkage Projects scheme, research personnel outputs for funding commencing in 2008 218

A3.6 Linkage Projects scheme, partner organisation contributions by type of organisation 219

A5.1 ARC Advisory Council, 2012–13 222

A5.2 ARC Audit Committee, 2012–13 222

A5.3 Other ARC governance committees, 2012–13 223

A5.4 ARC Appeals Committee, 2012–13 224

A5.5 ARC College, 2012–13 224

A5.6 ARC Scrutiny Committee, 2012–13 229

A5.7 Australian Laureate Fellowships Selection Advisory Committee, 2013 230

A5.8 Special Research Initiative for a Science of Learning Research Centre Selection Advisory Committee, 2012 230

A5.9 Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network Selection Advisory Committee, 2012 230

A5.1 Industrial Transformation Research Program Selection Advisory Committee, 2012–13 231


A5.11 ERA Research Evaluation Committees, 2012 232

A5.12 Australian Research Integrity Committee 236

A6.1 Summary of performance against the ARC client service charter, 2012–13 237

A9.1 New ARC-funded research projects in the area of an environmentally sustainable Australia, funding commencing in 2012–13 242

A9.2 Managing resource consumption and demand 243

A9.3 Managing energy consumption 244

A11.1 All staff by classification level 246

A11.2 All staff by employment category, employment status and gender 246

A11.3 All staff by classification level and gender 247

A11.4 Staff separations by classification level and employment category 247

A11.5 Employment arrangements covering staff 248

A12.1 Legal services expenditure report, 2012–13 249

A14.1 Agency Resource Statement, 2012–13 251


ABBREVIATIONS AND ACRONYMSA

ACPFG Australian Centre for Plant Functional Genomics

AGIMO Australian Government Information Management Office

AIDS Acquired immunodeficiency syndrome

ANAO Australian National Audit Office

APS Australian Public Service

APSC Australian Public Service Commission

ARC Australian Research Council

ARC Act Australian Research Council Act 2001

ARIC Australian Research Integrity Committee

ASEAN Association of Southeast Asian Nations

ATSIRN Special Research Initiative for Aboriginal and Torres Strait Islander Researchers' Network

AWA Australian Workplace Agreement

C

CEO Chief Executive Officer

D

DBCDE Department of Broadband, Communications and the Digital Economy

DECRA Discovery Early Career Researcher Award scheme

DP Discovery Projects scheme

E

ECR early-career researcher

EGM Executive General Manager

EOI expression of interest

ERA Excellence in Research for Australia

F

FL Australian Laureate Fellowships scheme

FMA Act Financial Management and Accountability Act 1997

FOI Act Freedom of Information Act 1982

FOR field of research

FT Future Fellowships scheme


G

GRDC Grains Research and Development Corporation

GST goods and services tax

H

HDR Higher Degree by Research

HIV Human immunodeficiency syndrome

I

ICT information and communications technology

IFA Individual Flexibility Agreements

IPS Information Publication Scheme

ITRP Industrial Transformation Research Program

K

KPI key performance indicator

kWh kilowatt hour

L

LASP Linkage Learned Academies Special Projects scheme

LIEF Linkage Infrastructure, Equipment and Facilities scheme

LIGO Laser Interferometer Gravitational Wave Observatory

LP Linkage Projects scheme

M

MRSA Methicillin-resistant Staphylococcus aureus

N

NABERS National Australian Building Environment Rating System

NCGP National Competitive Grants Program

NCGRT National Centre for Groundwater Research and Training

NHMRC National Health and Medical Research Council

NICTA National ICT Australia

NIRAKN National Indigenous Research Knowledges Network

NRP national research priority

NWC National Water Commission

O

OECD Organisation for Economic Cooperation and Development


P

PBS Portfolio Budget Statements

PO Partner Organisation

PS Act Public Service Act 1999

R

R&D research and development

REC Research Evaluation Committee

RMS Research Management System

S

SEER System to Evaluate the Excellence of Research

SES Senior Executive Service

SEO socio-economic objectives

SMG Senior Management Group

SRE Sustainable Research Excellence

SRI Special Research Initiatives scheme

W

WA Western Australia

WHS Act Work Health and Safety Act 2011 (Cth)


GLOSSARYAdministered itemsThose assets, liabilities, revenues and expenses controlled by the government and managed or overseen by agencies or authorities on behalf of the government.

