ANNUAL REPORT2011–12

Produced by: Australian Research CouncilLocation: 2nd Floor, 11 Lancaster Place, MAJURA PARK ACT 2609Postal address: GPO Box 2702, CANBERRA ACT 2601Telephone: +61 2 6287 6600Facsimile: +61 2 6287 6601Email: info@arc.gov.au (general enquiries)

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LETTER OF TRANSMITTAL24 September 2012Senator the Hon Chris EvansMinister for Tertiary Education, Skills,Science and ResearchParliament HouseCANBERRA ACT 2600

Dear MinisterIt is with great pleasure that I present the Australian Research Council (ARC) Annual Report for 2011–12.During 2011–12 the ARC continued to deliver against its identified Outcome, encouraging the growth of knowledge and innovation through managing research funding schemes, measuring research excellence and providing advice.The annual report has been prepared in accordance with the requirements of the Australian Research Council Act 2001 (ARC Act) and the guidelines referred to in subsection 63(2) of the Public Service Act 1999.In accordance with the Commonwealth Fraud Control Guidelines 2011, I certify that I am satisfied that the ARC has:> prepared fraud risk assessments and fraud control plans which effectively address the risks

of the ARC;> in place appropriate fraud prevention, detection, investigation, reporting and data collection

procedures and processes that meet the specific needs of the ARC; and> taken all reasonable measures to minimise the incidence of fraud in the ARC and to

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

Professor Aidan ByrneChief Executive Officer

CONTENTSLETTER OF TRANSMITTAL IIIGUIDE TO THE REPORT VI

PART 1: OVERVIEW 1CHAPTER 1: CHIEF EXECUTIVE OFFICER’S REVIEW 2CHAPTER 2: CALENDAR OF KEY ACTIVITIES AND ANNOUNCEMENTS 7CHAPTER 3: THE AUSTRALIAN RESEARCH COUNCIL 14

PART 2: PERFORMANCE 25CHAPTER 4: OUTCOME 26CHAPTER 5: PROGRAM 1.1 DISCOVERY 39CHAPTER 6: PROGRAM 1.2 LINKAGE 58CHAPTER 7: PROGRAM 1.3 EXCELLENCE IN RESEARCH FOR AUSTRALIA 74

PART 3: MANAGEMENT AND ACCOUNTABILITY 83CHAPTER 8: GOVERNANCE 84CHAPTER 9: EXTERNAL SCRUTINY 92CHAPTER 10: PEOPLE MANAGEMENT 96CHAPTER 11: FINANCIAL AND LEGAL SERVICES 103CHAPTER 12: ICT AND FACILITIES 106CHAPTER 13: COMMUNICATION 109

PART 4: FINANCIAL PERFORMANCE 115CHAPTER 14: FINANCIAL OVERVIEW 116CHAPTER 15: FINANCIAL STATEMENTS 118

PART 5: APPENDICES 185APPENDIX 1: PERFORMANCE FRAMEWORK 186APPENDIX 2: NATIONAL COMPETITIVE GRANTS PROGRAM, DESCRIPTION 188APPENDIX 3: NATIONAL COMPETITIVE GRANTS PROGRAM, SUMMARY STATISTICS 190APPENDIX 4: NATIONAL COMPETITIVE GRANTS PROGRAM, PERFORMANCE INFORMATION 193APPENDIX 5: RESPONSIBILITIES OF THE MINISTER 202APPENDIX 6: MEMBERSHIP OF COMMITTEES 204APPENDIX 7: CLIENT SERVICE CHARTER 218APPENDIX 8: WORK HEALTH AND SAFETY 220APPENDIX 9: ADVERTISING AND MARKET RESEARCH 221APPENDIX 10: ECOLOGICALLY SUSTAINABLE DEVELOPMENT 222APPENDIX 11: CORRECTION OF ERRORS 226APPENDIX 12: STAFF STATISTICS 227APPENDIX 13: LEGAL SERVICES EXPENDITURE 229APPENDIX 14: COMMUNICATION 230APPENDIX 15: AGENCY RESOURCE STATEMENTS 232

PART 6: REFERENCE 235LIST OF FIGURES AND TABLES 236ABBREVIATIONS AND ACRONYMS 238GLOSSARY 241COMPLIANCE INDEX 243ALPHABETICAL INDEX 247

GUIDE TO THE REPORTPURPOSEThis is the Chief Executive Officer’s (CEO) report to the Minister for Tertiary Education, Skills, Science and Research on the performance of the Australian Research Council (ARC) during the financial year 2011–12.

CONTENTSThe report comprises six parts.Part 1: Overview includes the CEO’s review, an outline of key activities and announcements during the year and a description of the ARC.Part 2: Performance is a report on the ARC’s performance against the single Outcome and three Programs identified in the Portfolio Budget Statements 2011–12.The ARC’s performance framework comprises two components, the Portfolio Budget Statements and the ARC Strategic Plan. Figure 3.3 illustrates the relationship between these components.Part 3: Management and accountability outlines the arrangements in place to support the ARC’s delivery of achievements against its Outcome and Programs. It includes arrangements for governance and external scrutiny and an overview of the ARC’s management of its workforce, finance and legal services, information technology and facilities, and communications activities.Part 4: Financial performance provides a report on the ARC’s financial performance including the audited and unqualified financial statements and a report by the Auditor-General.Part 5: Appendices provides additional information to support the report on performance provided in Part 2 as well as reports required under specific legislation and guidelines.Part 6: Reference includes a list of tables and figures, a glossary, abbreviations, and an alphabetical and compliance index.

REPORTING> Performance data for the National Competitive Grants Program (NCGP), unless otherwise

indicated, relates to proposals awarded for funding commencing in the 2011–12 financial year (regardless of the date of announcement).

> Research case studies relate to projects awarded funding under the NCGP in previous years that have achieved outcomes in 2011–12.

> The ARC’s capacity to report on the outcomes of research supported under the NCGP is limited by:– the time lag between research activity and outcomes; and– the difficulty in attributing the outcomes of research activity specifically to ARC support

when they are the culmination of support from a number of sources.

FURTHER INFORMATIONFor more information about this report contact:Director, Policy Coordination and GovernanceAustralian Research CouncilTel: +61 2 6287 6600Fax: +61 2 6287 6601Email: info@arc.gov.au

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

PART 1: OVERVIEW

CHAPTER 1: CHIEF EXECUTIVE OFFICER’S REVIEWCHAPTER 2: CALENDAR OF KEY ACTIVITIES AND

ANNOUNCEMENTSCHAPTER 3: THE AUSTRALIAN RESEARCH COUNCIL

CHAPTER 1: CHIEF EXECUTIVE OFFICER’S REVIEW

AT A GLANCEThe Chief Executive Officer’s (CEO) review summarises the Australian Research Council’s:> significant developments in 2011–12;> performance and financial results for 2011–12; and> outlook for 2012–13.Ms Leanne Harvey was Acting ARC CEO at 30 June 2012.In December 2011 the previous CEO, Professor Margaret Sheil, announced she would leave the ARC in April 2012 to take up the position of Provost at The University of Melbourne.On 28 May 2012 Senator the Hon Chris Evans, the Minister for Tertiary Education, Skills, Science and Research, announced Professor Aidan Byrne as the new ARC CEO. Professor Byrne joined the ARC on 23 July 2012 from The Australian National University.

INTRODUCTIONEach year the annual report provides an opportunity to reflect on our purpose and role, how well we have performed, what difference we have made, and what plans we have for the future.The ARC is a statutory authority of the Australian Government with responsibility for research funding and policy. Specifically we manage the Excellence in Research for Australia (ERA) evaluations and administer the funding schemes of the National Competitive Grants Program (NCGP). We also, together with the National Health and Medical Research Council (NHMRC), manage the Australian Research Integrity Committee (ARIC).The ARC is a critical part of a strongly interrelated system of government support for Australian research and innovation—as well as being one small part of the global research environment. In both spheres the ARC works closely with stakeholders to achieve outcomes of benefit to the community.

NEW DEVELOPMENTSIn 2011-12 the ARC commenced the second round of ERA to assess research quality at universities. For this round, the ARC has enhanced the ERA methodology through an extensive process of stakeholder consultation and review.We developed two new funding initiatives under the NCGP: the Special Research Initiative in Synchrotron Science and the Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network. Both initiatives are aimed at building Australia’s research capacity through support for highly collaborative research activities in areas of national importance.Within the agency, a new enterprise agreement—the ARC Enterprise Agreement 2011–2014—was finalised in September 2011.In December 2011 Professor Margaret Sheil announced that she would leave the ARC to take up the position of Provost at The University of Melbourne. Professor Sheil joined the ARC in 2007 and was a strong advocate for the ARC and the research sector during her appointment.

PERFORMANCEExcellence in Research for AustraliaOn 27 April 2012 the ARC successfully completed the submission phase for ERA 2012. All 41 universities submitted data about research activities. The ARC has appointed 147 distinguished researchers to evaluate research quality by discipline. > The ARC has implemented enhancements to the ERA methodology for 2012, including

extended provision for the identification and capture of applied measures, non-traditional research outputs and interdisciplinary work, as well as refinements to peer review processes.

> In 2011-12 the ARC worked effectively with other government agencies and the research community to promote research excellence by incorporating ERA results into research funding and strategies, including mission-based compacts between the Commonwealth and universities and funding allocations under the Commonwealth’s Sustainable Research Excellence program.

Key challenges in 2011–12 included:> responding to feedback from the sector about the ERA process, while maintaining the rigour

of the ERA methodology; and> facilitating the use of ERA results as performance measures and targets, while preserving the

integrity of ERA data.

National Competitive Grants ProgramAcross the NCGP funding schemes, the ARC received a total of 7707 proposals for funding

commencing in 2011–12, ranging from 29 under the Discovery Indigenous scheme to 3544 under the Discovery Projects scheme. Following a competitive peer review process, the ARC subsequently funded 1761 projects worth a total of $741.8 million over the life of the projects.Through the funded research projects we enabled:> the establishment and growth of international research partnerships; > quality training of early-career researchers; and> the maintenance of opportunities for Australia’s research workforce.These are strong indicators of the contribution of ARC-funded research to building Australia’s research capacity. In 2011–12, for example, 59.3 per cent of proposals funded under the NCGP involved international collaboration and we supported over 4635 individual researchers.As indicated in the performance chapters of this report, measuring outcomes or benefits of research is a long-term proposition. During the year we continued to look for ways to strengthen our ability to report on these outcomes. In this report case studies are provided.Key challenges in 2011–12 included:> the increasingly large number of proposals submitted for funding under the NCGP, creating

pressure on our administrative resources; > increasing awareness of the support we provide for career-life balance, following public

criticism of the Australian Government’s support in this area; and> continuing to monitor the implementation of our peer review processes to ensure that no

biases are unintentionally introduced into the system.

Australian Research Integrity CommitteeThe ARIC, which was jointly established by the ARC and the NHMRC, has been in operation for over eighteen months.The committee has a very specific remit to review the processes by which a university has managed an allegation of research misconduct. In this way, it supplements, rather than replaces, the existing framework for the investigation of allegations of research misconduct in Australia.An important part of our role is creating an awareness of the ARIC and its responsibilities. Chapter 8 of this report provides information on the activities of the committee during 2011–12.

OrganisationEarly in 2011–12 we released a new strategic plan—the ARC Strategic Plan 2011–12 to 2013–14—which maps our direction over the next three years. In the new plan we divided our objectives into key objectives (Research, Capacity, and Policy and Evaluation) and enabling objectives (Organisation and Communication). We made progress on all of the 2011–12 priority actions listed in the strategic plan (see Table 1.1).The ARC also undertook a broad range of activities during the year to ensure compliance with relevant legislation and guidelines including those relating to grants administration. Evaluations conducted by the Australian National Audit Office indicated some areas of weakness and we have addressed these areas by putting in place revised processes to ensure future compliance.We also completed a full review of our risk management framework, finalising a new policy and plan and taking additional steps to strengthen the integration of risk management activities across the agency. We appointed risk management champions to help disseminate the messages at all levels.In 2011–12, 88 per cent of ARC respondents to a survey conducted by the Australian Public Service Commission as part of the State of the Service Report indicated that they were happy working at the ARC and 84 per cent indicated that they were satisfied with their job. This is a very pleasing result and it compares with results of 64 and 67 per cent respectively recorded in an ARC staff survey undertaken in 2009. Our staff turnover figures also dropped in 2011–12.Key challenges in 2011–12 included:> ensuring that the ARC’s operations, which are heavily reliant on information technology

services, continued to operate as effectively and efficiently as possible. These services are a

critical input to the delivery of both ERA and the NCGP.

FINANCIAL SUMMARYThe total annual appropriation funding for the ARC for 2011–12 was $833.3 million.The total comprises $22.0 million for departmental appropriation ($18.8 million for operating expenses, $1.7 for Departmental Capital Budget and $1.5 million for equity injection) and $811.3 million for administered appropriation ($808.8 million for special appropriation for the NCGP and $2.5 million for annual administered appropriation).

OUTLOOK FOR 2012–13We will:> track the performance of research disciplines at universities over time by completing the

second round of ERA and releasing the results in late 2012.> continue to monitor the outcomes of our selection rounds under the NCGP to improve areas

such as supporting career-life balance, encouraging women to apply for grants and maintaining support for Indigenous researchers.

> continue to develop our peer review processes to ensure they are consistent with the merit review principles endorsed by the Global Research Council.

> continue to be engaged in external debate on research matters. In 2011–12 we contributed to a range of reviews including Australia in the Asian Century and the Strategic Review of Health and Medical Research in Australia.

CONCLUSIONThe achievements reported in this annual report were made possible by the dedication and hard work of the ARC staff. I congratulate them on a successful year and look forward to working with them through the challenges and achievements of 2012–13.Leanne HarveyActing CEO (as at 30 June 2012)

Table 1.1: Summary of progress against 2011–12 priority actions

PRIORITY ACTIONS FOR 2011–12 PROGRESS AT 30 JUNE 2012

KEY OBJECTIVE 1: RESEARCH

Enhance peer review through improved assessor assignment process

Complete (see report on page 45)

Engage in international discussions about peer review processes

Complete and ongoing; the ARC participated in a global summit on merit review held in the United States of America in May 2012 (see report on page 44)

Continue to simplify and standardise funding rules and agreements

Complete and ongoing; standardisation of funding rules is complete

Provide support to the ARIC Complete and ongoing; the ARC continued to support ARIC during 2011–12 (see report on page 89)

KEY OBJECTIVE 2: CAPACITY

Establish new initiatives to strengthen links between industry and the research community

Partially complete; funding rules for Linkage Projects 2013 were revised to support smaller projects while the new Industrial Transformation Research Program will focus on research programs with greater scale and focus (see report on page 62)

Conduct a selection round under the Special Research Initiatives scheme to establish an Aboriginal and Torres Strait Islander Researchers’ Network (ATSIRN)

Ongoing; the ARC selection round for ATSIRN was underway at 30 June 2012 (see report on page 65)

Conduct an initial assessment of the impact of changes to the Discovery Projects scheme and the introduction of the Discovery Early Career Researcher Award scheme

Complete (see report on page 47)

KEY OBJECTIVE 3: POLICY AND EVALUATION

Revise the ARC international strategy to reflect changes in the national and global environment

Complete; the revised ARC international strategy is available on the ARC website (see report on page 43)

Review the ERA 2010 process, taking into account feedback received through targeted and broad consultation, to inform ERA 2012

Complete; the ARC undertook a range of consultations to inform development of ERA 2012 (see report on page 77)

Commence ERA 2012 Complete; the ARC opened the ERA 2012 submission phase on 5 March 2012 (see report on page 79)

Use findings of the evaluation of the Linkage Projects scheme and developments in the global environment to inform the enhancement of ARC funding schemes

Complete; see text above on new initiatives to strengthen links between industry and the research community

CHAPTER 2: CALENDAR OF KEY ACTIVITIES AND ANNOUNCEMENTS

AT A GLANCEIn 2011–12 the ARC’s key activities included:> administering the funding schemes of the National Competitive Grants

Program (NCGP); and> starting a new Excellence in Research for Australia (ERA) evaluation.These activities were undertaken in the context of evolving national and international research environments.

201114 July—The ARC celebrated its first ten years as an independent statutory agency.29 July—The Australian Government released the Australian Innovation System Report 2011.19 August—The then Minister for Innovation, Industry, Science and Research, Senator the Hon Kim Carr, announced 17 new Australian Laureate Fellowships for funding commencing in 2011.09 September—The ARC announced Elsevier’s SciVerse Scopus as the ERA 2012 citation information provider.20 September—The new ARC Enterprise Agreement 2011-2014 commenced.30 September—The Australian Government released its 2011 Strategic Roadmap for Australian Research Infrastructure.04 October—The Royal Swedish Academy of Science announced the award of the Nobel Prize in Physics to Australian Laureate Fellow Professor Brian Schmidt, jointly with Professors Saul Perlmutter and Adam Riess from the United States of America (USA).12 October—The Australian Research Council Strategic Plan 2011–12 to 2013–14 was tabled in Parliament.

24 October—The ARC announced the appointment of the ERA 2012 Research Evaluation Committee Chairs.01 November—The then Minister announced $310 million in funding for research projects commencing in 2012 at the major grants announcement.14 November—The then Minister announced 277 new Discovery Early Career Researcher Awards for funding commencing in 2012 and 203 new Future Fellowships for funding commencing in 2011.06 December—The then Minister announced that Professor Sheil would step down as Chief Executive Officer (CEO) in April 2012 to take up a position as Provost of The University of Melbourne.09 December—The Prime Minister announced the new Industrial Transformation Research Program, a $236 million package designed to help Australian industries become more competitive and create new job opportunities.12 December—The Prime Minister announced the appointment of Senator the Hon Chris Evans as Minister for Tertiary Education, Skills, Science and Research (the Minister responsible for the ARC).

201220 January—The Prime Minister announced revised arrangements for the Prime Ministers’ Science, Engineering and Innovation Council to enhance its capacity to provide timely scientific advice in areas of strategic importance.05 March—The ERA submission stage opened.30 March—The Minister announced an extension of funding for Nobel Laureate Professor Brian Schmidt’s Australian Laureate Fellowship.18 April—The ARC awarded the ARC Centre of Excellence for Policing and Security a one-year funding extension.29 April—Professor Margaret Sheil stepped down as CEO and Executive General Manager, Ms Leanne Harvey, commenced as Acting CEO.08 May—The Australian Government released its budget for 2012–13, including almost $9 billion for science, research and innovation.15–16 May—A representative of the ARC attended the global summit on merit review in the USA.

23 May—Australia’s Chief Scientist, Professor Ian Chubb, launched The Health of Australian Science report. The report provides a comprehensive overview of Australia’s science system.28 May—The Minister announced that Professor Aidan Byrne would be the next ARC CEO. At the time of this announcement, Professor Byrne was the Dean of Science at The Australian National University (ANU) and the Director of the ANU College of Physical and Mathematical Science.22 June—The Minister announced a $30 million investment in the Australian Synchrotron through the ARC ($25 million) and the National Health and Medical Research Council (NHMRC) ($5 million).26 June—The Minister announced $10 million for research in areas vital to Australia’s future under the Linkage Learned Academies Special Projects scheme.30 June—The Minister announced $58.4 million for 185 new research projects commencing under Linkage Projects Round 2 (for funding commencing in 2012).

STRATEGIC CONTEXTAustralian Government expenditure on science, research and innovationThe estimated total Australian Government expenditure on science, research and innovation amounted to $9.4 billion in 2011–12 (Australian Government 2011–12 Science, Research and Innovation Budget tables).

Australian Government policyThe Australian Government’s policy agenda for science and innovation is articulated in Powering Ideas: An Innovation Agenda for the 21st Century which was released in 2009. The ARC’s activities are directly aligned with the National Innovation Priorities identified in that document.