CitationA reference to a research publication in another research publication. The number of citations received by a publication is considered to provide an indication of the potential use of a researcher’s work by fellow researchers. The basic premise is that a frequently cited paper has had a greater influence on subsequent research activities than a paper with no citations or only a few.

Collaborating organisationsInclude Administering Organisations, Eligible Organisations and Partner Organisations.

Departmental itemsThose assets, liabilities, revenues and expenses controlled by agencies or authorities and used in producing their outputs.

Early-career researcherA researcher who has held a PhD or equivalent research doctorate for a period of five years or fewer at the time of application.

Final reportSuccessful applicants for funding under the NCGP are required to provide a report to the ARC on completion of their research project (within six months of completing the research). The report includes a range of data and information including a description of research outcomes, academic and commercialisation outputs and details of collaboration.

Funding roundThe year funding for new grants commences.

Invention disclosureAn invention disclosure occurs when a device, substance, method or process that is apparently new, useful and involves an inventive step is made known to personnel within an institution who have responsibility for managing the institution’s patenting and research commercialisation activities.

Licence agreementA licence agreement formalises the transfer of technology between two parties, where the owner of the technology (the licensor) permits the other party (the licensee) to share the rights to use the technology.

National Research PrioritiesIn 2012–13 the Australian Government’s four National Research Priorities were: An environmentally sustainable Australia (Environment); Promoting and maintaining good health (Health); Frontier technologies for building and transforming Australian industries (Frontier technologies); and Safeguarding Australia.

Non-traditional research outputs Research outputs which do not take the form of traditional research books, book chapters, journal articles, conference publications.


Partner investigatorResearchers who are not eligible to be Chief Investigators under Discovery Projects and Linkage Projects grants, but who are taking significant intellectual responsibility for the research, can apply as Partner Investigators.

PatentA patent is an intellectual property right relating to inventions. A patent for an invention is granted to the applicant, and gives him or her the right for a limited period to stop others from making, using or selling the invention without permission.

Socio-Economic ObjectivesThe Socio-Economic Objectives (SEO) classifies research and development activities in Australia and New Zealand by intended purpose or outcome of the research.

Start-up companiesIn this annual report, start-up companies refers to companies engaged in businesses that were dependent, for their formation, upon licensing or assignment of technology developed in ARC-funded research projects.

Success rateThe number of awards made in a year as a percentage of the total number of applications (excluding those applications withdrawn prior to the assessment process).

Units of evaluationA discipline for a specific higher education institution at the two- or four-digit field of research level.


COMPLIANCE INDEXAustralian Research Council Act 2001Report section / Description Requirement Page(s)

Description

Particulars of any Ministerial requests for advice about research matters Mandatory N/A

Particulars of any Ministerial directions about performance of the ARC’s functions Mandatory 99

Particulars of any Ministerial notifications of general policies of the Commonwealth that are to apply to the ARC, its committees or the staff

Mandatory N/A

An assessment of the ARC’s performance against the performance indicators set out in the strategic plan Mandatory

50, 54–60, 69, 73–78, 87, 89–90, 206–207

Preparation in accordance with guidelines of the Joint Committee of Public Accounts and Audit (JCPAA) See below

Ministerial directions issued under the ARC Act

In December 2002 the Minister provided a direction to the ARC about the implementation of national research priorities. The direction included a requirement (part (e)) that ‘the ARC will report on national research priorities through documents such as its strategic plan, annual report and the Innovation Report’.