Reports released in 2011–12

Health of Australian Science (Chief Scientist, May 2012)The report concluded that evidence suggests that Australian science is generally in good health with:> a growth in science enrolments; and> researchers producing more per capita than researchers in most other nations with impacts

at or above world standard in most discipline areas.

Australian Innovation System Report  2011 (Department of Innovation, Industry, Science and Research (DIISR), July 2011)This is the second of a series of annual reports on the performance of Australia’s national innovation system.

Reviews undertaken in 2011–12

Australia in the Asian CenturyThe Australian Government commissioned a White Paper on Australia in the Asian Century to consider the likely economic and strategic changes in the region and what more can be done to position Australia to engage productively. A whole-of-government task force was established to prepare the document in the Department of the Prime Minister and Cabinet.

Strategic review of health and medical research in AustraliaThe Strategic Review of Health and Medical Research in Australia was established by the Australian Government in late 2011. The review is to report by the end of 2012 and recommend a 10-year strategic health and medical research plan for the nation.

Prime Minister’s Taskforce on Manufacturing The Prime Minister’s Taskforce on Manufacturing was appointed by the Prime Minister and government to report on what can be done to support jobs and a future for manufacturing in Australia. The taskforce is drawn from representatives from industry, unions, government and the R&D community.

Focusing Australia’s Publicly Funded Research The final report of this review—Maximising the Innovation Dividend: Review, Key Findings and Future Directions—was released on 3 November 2011. It recommended:> establishment of the Australian Research Committee;> refreshment of the national research priorities;> conduct of a feasibility study on research impact assessment; and> encouraging collaboration between universities and the end-users of research.

Sustainable Research ExcellenceIn 2011 the then DIISR undertook a consultation process with the higher education sector to incorporate an Excellence Index into the funding methodology for the Sustainable Research Excellence (SRE) program. The Excellence Index, derived from the results of the ERA evaluations conducted by the ARC, was incorporated into the SRE funding methodology for 2012 and 2013.

International reports released in 2011–12The Competitiveness and Innovative Capacity of the United States (United States Department of Commerce, January 2012)Innovation and Research Strategy for Growth (United Kingdom Department for Business Innovation and Skills, December 2011)

Challenges facing the higher education sector> Funding pressures due to international revenue decline> The generation change in the research sector and the need to provide appropriate support

for future researchers> The escalating cost of world-class research infrastructure> The attraction and retention of Australian

and international students

CHAPTER 3: THE AUSTRALIAN RESEARCH COUNCIL

AT A GLANCEThe ARC is a statutory agency within the Australian Government’s Industry, Innovation, Science, Research and Tertiary Education portfolio.The ARC’s main responsibilities are:> evaluating the quality of research in universities under Excellence in

Research for Australia (ERA);> providing funding for research through the competitive funding

schemes of the National Competitive Grants Program (NCGP);> providing policy advice on research matters to the Minister; and> together with the National Health and Medical Research Council

(NHMRC), administering the Australian Research Integrity Committee (ARIC).

AUTHORITYThe ARC is established under the Australian Research Council Act 2001 (ARC Act). At 30 June 2012 the Acting Chief Executive Officer (CEO) reported to Senator the Hon Chris Evans, Minister for Tertiary Education, Skills, Science and Research.

FUNCTIONS AND ROLEFunctionsThe ARC’s primary functions, as specified by the ARC Act, are to make recommendations regarding the funding of research programs, to administer funding to support research programs, and to provide policy advice related to research.

RoleSpecifically, the ARC:> administers ERA;> administers the NCGP;> provides advice on research policy issues; and> together with the NHMRC, manages ARIC.ERA assesses research quality at Australian universities by discipline. Committees of internationally-recognised researchers undertake the evaluations based upon a range of metrics and peer review processes. The NCGP comprises a number of funding schemes organised under two programs—Discovery and Linkage (see Appendix 2). In broad terms Discovery is aimed at supporting fundamental research by teams and individuals, and Linkage is aimed at developing partnerships. Funding is awarded on the basis of a competitive peer review process.The ARIC provides a review system of institutional processes to respond to allegations of research misconduct. This system ensures institutions investigate such allegations and observe proper process in doing so. The ARIC contributes to quality assurance and public confidence regarding the integrity of Australia’s research effort. ARIC has been in operation since February 2011.

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

KEY OBJECTIVESKey Objective 1: ResearchTo support excellence in research—through funding for research and research training allocated through national competition across all disciplines supported by rigorous peer review processes.

Key Objective 2: CapacityTo build Australia’s research capacity—through support for the training and careers of researchers; critical research infrastructure and research in areas of national need.

Key Objective 3: Policy and evaluationTo provide informed high quality policy advice to government and enhance research outcomes through effective evaluation—through participation in policy forums and government reviews,

informed stakeholder consultations, evaluation and ongoing monitoring of performance.

ENABLING OBJECTIVESEnabling Objective 1: OrganisationTo continue to improve organisational performance—by ensuring the ARC has a strong governance framework supported by effective systems and processes to enable staff to deliver against the ARC’s objectives.

Enabling Objective 2: CommunicationTo be a key advocate for the benefits of Australia’s research efforts and maintain productive relationships with stakeholders—through support for promotion and engagement activities aimed at communicating widely the role of the ARC and the outcomes of ARC-funded research.International collaboration and internationalisation are cross-cutting themes which underpin the ARC’s activities in these areas.

GUIDING PRINCIPLESThe ARC is guided by a strong commitment to the following principles:> Excellence in achieving our mission through program and organisational objectives;> Engagement with government, universities, research agencies, business and the wider

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

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

transparent, efficient and effective processes.The ARC is committed to the Australian Public Service (APS) Code of Conduct and the APS values.ARC-funded research is subject to the principles outlined in the:> Australian Code for the Responsible Conduct of Research, 2007;> National Statement on Ethical Conduct in Human Research, 2007;> Australian Code of Practice for the Care and Use of Animals for Scientific Purposes, 2004; and> National Principles of Intellectual Property Management for Publicly Funded Research, 2001.The ARC and the NHMRC jointly administer the ARIC which provides a system to review institutional processes to respond to allegations of research misconduct.

The ARC is shaping Australia’s global future by supporting an innovative economy and society through the strategic management of research funding, evaluation of research excellence and advice on research policy.Source: ARC Strategic Plan 2011–12 to 2013–14

BUDGETThe ARC’s total annual appropriated resources for 2011–12 were $833.3 million. This comprised:> $811.3 million for the administered appropriation ($808.8 million special appropriation for

the NCGP and $2.5 million for annual administered appropriation); and > $22.0 million for the departmental appropriation ($18.8 million for operating expenses,

$1.7 million for the Departmental Capital Budget, and $1.5 million for an equity injection).Part 4 provides further information on the ARC’s financial performance in 2011–12.

Figure 3.1: ARC total appropriated resources, 2011–12

ORGANISATIONAL STRUCTUREFigure 3.2 shows the ARC’s organisational structure as at 30 June 2012.

Figure 3.2: Structure of the ARC

* The Executive Directors are respected researchers in their fields and play a unique role within the agency. They are contracted, usually for between three and five years, to oversee the assessment of funding proposals through a peer review process; liaise and communicate with the research community and users of research; and identify emerging disciplinary and cross-disciplinary developments and innovative approaches to research.

SENIOR STAFFAt 30 June 2012, the ARC had six senior staff including the Acting CEO. In addition, the appointments of the new CEO, Professor Aidan Byrne, and Executive Director, Biological Sciences and Biotechnology, Dr Fiona Cameron, had been announced—effective 23 July 2012 and 9 July 2012 respectively.

Chief Executive OfficerMs Leanne Harvey (Acting)The CEO of the ARC has responsibilities under the ARC Act as well as responsibilities with regard to the daily corporate and governance functions of the agency.

Executive General ManagerMs Lesley Nelson (Acting)The Executive General Manager is responsible for the Research Excellence and Corporate Services branches within the agency. The Research Excellence Branch has responsibility for implementation of Excellence in Research for Australia while the Corporate Services Branch includes Finance, Parliamentary, People and Services and Stakeholder Relations.

Executive Director, Physical, Mathematical and Information SciencesProfessor Richard ColemanDuring 2011–12 Professor Coleman was responsible for the Future Fellowships, Australian Laureate Fellowships, Super Science Fellowships and Linkage Infrastructure, Equipment and Facilities schemes as well as Physical, Mathematical and Information Sciences discipline issues across all NCGP schemes.

Executive Director, Social, Behavioural and Economic SciencesProfessor Marian SimmsDuring 2011–12 Professor Simms was responsible for the Discovery Projects and Discovery Early Career Researcher Award schemes as well as Social, Behavioural and Economic Sciences discipline issues across all NCGP schemes.

Branch Manager, Strategy and ProgramsDr Mary KellyThe Branch Manager, Strategy and Programs, is responsible for Policy Coordination and Governance, Program Evaluation and Reporting, Program Partnerships, and Program Operations. She is also Head, Internal Audit.

Chief Information OfficerMr Tony AndersenThe Chief Information Officer is responsible for the ICT Services Branch of the ARC, including ICT Development and ICT Operations.

PERFORMANCE FRAMEWORK The ARC’s performance framework comprises two main elements:> the Portfolio Budget Statements (PBS); and> the ARC strategic plan.

Portfolio Budget StatementsUnder the annual report requirements, the ARC is required to report against the outcome and program structure in the PBS, in particular to outline how the agency is performing in relation to the deliverables and key performance indicators (KPIs).The ARC’s outcome and programs structure, as set out in the 2011–12 PBS, comprises one outcome and three programs: > Outcome 1: Growth of knowledge and innovation through managing research funding

schemes, measuring research excellence and providing advice;> Program 1.1: Discovery—research and research training;> Program 1.2: Linkage—cross-sector research partnerships; and> Program 1.3: Excellence in Research for Australia.

Changes in 2011–12While the overall outcome and programs structure remained unchanged from 2010–11, the deliverables and KPIs for all three programs were revised to ensure direct alignment with the ARC strategic plan.

Strategic planUnder the ARC Act, the CEO must prepare a strategic plan at least once a year and give it to the Minister for approval. The plan must be in writing, cover a period of at least three years and:> set out the goals, priorities, policies and strategies to be adopted by the CEO in performing

her or his functions; > set out performance indicators for the assessment of the CEO’s performance of her or his

functions; and> deal with any other matters that the Minister, by notice in writing to the CEO, requires to be

dealt with in the plan.The ARC annual report must include an assessment of the CEO’s performance of her or his functions during that year using the performance indicators identified in the strategic plan.

Changes in 2011–12 The ARC Strategic Plan 2011–12 to 2013–14 identifies three key objectives and two enabling objectives. It sets out the KPIs (nine in total) which are used to assess the agency’s performance in achieving its objectives.In 2011-12 the performance indicators in the plan were revised to ensure alignment with the PBS and details of the associated measures were provided. Appendix 1 of this report provides a table mapping the indicators in the ARC strategic plan to those in the 2011-12 PBS.

This reportFigure 3.3 illustrates the relationship between the elements of the 2011-12 PBS and strategic plan.The report on performance in Part 2 is based on the outcome and programs structure of the PBS. The ARC pursues the three key objectives outlined in the ARC Strategic Plan 2011–12 to 2013–14 through implementation of the three programs.

Figure 3.3: ARC performance framework

SOURCE COMPONENTS OF PERFORMANCE FRAMEWORK THIS REPORT

PBS / PLAN OUTCOME 1 MISSION CHAPTER(S)

Growth of knowledge and innovation through managing

research funding schemes, measuring research excellence

and providing advice

To deliver policy and programs that advance Australian research and innovation globally and benefit the

community

4

PLAN KEY OBJECTIVES CHAPTER(S)

1. Research2. Capacity

3. Policy and evaluation

5–7(includes report on KPIs mapped to KPIs in PBS)

PBS PROGRAMS CHAPTERS

1.1 Discovery 1.2 Linkage 1.3 Excellence in Research for

Australia

5–7

ObjectivesDeliverables

KPIs

ObjectivesDeliverables

KPIs

ObjectivesDeliverables

KPIs

PLAN ENABLING OBJECTIVES CHAPTER(S)

1. Organisation 8–12

2. Communication 13

PART 2PERFORMANCE

CHAPTER 4: OUTCOMECHAPTER 5: PROGRAM 1.1 DISCOVERYCHAPTER 6: PROGRAM 1.2 LINKAGECHAPTER 7: PROGRAM 1.3 EXCELLENCE IN RESEARCH FOR

AUSTRALIA

CHAPTER 4: OUTCOME

AT A GLANCEThe case studies provided in this chapter are examples of progress made during 2011–12 towards the ARC’s outcome and mission.Under the Australian Government’s Portfolio budget statements 2011-12 Innovation, Industry, Science and Research Portfolio, the ARC’s outcome is:

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

The mission articulated in the ARC Strategic Plan 2011–12 to 2013–14 is:

To deliver policy and programs that advance Australian research and innovation globally and benefit the community.

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DISCOVERING PATRICK WHITE’S LOST NOVELThe publication of Patrick White’s novel The Hanging Garden by Random House Australia in April 2012 was made possible by the work of researchers at The University of Sydney who transcribed the work from manuscript in the National Library of Australia (NLA).The 45,000 word ‘finished’ book, set in Sydney during WWII, represents about one third of what White intended to write. “We can conjecture that he meant to bring it up to the 1980s due to some notes in the margins at the end of the manuscript, but there’s nothing in the letters or anywhere else to suggest a final shape or trajectory for the completed book,” Professor Margaret Harris told ABC Radio National.The manuscript was part of a collection, acquired by the NLA in 2006, of papers of the late Patrick White (1912–1990), the only Australian to be awarded the Nobel Prize for Literature. The Hanging Garden was transcribed as part of a project funded under the Discovery Projects scheme, ‘Patrick White in the 21st Century’, led by Professor Harris and her colleague Emeritus Professor Elizabeth Webby. The initial transcription was carried out by Jennifer Moore, research assistant on the project, with the help of Dr Olivia Murphy. White’s biographer, David Marr, and Professor Harris completed the edit, with advice from White’s friend and literary executor, Barbara Mobbs. The manuscript collection includes 10 working notebooks, which reveal new insights into White’s working methods. The research team has transcribed the contents of these notebooks, and is also developing explanatory annotations to be displayed on the project website alongside scanned images of the notebook pages.Professor Harris has built her academic career on research involving the unpublished work of great writers, including George Eliot and Christina Stead, while Professor Webby is an expert in Australian literature.

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ICT ADOPTION IN ABORIGINAL HOUSEHOLDSAccording to 2006 census data, Aboriginal households are 69 per cent less likely to access the internet than the rest of the Australian population. To address this, Dr Peter Radoll has studied the factors affecting information and communications technology (ICT) adoption in Indigenous Australian households.Dr Radoll’s findings show that previous diffusion methods for ICT have been ineffective in the Australian Indigenous context. He has identified education and workplace usage as key drivers to household adoption of ICT and has developed a new model for ICT take up in remote, rural and urban Aboriginal communities. Dr Radoll’s work has attracted interest from policy makers, including at the Department of Broadband, Communication and the Digital Economy where he presented his findings.Dr Radoll received funding for his research under the Discovery Indigenous Researchers Development scheme from 2009 to 2010. He was awarded his PhD in 2011 from The Australian National University and was named 2012 Scholar of the Year by the ACT National Aborigines and Islanders Day Observance Committee. Dr Radoll is from the Anaiwan people of the northern tablelands of New South Wales.

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DIAMONDS ARE NOT FOREVERA research team at the Macquarie University Photonics Research Centre, led by ARC Future Fellow Professor Richard Mildren, has discovered that the surface of a diamond begins to slowly evaporate when exposed to intense light pulses in the UV-C band (the harsh ultraviolet rays filtered out by the ozone layer). This new discovery could lead to new processes to create diamond devices with greatly increased precision and resolution. The usual method used to machine diamonds is laser

ablation, which burns atoms from the surface but leaves behind an uneven and graphite-contaminated surface. “It’s a very practical discovery and we are now looking at how we can exploit this,” Professor Mildren said. “If we can make structures in the diamonds that enable us to control the position of the light within a very narrow filament in the diamond, that’s the first step to making smaller and more efficient optical devices such as those used in quantum computing and high performance lasers.”A story about the discovery appeared in the 15 July 2011 edition of Nature.

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GENERATING NEW POLICIES: GENDER INEQUITY IN ARCHITECTURAL PRACTICE The number of men and women graduating from architecture at Australian universities is roughly the same, but over the following years the percentage of women continuing to pursue a career in architecture drops steadily.Dr Naomi Stead from The University of Queensland is leading a team of researchers examining why women leave the industry and what can be done to improve the gender imbalance in architectural practice. Their project, ‘Equity and diversity in the Australian architecture profession: women, work and leadership’, was funded under the ARC Linkage Projects scheme in 2010 and has a mixture of funding partners across the architectural industry.In March 2012, the team launched a website, Parlour: Women, Architecture, Equity (www.archiparlour.org), to generate discussion on work/life balance and gender issues in the architectural industry. Edited by team member Justine Clark from The University of Melbourne, the site has generated an initial response suggesting that the research is resonating within the industry, with more than 17,000 unique browsers visiting the site in its first three months. The site has developed an enthusiastic comments culture and has already received international attention, with suggestions that it sets the example for other countries to start conversations about working conditions, gender imbalance in architecture and how to manifest change.One of the key outcomes will be a draft national policy on equity and diversity for the peak professional body, the Australian Institute of Architects, which is a partner organisation on the project.

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CROP ROOT STUDY TO BOOST AUSTRALIAN GRAIN PRODUCTIONThe findings of an ARC-funded research project led by Winthrop Professors Zed Rengel and Kadambot Siddique could help mitigate the threat of poor local soils, harsh growing conditions and declining, less-predictable rainfall currently facing Australian grain producers.Using new screening techniques and advanced computer modelling, Professors Rengel and Siddique identified a high level of genetic variability in lupin root systems. Professor Rengel said that “our findings may be used in breeding new varieties of lupins with modified root system and function that may produce higher yields in soils with relatively limited water and nutrient resources.”“Traditional crop root systems are poorly suited to the harsh environmental conditions of Australian agriculture,” says Professor Siddique, “their inefficient use of water and fertilisers not only reduce yields but also increases salinity and algal blooms in waterways due to excessive nutrient run-off,” he explained.This research paves the way for similar research in wheat and barley, and could help maintain the domestic viability and capacity of grain production in Australia. Additionally, it could contribute to addressing the challenges to international food security brought about by the onset of increasing drought and climate change.The study was conducted at The University of Western Australia, in collaboration with the Western Australian Department of Agriculture and Food, Tasmanian Institute of Agricultural Research and US Pennsylvania State University. It was funded by an ARC Discovery Project

grant from 2009 to 2011.

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LASER BEAM REVEALS GOLD ORIGINThe origins of the largest and deepest gold deposit in the world, which has produced more than 40,000 tonnes of gold for the South African economy, has polarized geologists for more than a century, until now. Using a new analytical technique developed at CODES, the ARC Centre of Excellence in Ore Deposits based at the University of Tasmania, a team of researchers led by Professor Ross Large has been able to determine the origins of this impressive reef of gold, with surprising results. Traditionally, the debate on the origins of this gold reef has mainly been between the ‘placerists’ and ‘hydrothermalists’. Placerists believe that the concentration of gold formed in conglomerates about three billion years ago, whereas hydrothermalists propose that the reef was hit by a pulse of gold-rich fluids, leading to its current accumulation.Unexpectedly, the analytical technique used by the CODES team found that both theoretical camps were correct. By scanning a very narrow laser beam across the gold and associated minerals, the team were able to establish key scientific data, including trace elements and the timing of the input of the gold, which led to the finding that both major geological events combined to produce the current volume of gold.Professor Large noted that it was pleasing to show both lines of previous research as correct, as it is a rarity to have major research outcomes reconciling two competing theories.