Mandatory 58, 65, 77


Requirements for annual reportsReport section / Description Requirement Page(s)

General

Letter of transmittal Mandatory iii

Table of contents Mandatory v

Index Mandatory 268–273

Glossary Mandatory 262–263

Contact officer(s) Mandatory iv

Internet home page address and Internet address for report Mandatory ii

Review by Chief Executive Officer

Review by CEO Mandatory 6–9

Summary of significant issues and developments Suggested 6–9

Overview of performance and financial results Suggested 6–8

Outlook for following year Suggested 8

Significant issues and developments–portfolio Suggested N/A

Departmental overview

Role and functions Mandatory 11–12

Organisational structure Mandatory 13

Outcome and program structure Mandatory 16

Where outcome and program structures differ from PBS/PAES or other portfolio statements accompanying any other additional appropriation bills, details of variation and reasons for change

Mandatory N/A

Portfolio structure Mandatory N/A

Report on performance

Review of performance during the year in relation to programs and contribution to outcomes Mandatory 25–95

Actual performance in relation to deliverables and KPIs set out in PBS/PAES or other portfolio statements Mandatory

49–60, 68–78, 87–90

Where performance targets differ from the PBS/PAES, details of both former and new targets, and reasons for the change Mandatory N/A

Narrative discussion and analysis of performance Mandatory 25–95

Trend information Mandatory 51–60, 70–78

Significant changes in nature of principal functions/services Suggested N/A


Report section / Description Requirement Page(s)

Performance of purchaser/provider arrangements Suggested N/A

Factors, events or trends influencing departmental performance Suggested N/A

Contribution of risk management in achieving objectives Suggested 104

Social inclusion outcomes If applicable, mandatory N/A

Performance against service charter customer service standards, complaints data and response to complaints

If applicable, mandatory

110, 237–238

Discussion and analysis of financial performance Mandatory 137

Discussion of any significant changes from the prior year or from the budget or anticipated to have a significant impact on future operations Mandatory 137

Agency resource statement and summary resource tables by outcomes Mandatory 251–253

Corporate governance

Agency heads are required to certify that their agency comply with the Commonwealth Fraud Control Guidelines Mandatory iii

Statement of the main corporate governance practices in place Mandatory 98–107

Names of the senior executive and their responsibilities Suggested 99–100

Senior management committees and their roles Suggested 101–103

Corporate and operational planning and associated performance reporting and review Suggested 103–104

Approach adopted to identifying areas of significant financial or operational risk Suggested 104

Policy and practices on the establishment and maintenance of appropriate ethical standards Suggested 106–107

How nature and amount of remuneration for SES officers is determined Suggested 117

External scrutiny

Significant developments in external scrutiny Mandatory 108–112

Judicial decisions and decisions of administrative tribunals Mandatory 110

Reports by the Auditor-General, a Parliamentary Committee or the Commonwealth Ombudsman Mandatory 109–110

Management of human resources

Assessment of effectiveness in managing and developing human resources to achieve objectives Mandatory 113–121

Workforce planning, staff turnover and retention Suggested 114–116

Impact and features of enterprise or collective agreements, individual flexibility arrangements (IFAs), determinations, common law contracts and Australian Workplace Agreements (AWAs)

Suggested 116

Training and development undertaken and its impact Suggested 117–118



Work health and safety performance Suggested 118, 239

Productivity gains Suggested 118

Statistics on staffing Mandatory 114–115, 246–248

Enterprise or collective agreements, IFAs, determinations, common law contracts and AWAs Mandatory 116–117,

248

Performance pay Mandatory 117

Assets management

Assessment of effectiveness of assets management If applicable, mandatory 127

Purchasing

Assessment of purchasing against core policies and principles Mandatory 123

Consultants

Summary statement detailing the number of new consultancy services contracts let during the year; the total actual expenditure on all new consultancy contracts let during the year (inclusive of GST); the number of ongoing consultancy contracts that were active in the reporting year; and the total actual expenditure in the reporting year on the ongoing consultancy contracts (inclusive of GST)

Mandatory 123–124

Statement noting that information on contracts and consultancies is available through the AusTender website Mandatory 124

Australian National Audit Office Access Clauses

Absence of provision in contracts allowing access by the Auditor-General Mandatory 124

Exempt contracts

Contracts exempt from AusTender Mandatory 124

Financial statements

Financial statements Mandatory 138–202

Other mandatory information

Work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011) Mandatory 239

Advertising and market research (section 311A of the Commonwealth Electoral Act 1918) and statement on advertising campaigns Mandatory 240