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ACCESS TO AUSTRALIA’S MOST POWERFUL COMPUTERFunding awarded under the ARC Linkage Infrastructure, Equipment and Facilities (LIEF) scheme will ensure that leading researchers can access Australia’s most powerful computer.The National Computational Infrastructure (NCI) at The Australian National University has entered into a collaborative arrangement with Fujitsu to build and install a 1.2 Petaflop supercomputer that is capable of performing 170,000 calculations per second and possesses the computing power, memory and storage of about 30,000 dual-processor computers working in tandem. Funding to upgrade the NCI national facility to petascale capability is being provided through the Department of Industry, Innovation, Science, Research and Tertiary Education under the Super Science Initiative.NCI Director Professor Lindsay Botten said that “this state-of-the-art facility will support Australia through an internationally-competitive capability which raises Australia’s position in high-impact research and innovation. Research in climate modelling, advanced materials, astronomy and medicine is critically dependent on high performance computational modelling and data analysis, and researchers in these areas are among the outstanding teams poised to benefit from the new facility.”The ARC is providing $3.7 million under the LIEF scheme to facilitate merit-based access to the facility for researchers from six of Australia’s leading research universities.

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BIODIVERSITY MANAGEMENT AND NATIVE BIRDLIFEResearchers have found strong evidence that native revegetation programs on farms in southern Australia result in noticeable improvements in native woodland bird populations. In the area studied, up to 25 per cent of woodland birds returned after about eight years of landscape restoration efforts.In the five year study, researchers at the ARC Centre of Excellence for Environmental Decisions (CEED) found an unequivocal return on the investment made by Australian taxpayers in revegetation on farms in terms of birdlife returning to agricultural landscapes.

CEED Director, Professor David Lindenmayer and his team studied bird populations at over a hundred sites in the Murray Catchment Management Authority region, covering large distances on foot (and being chased by bulls) year after year.Encouragingly, they found a progressive improvement in both the number and diversity of woodland birds (such as the speckled warbler, chestnut-rumped thornbill, the crested shrike-tit and the tiny 8cm weebill) as native trees and shrubs recovered.“We now have a body of evidence for what we should be doing to look after large parts of Australia,” said Professor Lindenmayer. “With the right sort of revegetation plan, you can be confident that many native species will recover.”The Murray Catchment Management Authority and Caring for Our Country contributed funding to the project.

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SOCIAL MEDIA IN CRISIS COMMUNICATIONA recent report released by the ARC Centre of Excellence for Creative Industries and Innovation (CCI) has highlighted the potential role of social media networks to effectively transform crisis communication and strategy.Investigating the role of Twitter during the 2011 south-east Queensland floods, CCI conducted a detailed qualitative analysis of both the overall patterns of Twitter activity with the #qldfloods hashtag and the conversations surrounding major contributor @QPSMedia (the Twitter account of the Queensland Police Service). The analysis revealed that Twitter effectively adopted the traditional role of broadcast style emergency communication, and extended this role to find and amplify emergency information, increasing the visibility of the Queensland floods in the social media landscape. Twitter was also an effective medium for error correction and rumour management; utilising the popular #mythbusters hashtag, emergency services were able to promptly address rumours circulating during the floods.CCI found that Twitter was also central to the process of sense-making and collective memory negotiation, enabling affected locals and more distant onlookers to come to terms with events, even as they were unfolding.The report made several recommendations to the media and emergency services aimed at further realising the potential of social media in crisis communication. The CCI team stressed the potential of social media to facilitate communication between key media organisations and civic authorities and the use of social media platforms to help develop more comprehensive crisis communication infrastructure in Queensland. The report is available at http://cci.edu.au/floodsreport.pdf.

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BIOFUEL PROJECT DISCOVERS INDIGENOUS PARTNERSA team of researchers from the ARC Centre of Excellence for Integrative Legume Research (CILR) at The University of Queensland have discovered an exciting alternative biofuel source, the legume tree Pongamia pinnata, preparing Australia for a cleaner, greener future. Working in conjunction with Cape York’s traditional land owners and partners, the team, led by Director of the CILR Professor Peter Gresshoff, has undertaken a project that will lead to the planting of more than 3000 hectares of Pongamia at Hope Vale in north Queensland. The seeds from the Pongamia, a native species, are an ideal choice for biofuel production as they are naturally rich in oil and the tree is tolerant to drought and salinity. Additionally, as legumes the trees require minimal nitrogen fertiliser, grow fast and do not compete for prime agricultural land, making them a sustainable solution for alleviating the environmental ramifications caused by the increasing demands for biofuels by the automotive, aviation, mining and energy industries in Australia. Researchers estimate that in due course the harvested Pongamia seeds from the Hopevale plantation could yield 10–15 million litres of biofuel, making a small, but significant contribution to Australia’s diesel demand, currently estimated at 20 billion litres a year. Furthermore, the CILR research team is confident that the adaptability of Pongamia could make it an attractive crop for biofuel production internationally, extending the benefits beyond the domestic biofuel

industry.

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TIMING OF SLEEP CRUCIAL TO CHILDHOOD HEALTHBuilding on the established connection between less sleep and poor health, a research study underpinning a 2011 ARC Linkage Projects grant has shown that an early night’s sleep may be a key factor in reducing obesity and improving fitness among teenagers.Researchers at the University of South Australia examined the bedtimes and waking times of more than 2000 Australians aged between nine and 16 years comparing their activity in their free time and their weight. Results indicated that even with equal amounts of sleep, teens that went to bed early and woke early were more likely to be slimmer and more active than their counterparts. Dr Carol Maher, recipient of an ARC Australian Postdoctoral Fellowship under the Discovery Projects scheme and co-author of the study, said that “Kids who went to bed late and got up late were 1.5 times more likely to become obese and 2.9 times more likely to be physically inactive.” The study revealed that young people that went to sleep late often spent a greater proportion of time engaged in sedentary or screen-based activities. More broadly, late sleepers replaced 30 minutes of moderate to vigorous activity undertaken by habitually early risers with 30 minutes of sedentary activities such as computer-based activities or watching TV. In examining the relationships between health and habits, Dr Maher and her team hope to support education around teenage health and potentially identify trends that can be modified to improve the health and well-being of young people.

Excellence in Research for Australia

ALIGNING RESEARCH STRENGTHS WITH STRATEGIC PRIORITIESExcellence in Research for Australia (ERA) outcomes locate specific areas of research strength, identify opportunities to develop research capacity and allow for comparisons of research effort over time. These features make ERA data an ideal tool for aligning research strengths with institutional, regional and national priorities to maximise the benefits of public investment in research.Universities are using ERA data to develop research strengths in areas of strategic priority, including aligning research capacity with undergraduate teaching profile, research training load, opportunities for cross disciplinary research, and the interests of local communities and industry stakeholders.In the 2009–10 Federal Budget the Australian Government announced a reform package for the higher education sector that included mission-based compacts with Australian universities. ERA results and targets were included in the 2011-13 mission-based compacts negotiated between the Australian Government and Australian universities in 2011, and will be included in the 2014-16 Compacts.As well as ERA performance targets, Compacts include information about how universities plan to use ERA results to shape research strategy into the future. This includes information on strategies to:> Build areas performing at world standard as evaluated by ERA;> Improve performance in areas which did not perform at world standard as evaluated by ERA,

or alternatively, discontinue research activity in relevant areas; and> Develop research capacity in areas of strategic importance with reference to current

teaching and/or research activity.ERA results are critical to the Compacts framework – a framework that enables universities to pursue their distinctive missions and strategic goals while contributing to the Australian Government’s national objectives for higher education, research, research training and innovation.

Policy Advice

FACILITATING INTERNATIONAL MOBILITYIn 2009 the Australian Government announced that ARC fellowships and awards would be opened to excellent researchers overseas—as a means of helping Australia grow and maintain a skilled and talented research workforce.In 2011–12 the ARC reported the following:> The new Discovery Early Career Researcher Award scheme had attracted 109 promising

early career researchers to Australian shores in 2012—including citizens of 30 countries and Australians returning from six countries. These 109 researchers represented 40 per cent of the Awards announced under the first selection round.

> The Future Fellowships scheme had helped attract 107 bright mid-career researchers to Australia since 2009. This includes international researchers and returning Australians.

> Ten of Australia’s most prestigious fellowships, the Australian Laureate Fellowships, had been awarded to leading international researchers since 2009 to help them relocate or return to Australia. Further contributing to our research capacity, these research leaders are also using their fellowship to build international research teams within our universities.

> Since 2009, the ARC had received funding proposals under its fellowship schemes from researchers from 49 countries across Asia, Europe, the Middle East, Africa and the Americas.

At their March 2012 meeting the ARC Advisory Council discussed the importance of attracting research talent from across the globe to help Australia address national issues such as industry transformation, and global issues such as climate change.

CHAPTER 5: PROGRAM 1.1 DISCOVERY

AT A GLANCEThe Discovery Program supports high quality research projects led by individuals and teams, and provides opportunities to develop and support the careers of talented researchers at all career stages.The ARC conducted selection rounds for funding commencing in 2011–12 under the following funding schemes of the Discovery Program:> Australian Laureate Fellowships; > Discovery Early Career Researcher Award;> Discovery Indigenous;> Discovery Projects;> Future Fellowships; and> Super Science Fellowships.The ARC received 6575 proposals for funding under the Discovery Program commencing in 2011–12 of which 1306 were funded.Through the program the ARC supported excellent research (including research in priority areas) and excellent researchers as well as the development of research partnerships.All of the performance targets for 2011–12 were met (Table 5.3).

GUIDE TO THE REPORTThis chapter provides a report against the ARC performance framework outlined in the Portfolio Budget Statements (PBS) 2011-12 and the ARC Strategic Plan 2011–12 to 2013–14. It includes a report on:> program deliverables;> priority actions in the ARC strategic plan; > performance against the program objectives; and> performance against the program key performance indicators (Table 5.3).The deliverables and key performance indicators were revised in 2011–12 to align with the ARC strategic plan.The ARC pursues the key objectives set out in the ARC Strategic Plan 2011–12 to 2013–14 through implementation of the Discovery Program. In reporting against the program performance framework, we are also articulating our performance against the following key objectives from the strategic plan:> Research—To support excellence in research;> Capacity—To build Australia’s research capacity; and> Policy and evaluation—To provide informed high quality policy advice to government and

enhance research outcomes through effective evaluation.Performance data in this chapter relates to new funding commencing in 2011–12 unless otherwise stated. The performance report is supported by further information provided in Appendices 2, 3 and 4.

Table 5.1: Discovery Program performance framework

Outcome (PBS) Mission (ARC strategic plan)

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

Deliver policy and programs that advance Australian research and innovation globally and benefit the community

Key objectives

Research—To support excellence in researchCapacity—To build Australia’s research capacityPolicy and evaluation—To provide informed high quality policy advice to government and enhance

research outcomes through effective evaluation

Program 1.1—Discovery

Objectives

The Discovery Program is aimed at supporting the growth of Australia’s research capacity, resulting in advances in knowledge, the development of new technologies, products and ideas, the creation of jobs, economic growth and an enhanced quality of life in Australia. Specifically the Discovery Program aims to:support excellent fundamental research by individuals and teamssupport the development of young researchers as well as the ongoing careers of individuals and

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

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

2010–11 2011–12

Deliverables

Number of grantsNumber of administering organisationsAmount awarded

Number of grantsNumber of researchers supportedAmount awardedCommunication activitiesPolicy advice

Key performance indicators

Research careersResearch collaborationAreas of national priority

Outputs and outcomesCollaborationResearch trainingAreas of national priority

Policy advice

DELIVERABLESTable 5.2: Discovery Program deliverables

DELIVERABLE RESULT

2009–10 2010–11 2011–12

Number of grants awarded 1149 1205 1306

Number of researchers supported (investigators named in funded proposals)*

n/a n/a 2537

Funding awarded to administering organisations ($’000) $516 435 $513 430 $547 343

Communications activities that foster stakeholder and community awareness of the role of the ARC and benefits of ARC support for research and research training*

n/a n/a Achieved

Policy advice relating to research and research training* n/a n/a Achieved

*These deliverables were not measured in previous years.

Grants awardedThe number of grants awarded under the Discovery Program increased in 2011–12 due to the establishment of a separate scheme to support early career researchers, the Discovery Early Career Researcher Award scheme. Previously, support for early career researchers was provided as part of the Discovery Projects scheme (through Australian Postdoctoral Fellowships and early career researcher only proposals).

Researchers supportedNew projects with funding commencing in 2011–12 under the Discovery Program involve 2537 researchers. Investigators named in funded proposals include chief investigators, fellows and awardees, and partner investigators.Totals do not include Super Science Fellows, who are recruited by the chief investigators subsequent to the award of funding; the postdoctoral and postgraduate researchers recruited to support Australian Laureate Fellows; and other unnamed project personnel and postgraduate students.

Funding awardedThe funding awarded to administering organisations under the Discovery Program increased in 2011–12 to $547.3 million. The increase was primarily due to the establishment of the Discovery Early Career Researcher Award scheme and the subsequent increased number of grants. There were also increases in funding provided under the Australian Laureate Fellowships scheme, to accommodate the additional two fellowships for women, and the Discovery Indigenous scheme, where the average grant size increased in comparison to previous years.

Communication activitiesCommunication activities that foster stakeholder and community awareness of the role of the ARC and benefits of ARC activities in supporting research and research training are identified as deliverables in the 2011-12 PBS.Communication activities undertaken by the ARC include funding announcement events (such as the Australian Laureate Fellowships announcement pictured on page 43), media releases and interviews and management of the ARC website. Further details are provided in Chapter

13.

Policy adviceIn 2011–12, the ARC provided advice and engaged in discussions on a range of policy matters relevant to the Discovery Program. The ARC:> revised Funding Rules for Discovery Program schemes, including a new definition of medical

and dental research and revised eligibility requirements; > revised its international strategy;> participated in the inaugural Global Summit on Merit Review, hosted by the US National

Science Foundation;> provided input to the 2012 process to refresh the National Research Priorities, led by the

Department of Industry, Innovation, Science, Research and Tertiary Education;> participated in the Health of Australian Science Advisory Group; > made a submission to the Australia in the Asian Century White Paper focussing on the need

to build a strong research capacity to ensure that Australia is well equipped to engage with the growing economies in the region; and

> made a submission to Strategic Review of Health and Medical Research in Australia.

Strategic plan: priority action for 2011–12 Revise the ARC international strategyIn 2011–12 the ARC revised its international strategy to align it with the ARC strategic plan and take into account recent developments in the external environment. The revised strategy was published on the ARC website in May 2012. The ARC’s overarching aim in supporting international research collaboration is “To maximise Australia’s contribution to and benefits from international research collaborations, partnerships, developments and policy.”

Strategic plan priority action for 2011–12: Engage in international discussions about peer reviewOn 15 May 2012, participants at a two-day Global Summit on Merit Review, hosted by the US National Science Foundation, established a Global Research Council and released a set of merit review principles. Representatives of research councils from around 50 countries, including Australia, participated in the summit. Professor Andrew Wells represented the ARC at the meeting.The statement of merit review principles was developed with two primary objectives: to foster international cooperation between funding agencies that support the scientific research community, and for those countries that are developing new funding agencies, to provide a global consensus on the key elements necessary for a rigorous and transparent review system.

Merit review principles> Expert Assessment — Collectively, reviewers should have the appropriate knowledge and

expertise to assess the proposal both at the level of the broad context of the research field(s) to which it contributes and with respect to the specific objectives and methodology. Reviewers should be selected according to clear criteria.

> Transparency — Decisions must be based on clearly described rules, procedures and evaluation criteria that are published a priori. Applicants should receive appropriate feedback on the evaluation of their proposal.

> Impartiality — Proposals must be assessed fairly and on their merit. Conflicts of interest must be declared and managed according to defined, published processes.

> Appropriateness — The review process should be consistent with the nature of the call, with the research area addressed, and in proportion to the investment and complexity of the work.

> Confidentiality — All proposals, including related data, intellectual property and other

documents, must be treated in confidence by reviewers and organisations involved in the review process.

> Integrity and Ethical Consideration — Ethics and integrity are paramount to the review process.

OBJECTIVESObjective: Support excellent fundamental research by individuals and teamsThe funding schemes of the Discovery Program provide support for the highest quality research conducted at Australia’s higher education institutions and other eligible organisations. To ensure excellent research is funded, the ARC uses a rigorous assessment process involving academic peers. The academic impact of outputs arising from ARC-funded research is measured periodically through citation analysis.

Significant contributions in 2011–12> In 2011–12 the ARC continued to enhance peer review processes to ensure the best research

is funded. This included a greater emphasis on the assessments of specialised external reviewers; refocus of the role of the ARC College members as moderators; enhancement of processes and systems to improve the assessment of interdisciplinary proposals; and completion of the roll-out of the A-E ranking system across ARC funding schemes.

> Recipients of ARC funding are required to provide progress and final reports to the ARC on their research projects. These final reports give an indication of initial outputs and achievements of ARC-funded research projects. The case studies in Chapter 4 and on pages 54-57 of this chapter provide some examples of the high quality outcomes arising from research funded under the Discovery Program.

Strategic plan priority action for 2011–12: Enhance peer review through improved assessor assignment processesIn 2011–12 the ARC enhanced its capacity to match funding proposals to external assessors by improving systems capability; obtaining up-to-date data on the research expertise of assessors; designing processes to track assessor reliability; and providing feedback to assessors. The ARC is continuing to develop new approaches to assessor-proposal matching in 2012–13.

Objective: Support the development of young researchers as well as the ongoing careers of individuals and research teamsThe ARC provides support for researchers at all career stages through fellowships and awards administered under the Discovery Program including:> Discovery Early Career Researcher Awards;> Future Fellowships;> Australian Laureate Fellowships;> Discovery Indigenous Awards (under the Discovery Indigenous scheme); and> Discovery Outstanding Researcher Awards (under Discovery Projects).In addition the ARC:> has an assessment process that provides a flexible approach to the consideration of a

researcher’s capabilities and assists those who have had career interruptions, particularly for family-related reasons;

> provides funding for postgraduate stipends and salaries for research personnel, such as research assistants and associates and technical officers;

> provides funding to support postdoctoral and postgraduate researchers to work in teams with the world class researchers who have been awarded Australian Laureate Fellowships; and

> administers the Discovery Indigenous scheme to build research capacity of Aboriginal and Torres Strait Islander researchers.

Significant contributions in 2011–12> The ARC awarded funding for 578 new fellowships and awards commencing in 2011–12

under the Discovery Program, up from 464 in 2010–11.> The ARC established the Discovery Early Career Researcher Award scheme to provide more

opportunities for promising early career researchers in teaching and research and research-only positions. There was a very high demand for funding in the first Discovery Early Career Researcher Award selection round, with 2159 proposals considered, of which 277 were approved for funding.

> In the Australian Laureate Fellowships selection round for funding commencing in 2011, two fellowships specifically allocated for outstanding female researchers were awarded for the first time. Professor Mahananda Dasgupta was awarded the inaugural Georgina Sweet Fellowship for women in science and technology and Professor Norris was awarded the inaugural Kathleen Fitzpatrick Fellowship for women in the humanities and social sciences.

> Under the Australian Laureate Fellowships scheme funding is available to support postgraduate and postdoctoral researchers who will work within teams under the mentorship of the world-class researchers who are awarded Australian Laureate Fellowships. In the selection round for funding commencing in 2011, $16.8 million in funding was provided for 34 postgraduate and 33 postdoctoral researchers to work with the 17 Fellows.

> In the Discovery Indigenous selection round for funding commencing in 2012, there was a small increase in demand compared with the Discovery Indigenous Researcher Development selection round for funding commencing in 2011. This is consistent with the broader eligibility guidelines under the new scheme. Ten successful proposals were awarded a total of $3.9 million.

> The Discovery Indigenous scheme for funding commencing in 2012 includes the Discovery Indigenous Award, which is available to chief investigators who are Indigenous Australian researchers, at five salary levels depending on experience. Five Discovery Indigenous Awards were approved for funding commencing in 2012.