Ecologically sustainable development and environmental performance (section 516A of the Environment Protection and Biodiversity Conservation Act 1999)

Mandatory 241–244

Compliance with the agency’s obligations under the Carer Recognition Act 2010

If applicable, mandatory N/A

Grant programs Mandatory 111



Disability reporting–explicit and transparent reference to agency-level information available through other reporting mechanisms Mandatory 111

Information Publication Scheme statement Mandatory 112

Spatial reporting–expenditure by program between regional and non-regional Australia

If applicable, mandatory N/A

Correction of material errors in previous annual report If applicable, mandatory 245

Agency Resource Statements and Resources for Outcomes Mandatory 251–253

List of requirements Mandatory 264–267


ALPHABETICAL INDEXPage numbers in italic indicate photographs.

Aabbreviations and acronyms, 259–61Aboriginal and Torres Strait Islander Researchers’ Network, 4, 7, 71, 72, 83–4, 230academic outputs, 75, 211, 216accountability see management and accountabilityaddress and contact details, ii, ivAdministrative Decisions (Judicial Review) Act 1977, 110administrative tribunal decisions, 110Advanced Laser Interferometer Gravitational-Wave Observatory (LIGO) Project, 81advertising and market research, 111, 240Advisory Council, 5, 8, 15, 101, 222agency resource statements, 251–3ANAO see Australian National Audit OfficeAndersen, Tony, 100appeals, 102, 110, 237Appeals Committee, 102, 224ARC Centres Directors’ Forum, 4, 132ARC Centres of Excellence, 8, 33–4, 68, 70, 75-6, 83, 132, 213, 214, 216–17ARC College, 102, 224–9ARChway newsletter, 129Assessing the wider benefits arising from university-based research, 23asset management, 127Audit Committee, 101, 104, 105, 106, 222auditsauditor’s report, 109, 140–1Australian National Audit Office reports relevant to the ARC, 109internal arrangements, 105–6AusTender, 123, 124Australasian Research Management Society Annual Conference, 129Australia Day achievement awards, 120–1Australia in the Asian Century White Paper, 20Australian Centre for Plant Functional Genomics, 84Australian Code for the Responsible Conduct of Research, 23, 47, 106Australian Code of Practice for the Care and Use of Animals for Scientific Purposes, 23, 47Australian Governmentexpenditure on science, research and innovation, 19policy, 19–21principles for research investment, 21Australian Information Commissioner, 110Australian Innovation System Report 2012, 22Australian Laureate Fellowships, 4, 7, 51, 52, 53, 57, 59, 61–2, 129, 209, 210, 230Australian National Audit Office, 106, 109, 124, 140–1Australian Public Service Commission, 106, 111, 119Australian Public Service Values and Code of Conduct, 106Australian Research Committee, 46Australian Research Council Act 2001, 11, 99, 109Australian Research Integrity Committee, 103, 107, 236


Australian Synchrotron, 81Australian Workplace Agreements, 116, awards see prizes and awards

Bbibliometric studies, 54, 55, 75bionic vision Research in Bionic Vision Science and Technology Initiative, 85budget, 7, 8, 12business continuity, 105Business Continuity Plan Committee, 101, 223Byrne, Prof. Aidan, 4, 5, 6, 14, 99, 121

CCameron, Dr Fiona, 14, 100capacity, key objective 206, 208Centres of Excellence see ARC Centres of Excellencechallenges for the research sector, 23Chief Executive Instructions, 123Chief Executive Officer, 46, 130functions, 99national committee memberships, 46, 130review, 6–8Chief Financial Officer, 100Chief Information Officer, 100Chief Program Officer, 100Client Service Charter, 110, 237–8co-funded centres, 83Australian Centre for Plant Functional Genomics, 84National Centre for Groundwater Research and Training, 84National ICT Australia, 84Collaborations between the Public and Private Sectors: The Role of Intellectual Property, 22commercialisation outputs, 75, 211, 216committeesARC governance, 101–2, 222–3ARC participation in national/international forums, 130Australian Research Integrity Committee, 103, 236Excellence in Research for Australia, 103, 232–6guidelines for selection committee members and assessors, 107National Competitive Grants Program, 102–3, 224–31common law contracts, 116, 117, 248Commonwealth Fraud Control Guidelines, 105Commonwealth Grant Guidelines, 112Commonwealth Ombudsman’s Office, 109Commonwealth Procurement Rules, 123communication, 129–33within ARC, 119complaints, 110ARC Complaints Handling Policy and Procedures, 106–7compliance index, 264-267conditions of fellowships and awards, 55, 62consultancy contracts, 123–4consultations, , 23, 130correction of errors, 245


court decisions, 110

DDan, Dr Laura, 100Defence Trade Controls Act 2012, 23, 47Deleva, Julija, 100Department of Broadband, Communications and the Digital Economy, 84Department of Industry, Innovation, Climate Change, Science, Research and Tertiary Education, 45, 91, 109, 130Department of Innovation, Industry, Science and Research, 91disability reporting, 111disaster recovery, 105disclosure of interests, 107Discovery Early Career Researcher Award, 7, 51, 52, 53, 56, 57, 59, 61–2, 63, 209, 210Discovery Indigenous scheme, 51, 52, 53, 59, 61–2, 66, 209, 210Discovery Outstanding Researcher Awards, 7, 61–2Discovery Program, 11, 48–66case studies, 28–9, 32, 40–3, 63–4, 66deliverables, 49–50expenses and resources, 252funding schemes, 49, 209grant statistics, 50, 51–2, 61–2, 210key performance indicators, 50, 54–60, 206–7objectives, 49, 50, 61–2, 65, 206–8performance, 49–50, 61–2, 65, 211policy advice, 53, 60research outputs, 211, 212researchers supported, 7, 53, 56, 212Discovery Projects scheme, 6, 51, 52, 59, 65, 209, 210

Eecologically sustainable development and environmental performance, 111, 241–4Emerson, Dr Craig, 5energy usage, 243–4Enterprise Agreement, 116, 248ethical standards, 23, 103, 106–7evaluations see Excellence in Research for AustraliaEvans, Chris, 4, 5, 88, 129Excellence in Research for Australia, 3, 6, 12, 86–952012 National Report, 5, 7–8, 88–95committees, 103, 232–6consultation, 90deliverables, 87evaluations, 88–90expenses and resources, 253ICT, 90, 126–7key performance indicators, 87, 89–90, 207objectives, 87, 91–5, 207, 208performance, 87, 89–95, 216–17policy advice, 91process review, 8, 90, 130ratings, 3, 91, 92–5Research Evaluation Committees, 88, 103, 232–6


executive staff, 13, 14, 99–100, 116, 117, 248exempt contracts, 124external scrutiny, 109–12

FFederal Privacy Commissioner, 110Financial Management Act 1997, 99, 101, 109, 112financial performanceagency resource statements, 251–3analysis of, 137financial services, 123–4financial statements, 139–203fraud control, 105 see also ethical standardsfreedom of information, 110, 124functions see role of the ARCFuture Fellowships, 4, 5, 7, 51, 52, 53, 55, 57, 59, 61–2, 64, 65, 209

GGlobal Research Council, 23, 47glossary, 262–3governance, 98–107Grains Research and Development Corporation, 84grants awarded, 6Discovery Program, 50, 51–2, 61–2grant announcement events, 129Linkage Program, 69, 70–1, 73–4publication of details, 111, 112guiding principles of ARC, 11

HHarvey, Leanne, 14, 99, 120Health of Australian Science, 91House of Representatives Standing Committee on Climate Change, Environment, and the Arts, 109Human Rights and Equal Opportunity Commissioner, 110