> The Discovery Outstanding Researcher Award was introduced under the Discovery Projects scheme for funding commencing in 2012 to provide opportunities for mid to late career research-only and teaching and research academics. Discovery Outstanding Researcher Awards provide a salary for a period of up to three years—equivalent to the duration of the Discovery Projects grant.

Strategic plan priority action for 2011–12: Assess impact of changes to Discovery Projects and Discovery Early Career Researcher Award schemesThe following changes were made to Discovery Projects for funding commencing in 2012:> the establishment of the Discovery Early Career Researcher Award scheme;> the introduction of the Discovery Outstanding Researcher Award;> the discontinuation of fellowships previously offered under Discovery Projects; and> the discontinuation of the allocation for early career researcher-only proposals under

Discovery Projects.Reflecting the changes to the Discovery Program, there was a decrease in demand for funding for Discovery Projects—from 4230 in 2011 to 3544 in 2012—as many of the early career researchers who would have otherwise applied for Discovery Projects funding applied under the new Discovery Early Career Researcher Award scheme instead.As a result of the establishment of the Discovery Early Career Researcher Award scheme, less funding was available under the Discovery Projects than in previous years.In the selection round for funding commencing in 2012, $236.8 million was awarded to 778 successful proposals, compared with $318.2 million to 931 successful proposals in 2011. However, total funding commencing in 2012 for the Discovery Projects and Discovery Early Career Researcher Award schemes combined was $340.7 million, an increase from 2011 Discovery Projects funding.There were more research projects led by early career researchers supported through the Discovery Early Career Researcher Award selection round for funding commencing in 2012, than in previous years under the Discovery Projects scheme. In the Discovery Projects selection round for funding round commencing in 2011, 108 Australian Postdoctoral Fellowships were awarded and 87 early career researcher-only proposals,1 supporting 95 early career researchers, were funded.2

1 Early career researcher-only proposals were proposals on which all nominated investigators had been awarded their PhD within five years or less of the date of submission of the proposal.2 Includes some double counting. That is, some Australian Postdoctoral Fellowships were awarded within early career researcher-only proposals.

Objective: Provide incentives for researchers to build the scale of their work, develop teams and support the growth of networks of research

Building teamsThe Discovery Program supports research involving collaboration within and across institutions and research disciplines. Multiple chief investigators from eligible organisations can work together on research projects funded under the Discovery Projects and Discovery Indigenous schemes, and researchers from other organisations can participate as partner investigators on projects funded under the Discovery Projects scheme. Project funding can also be used for postgraduate stipends, and to engage research assistants, research associates and technical officers.The Future Fellowships scheme supports cross-institutional collaboration by allowing fellows to spend up to two years of their fellowship conducting research at a host organisation other than the administering organisation.As outlined on page 46, the Australian Laureate Fellowships scheme supports the development of research teams through providing funding for postgraduate and postdoctoral researchers to work with Australian Laureate Fellows. This enables world class researchers to build the scale of their work while mentoring and developing research students and early career researchers.

International networking and mobilityThe ARC supports international networking and mobility across all schemes of the Discovery Program. Funding up to the specified limits for individual funding schemes can be used for overseas travel by chief investigators, fellows and other project personnel, and by partner investigators based overseas to travel to Australia.In addition, International Collaboration Awards are available under the Discovery Projects scheme to enhance opportunities for collaboration among researchers, research teams and/or research centres in Australia and overseas.To grow Australia’s research capacity all ARC fellowships and awards are open to international researchers who will undertake research in Australian universities and other eligible organisations, irrespective of their nationality.

Significant developments in 2011–12> In the Discovery Projects selection round for funding commencing in 2012, an average of 2.7

chief investigators and partner investigators were involved in each successful proposal.> Funding was provided for 34 postgraduate and 33 postdoctoral researchers to work with the

17 new Australian Laureate Fellows.> In the selection rounds for funding commencing in 2011–12 under the Discovery Program,

there were 1689 instances of international collaboration reported on the 1029 successful proposals across the schemes for which this data was collected.

> In the Discovery Projects selection round for funding commencing in 2012, 94 proposals were awarded International Collaboration Awards.

> In the selection rounds for funding commencing in 2011–12, 21.9 per cent of fellowships and awards went to foreign nationals and 7.8 per cent to Australian citizens or permanent residents returning from overseas.

Objective: Enhance the scale and focus of research in areas of national priorityThe ARC considers the four National Research Priorities (NRPs) in administering the NCGP. The four NRPs are: an environmentally sustainable Australia; promoting and maintaining good health; frontier technologies for building and transforming Australian industries; and safeguarding Australia. These are underpinned by 21 NRP goals.

The ARC implements NRPs through all schemes of the Discovery Program except Discovery Indigenous. Researchers have the opportunity to state whether their research proposal falls within one of the four priority areas, and they can also indicate how the proposal addresses one or more of the NRP goals.In the selection round for Future Fellowships commencing in 2011, researchers were asked to identify if the proposal targeted research areas of national significance; or targeted disciplinary areas where there was an identified need for capacity development.

Significant contributions in 2011–12> Over 90 per cent of proposals funded under the Discovery Program indicated that they

involved research in an area of national research priority (Table 5.3). The largest number is in the area of frontier technologies (29.8 per cent of proposals).

> Among the 203 successful proposals under the Future Fellowships scheme for funding commencing in 2011, there were 112 instances of research in the targeted discipline areas and 207 instances of the targeted research areas. Proposals could identify more than one targeted discipline and/or research area.

KEY PERFORMANCE INDICATORSTable 5.3: Discovery Program, performance against key performance indicators

KEY PERFORMANCE INDICATORS

MEASURE TARGET PERFORMANCE

Outputs and outcomes arising from ARC-supported research are of a high quality and produce national benefits[KPI 1.1 in the strategic plan]

Evidence of impact of ARC-funded research

Significantly exceeds benchmarks where available

2011–12: A bibliometric study was not undertaken in the reporting period.

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

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

Examples of outcomes of ARC-funded research are provided in chapter 4.

ARC funding supports excellent researchers[KPI 2.1 in the strategic plan]

External recognition of the achievements of ARC-funded researchers

Prestigious prizes and awards are received by ARC-funded researchers

Examples of prestigious prizes and awards won by ARC-funded researchers are provided on pages 52-53.

Evidence of impact of research conducted by ARC-funded fellows

Exceeds benchmarks where available

2011–12: A bibliometric study was not undertaken in the reporting period.

ARC-supported research contributes significantly to high quality research training[KPI 2.2 in the strategic plan]

Proportion of ARC-funded researchers who are early career researchers (within five years of completion of their PhD) [named investigators only]

Greater than 20 per cent 2011–12: 22.0 per cent1

2010–11: 18.5 per cent2009–10: 19.7 per cent

ARC-funded research makes a significant contribution to research activity and capability in areas of national need[KPI 2.3 in the strategic Plan]

Proportion of funded proposals that address the National Research Priorities (NRPs)

Greater than 85 per cent 2011–12: 91.1 per cent2

2010–11: 90 per cent2009–10: 90.2 per cent

Evidence of impact in NRP areas

Examples of impact in NRP areas

Examples of outcomes from ARC-funded research in the NRP areas are provided on pages 54-57.

There is a high level of collaboration between ARC-funded researchers and those within other components of the national and international innovation systems[KPI 1.2 in the strategic plan]

Proportion of projects involving international collaboration

Greater than 65 per cent 2011–12: 67.6 per cent3

2010–11: 63.9 per cent2009–10: 65.8 per cent

Policy advice enhances Australia’s capacity and excellence in research[KPI 3.1 in the strategic plan]

Evidence of impact of policy advice

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

Changes were made to enhance the Discovery Program by reducing potential overlap in funding across funding agencies, freeing up more ARC funding for the research disciplines it

KEY PERFORMANCE INDICATORS

MEASURE TARGET PERFORMANCE

supports.

Table notes1 Includes chief investigators and fellows named on successful proposals across all schemes excluding Super Science Fellowships. Super Science Fellowships funding was awarded to project leaders who subsequently recruited early career researchers to take up the 50 Super Science Fellowships for funding commencing in July 2011.2 Across all Discovery schemes excluding Discovery Indigenous which does not collect data on national research priorities.3 Across all Discovery schemes excluding Discovery Early Career Researcher Award which did not collect data on collaboration in the selection round for funding commencing in 2012. This data will be collected in future years.

PRIZES AWARDED TO ARC FELLOWS2011 Nobel Prize for Physics (joint winner)Professor Brian Schmidt, Australian Laureate Fellow, The Australian National University (ANU)

2011 Prime Minister’s Science PrizesAssociate Professor Min Chen, Queen Elizabeth II (QEII) Fellow, The University of Sydney (Science Minister’s Prize for Life Scientist of the Year)Professor Stuart Wyithe, Australian Laureate Fellow, The University of Melbourne (2011 Malcolm McIntosh Prize for Physical Scientist of the Year)

2011 Eureka Prizes Emerging Leader in Science – Associate Professor Kevin Pfleger, Future Fellow, The University of Western Australia Leadership in Science – Professor Ben Eggleton, Federation Fellow and Director, ARC Centre for Ultrahigh-bandwidth Devices for Optical Systems

Sir Nicholas Shackleton Medal for the most outstanding Quaternary scientistDr Zenobia Jacobs, QEII Fellow, University of Wollongong

WH (Beattie) Steel medalProfessor Min Gu, Australian Laureate Fellow, Swinburne University

2011 State Scientists of the Year NSW: Professor Michelle Simmons, Federation Fellow, The University of New South WalesWA: Professor Richard Hobbs, Australian Laureate Fellow, The University of Western AustraliaSA: Professor Peter Langridge, Researcher Leader and Chief Executive Officer, Australian Centre for Plant Functional Genomics 2011 Tall Poppy awardsDr Cormac Corr, Future Fellow, ANUDr Natalie Ban, Australian Postdoctoral Fellow, ARC Centre of Excellence for Coral Reef StudiesAssociate Professor Matthew Davis, QEII Fellow, The University of QueenslandDr Tamara Davies, Future Fellow, The University of QueenslandDr Mariana Fuentes, Super Science Fellow, ARC Centre of Excellence for Coral Reef StudiesDr Deanna D’Alessandro, QEII Fellow, The University of SydneyDr Melissa Green, Future Fellow, The University of New South WalesDr George Hobbs, QEII Fellow, CSIRO Astronomy and Space Science