IIndigenous Australians see Aboriginal and Torres Strait Islander Researchers’ Network; Discovery Indigenous scheme; National Indigenous Research and Knowledges NetworkIndividual Flexibility Arrangements, 116, 248Industrial Transformation Research Hubs, 5, 7, 70, 71, 72, 73, 79, 80, 213, 215Industrial Transformation Research Program, 7, 8, 68, 70, 83, 231Industrial Transformation Training Centres, 5, 7, 70, 71, 72, 73, 76, 79, 82, 213, 215Industry Innovation Precincts, 72information and communication technology systems, 5, 8, 126–7committee oversight, 101, 223disaster recovery, 105environmental performance, 243Information Publication Scheme, 112institutional reviews, 106intellectual property, 23, 47, 106internal audit, 105–6


international applicants for fellowships and awards, 57international collaboration, 59, 65, 74international policy developments, 23international visits, 130–1

Jjudicial decisions, 110

KKelly, Dr Mary, 14, 100key events, 4–5key performance indicators, 17Discovery Program, 50, 54–60, 206–7Excellence in Research for Australia, 87, 89–90, 207Linkage Program, 69, 73–8, 206–7performance framework, 206–7key statistics, 3

Llearning and development, 106, 117–18, 119legal services expenditure, 124, 249legislation, 11, 99Linkage Infrastructure, Equipment and Facilities scheme, 70, 71, 81, 213, 214Linkage Learned Academies Special Projects scheme, 68, 70, 213–14Linkage Program, 11, 68case studies, 30–1, 33–8, 80, 82deliverables, 68–9expenses and resources, 252funding schemes, 68, 213–14grant statistics, 69, 70–1, 73–4, 214–15key performance indicators, 69, 73–8, 206–7objectives, 68, 69, 206–8performance, 68–9, 79, 81, 83–5, 216–19policy advice, 72, 78research outputs, 216, 218researchers supported, 72, 76, 218Linkage Projects, 5, 70, 71, 73, 214, 215partner organisation contributions, 219

Mmanagement and accountability, 97–134market research, 111, 240media releases, 129, 250Minister responsible, iv, 5, 8, 15, 83, 99, 101, 129 see also Emerson, Dr Craig; Evans, Chrismission, 11Mission-Based Compacts, 91

NNational Centre for Groundwater Research and Training, 84National Competitive Grants Program, 6, 11, 61, 99, 111


committees, 102–3, 224–31Discovery Program see Discovery ProgramICT, 61, 126Linkage Program see Linkage Programpolicy activities, 46–7National Health and Medical Research Council, 4, 81, 103, 106, 132National ICT Australia, 84National Indigenous Research and Knowledges Network, 7, 83–4National Principles of Intellectual Property Management for Publicly Funded Research, 23, 47, 106National Research Investment Plan, 4, 20, 91National Research Priorities, 58, 65, 77case studies, 28–43see also Strategic Research PrioritiesNational Statement on Ethical Conduct in Human Research, 23, 47, 106National Water Commission, 84networking among researchers and institutions, 65

OobjectivesDiscovery Program, 49, 50, 61–2, 65, 206–8Excellence in Research for Australia, 87, 91–5, 207, 208Linkage Program, 68, 69, 206–8performance framework, 206–8Office of the Chief Scientist, 91Ombudsman, 110open access, 15, 23, 47, 131, 208open access policy, 5, 8-9, 46, 208open data , 23, 46, 130operational plans, 104, 126organisational structure, 13outcomes, 16, 27case studies, 28–47, 63–4, 66, 80, 82expenses and resources, 252–3outcome and programs framework, 16outlook for the following year, 8

Pparliamentary committees, 109partnerships, 11, 73, 219 see also international collaborationpatent related outputs, 75, 84, 211, 216peer review processes, 61people management, 114–21People Management and Development Committee, 102, 223performance, 6–8Discovery Program, 49–50, 61–2, 65, 211Excellence in Research for Australia, 87, 89–95financial see financial performanceindicators see key performance indicatorskey events, 4–5key statistics, 3Linkage Program, 68–9, 79, 81, 83–5, 216–19performance framework, 17, 206–8performance pay, 117


A Plan for Australian Jobs, 20plans and planning, 103–5, 126policiesARC workplace, 118Australian Government, 19–21international policy developments, 23policy advice, 6, 12, 53, 60, 72, 78, 91case study, 46–7policy and evaluation, key objective, 206, 208Portfolio Budget Statements, 17, 104, 206–8portfolio membership, 99, 130postgraduate/postdoctoral support, 56, 61, 65, 76, 79, 212Prime Minister’s Science, Engineering and Innovation Council, 7, 83principles for research investment, 21prioritiesARC, 9, 208National Research Priorities, 58, 65, 77National Research Priorities case studies, 28–43Strategic Research Priorities, 19–20, 46–7prizes and awards, 5, 55, 84, 220–1Australia Day awards to staff, 120–1procurement see purchasingproductivity gains, 118Programs1.1 see Discovery Program1.2 see Linkage Program1.3 see Excellence in Research for Australiaoutcome and programs framework, 16promotion, 129property management, 127protective security, 127Public Service Act 1999, 17, 99, 109Section 24(1) determinations, 116, 248publications, 8, 129, 211, 216open access policy, 5, 8, 46purchasing, 123, 126, 243

Rrecords management, 127remuneration, 117reporting, 22, reporting framework and requirements, 17, 103-104, 109mandatory reporting, 111research, key objective, 206, 208Research Administrators’ Seminar, 4, 132Research Evaluation Committees, 88, 103, 232–6research impact, 27, 45, 54, 55, 58, 75, 77, 84 see also Excellence in Research for Australia; research outputsresearch infrastructure projects, 81 see also Linkage Infrastructure, Equipment and Facilities schemeresearch investmentNational Research Priorities, 58, 65, 77principles, 21Strategic Research Priorities, 19–20, 46–7see also case studies


Research Management System, 61, 126research misconduct allegations, 103, 106–7, 110research outputsARC Centres of Excellence, 75, 216–17Discovery Program, 211–12Linkage Program, 216see also research impactResearch Skills for an Innovative Future: A Research Workforce Strategy, 91research strengths see disciplines (research strengths); Excellence in Research for Australiaresearchers supported, 7, 53, 56, 72, 76, 212, 218Review of Higher Education Access and Outcomes for Aboriginal and Torres Strait Islander People: Final Report, 22rewards and recognition, 120–1risk management, 104role of the ARC, 6, 8, 11

Ssalaries see remunerationSalary Review Committee, 102, 223science, research and innovation expenditure by Australian Government, 19Science of Learning Research Centre, 5, 6, 7, 71, 72, 83, 230Scrutiny Committee, 102, 229 scrutiny of ARC, external, 109–12security, 127Security Committee, 101, 223Selection Advisory Committees, 103, 230Senate Economics Legislation Committee, 109senior executives, 13, 14, 99–100, 116, 117, 248Senior Management Group, 101, 223Simms, Prof. Marian, 14, 100Smarter Manufacturing for a Smarter Australia, 22social inclusion, 111–12social media, 133Special Research Initiatives, 5, 6, 68, 70, 81, 83, 215Aboriginal and Torres Strait Islander Researchers’ Network, 7, 70, 83–4, 230Science of Learning Research Centre, 7, 70, 83, 230Stem Cell Science, 85sponsorship, 129–30staffaverage staffing level, 253classifications and categories, 114–15, 246–7employment arrangements, 116–17, 248induction training, 106, 118remuneration, 117separations, 247statistics, 3, 114–15, 246–8, 253survey, 119training and development, 106, 117–18turnover and retention, 116workforce planning, 114work/life balance, 119stakeholders, 8, 12, 110stakeholder engagement, 130State of the Service survey, 119Stem Cells Australia, 85


strategic plan, 4, 8, 9, 103–4, 206–8Strategic Research Priorities, 19–20, 46–7 see also National Research PrioritiesStrategic Review of Health and Medical Research, 22Strengthened Export Controls Steering Group, 47structure see organisational structureSuper Science Fellowships scheme, 51, 52, 210Sustainable Research Excellence, 91System for the Evaluation of Excellence of Research, 90, 126–7

Ttraining and development, 117–18

Wwaste management, 244website, ii, 129, 133work health and safety, 111, 118, 119, 239Work Health and Safety Committee, 101, 223workforce planning, 114workplace policies, 118workplace relations, 119

YYates, Prof. Brian, 14, 100


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