2011 The Australian Innovation Challenge awards:

Overall winner Professor Mark Kendall, Future Fellow, The University of Queensland

Health CategoryProfessor Marcela Bilek, Federation Fellow, The University of Sydney

Environment CategoryProfessor Rick Shine, Federation Fellow, The University of Sydney

Australian Academy of Science 2011 awards

2012 Fenner medal for distinguished research in biologyWinthrop Professor A Harvey Millar, ARC Professorial Fellow, ARC Centre of Excellence in Plant Energy Biology, UWA

2012 Christopher Heyde medal for distinguished research in the field of applied, computational and financial mathematicsDr Josef Dick, QEII Fellow, The University of Melbourne

2012 Dorothy Hill award for female researchers in the earth sciencesDr Karen Black, Australian Postdoctoral Fellow, The University of New South Wales

2012 Pawsey medal for outstanding research in physicsProfessor Tanya Monro, Federation Fellow, The University of Adelaide

Australian Institute of Physics 2011 Walter Boas MedalProfessor Ben Eggleton, Federation Fellow and Director, ARC Centre for Ultrahigh-Bandwidth Devices for Optical Systems

National Measurement Institute, 2012 Prize for Excellence in Measurement ResearchDr Sharath Sriram, Australian Postdoctoral Fellow, RMIT University

National Research Priority 1: An Environmentally Sustainable Australia

WA MARINE ECOSYSTEMS DISRUPTED BY 2011 HEATWAVEAn unprecedented heat wave in early 2011 saw sea temperatures off the coast of Western Australia reach their highest levels in 140 years and remain up to five degrees warmer than normal for more than 10 weeks. A paper published in Nature Climate Change1 has shown that this event had a significant impact on marine ecosystems.The study, an international collaboration led by researchers from the Oceans Institute and School of Plant Biology at The University of Western Australia, compared the impacts of the heat wave on biodiversity in two Indian Ocean locations: Jurien Bay and Hamelin Bay, 500km further south. The coastal margins along Australia’s western coast, including Jurien Bay, form a biodiversity hotspot and transition zone between tropical and temperate ecosystems.Following the heat wave, the Jurien Bay area experienced a reduction in large cool-water seaweeds and an increase in tropical fish species. The ratio of tropical fish to other species increased from 5–10 per cent to up to about 20 per cent. The reduction in seaweeds allowed the proliferation of turf-forming algae and, as a consequence, a loss in encrusted coralline algae and sponges. The long-term impact of the event at Jurien Bay is not known. By comparison, in the cooler region of Hamelin Bay, the heatwave did not affect the marine ecosystem.Predictive modelling of the impact of climate change on ecosystems is usually largely based on gradual warming scenarios. This research suggests that discrete extreme climate events can have a significant impact on marine ecosystems and that this should be studied further.The leader of the research program and lead author of the paper, Associate Professor Thomas Wernberg, is the recipient of an ARC Future Fellowship.

National Research Priority 2: Promoting and Maintaining Good Health

PLANTING THE SEED FOR NEW CANCER THERAPIESDr Joshua Mylne from The University of Queensland’s Institute for Molecular Bioscience was awarded the 2012 Peter Goldacre Award by the Australian Society of Plant Scientists in recognition of his unusual finding that the drug-like protein, SFTI, begins life buried in a sunflower seed protein.SFTI is a small, stable protein ring that can block digestive enzymes called proteases, which digest our meals, but tumours can also use them to eat into surrounding flesh and create space for the tumour to grow.In its natural form, SFTI will block a well-known breast cancer protease, and in modified forms will block proteases associated with other types of cancer. These proteins have not been broadly adopted by drug designers despite their potential to fight cancer partly because of the expense of producing them using traditional, synthetic methods.Dr Mylne’s discovery of SFTI within sunflower seeds has opened up a potential solution to this problem. “Seeds are an attractive system for the production of pharmaceuticals, as they are cheap to grow and their contents are stable at room temperature, and sterile inside their coat,” Dr Mylne said. “There are also established systems in place for their production, harvest, storage and transportation, meaning they could be the ultimate low-cost drug manufacturing system.”Dr Mylne is the recipient of an ARC Discovery Projects grant and Queen Elizabeth II Fellowship over the period 2008–2012 and has been awarded a Future Fellowship at The University of Western Australia commencing in 2013.

1 Thomas Wernberg, Dan A. Smale, Fernando Tuya, Mads S. Thomsen, Timothy J. Langlois, Thibaut de Bettignies, Scott Bennett & Cecile S. Rousseaux ‘An extreme climatic event alters marine ecosystem structure in a global biodiversity hotspot’ Nature Climate Change (2012) doi:10.1038/nclimate1627

National Research Priority 3: Frontier Technologies for Building and Transforming Australian Industries

BREAKTHROUGH IN THIN FILM SOLAR CELL TECHNOLOGYTwo ARC Fellowship and Award recipients were part of a research team that has developed the world’s most efficient broadband nanoplasmonic solar cells. In a paper published in Nano Letters,2 the researchers describe how they have manufactured thin film solar cells with an absolute efficiency of 8.1 per cent. Thin film solar cells have potential as a cheap alternative to crystalline cells but because of they are thin they have been less effective at absorbing sunlight. To create more efficient thin film cells, the researchers used nucleated or ‘bumpy’ nanoparticles.Co-author of the paper, Dr Baohua Jia, from Swinburne University of Technology, believes that this new technology will have an important impact on the solar industry. “What we have found is that nanoparticles that have an uneven surface scatter light even further into a broadband wavelength range. This leads to greater absorption, and therefore improves the cell’s overall efficiency.” One of the potential applications of thin film solar cells is to cover glass windows, which could enable whole sky scrapers to run off solar power in the future. Dr Jia was the recipient of an Australian Postdoctoral Fellowship under the Discovery Projects scheme from 2009 to 2011 and was awarded one of the inaugural ARC Discovery Early Career Researcher Awards for funding commencing in 2012. The paper’s other co-authors include ARC Australian Laureate Fellow, Professor Min Gu, others from Swinburne University and researchers from Suntech Power Holdings. The research was conducted under the auspices of the Victoria-Suntech Advanced Solar Facility at Swinburne, a $12 million program jointly funded by the Victorian Government, Swinburne and Suntech.

National Research Priority 4: Safeguarding Australia

ROVER ROBOTS HELP DEFENCE TRAININGRobotic smart targets for live-fire training, initially developed by researchers at The University of Sydney, had continued market success in 2011–12 and are providing a realistic, interactive and challenging training scenario for Australian and United States defence personnel. From 2003 researchers at the ARC Centre of Excellence for Autonomous Systems worked with the Australian Defence Forces to develop mobile robots for counter-terrorism training. Dr Alex Brooks, Dr Tobias Kaupp, and Dr Alex Makarenko commercialised the technology through their start-up company, Marathon Targets. Dr Alex Makarenko was the recipient of an Australian Postdoctoral Fellowship under the Discovery Projects scheme during the period in which the technology was developed.Marathon Targets’ Rover robots are the first of their kind. The armoured autonomous robots look, move and behave like real people. They weigh only 150 kilograms, are based on the Segway platform and can accelerate at up to 12.6km/h. Using a GPS and a scanning laser range-finder for navigation, they can turn on the spot, quickly change direction, navigate in and out of buildings, react quickly to avoid obstacles, and even run for cover when one of their buddies is hit by a bullet. The Australian Defence Force has been using the system since 2008 and in 2010 the company was awarded a US$50 Million contract by the United States Marine Corps for a trial project. Marathon Targets was selected as the nation’s top technology start-up at the 2010 Tech23 Awards. In 2011–12 Marathon Targets delivered its second generation two-wheel smart targets to the United States Marine Corps (USMC), received a follow-on order from the USMC for its new four-wheel smart target, and was awarded its latest smart target contract from a NATO

2 Xi Chen*, Baohua Jia*, Jhantu K. Saha*, Boyuan Cai*, Nicholas Stokes*, Qi Qiao**, Yongqian Wang**, Zhengrong Shi**, and Min Gu*, Nano Lett., 2012, 12 (5), pp 2187–2192, DOI: 10.1021/nl203463z

* Centre for Micro-Photonics, Faculty of Engineering and Industrial Sciences, Swinburne University of Technology**Suntech Power Holdings Co., Ltd., China

member country.

CHAPTER 6: PROGRAM 1.2 LINKAGE

AT A GLANCEThe Linkage Program supports research collaboration between universities and between universities and other organisations (including businesses and government departments).The ARC conducted selection rounds for funding commencing in 2011–12 under the following funding schemes of the Linkage Program:> Linkage Projects;> Linkage Infrastructure, Equipment and Facilities;> Linkage Learned Academies Special Projects; and> Special Research Initiative in Synchrotron Science.The ARC also provided ongoing funding to ARC Centres of Excellence, co-funded research centres and Special Research Initiatives that commenced in previous years. A brief description of the schemes comprising the Linkage Program is provided at Appendix 2.In 2011–12 the ARC received 1132 proposals for funding under the Linkage Program funding schemes of which 455 were funded.Through the program the ARC supported excellent research (including research in priority areas) and excellent researchers as well as the development of research partnerships.All except one of the performance targets for 2011–12 were met (Table 6.3). The proportion of funded projects involving international collaboration was 40.7 per cent, which is slightly short of the target of 42 per cent. The difference between the target and the result represents only six projects.

GUIDE TO REPORTThis chapter provides a report against the ARC’s performance framework outlined in the Portfolio Budget Statements (PBS) 2011-12 and ARC Strategic Plan 2011–12 to 2013–14. It includes a report on:> program deliverables;> relevant priority actions in the ARC strategic plan;> performance against the program objectives; and> performance against the program key performance indicators (Table 6.3).The deliverables and key performance indicators were revised in 2011–12 to align with the ARC strategic plan.The ARC pursues the key objectives set out in the ARC Strategic Plan 2011–12 to 2013–14 through implementation of the Linkage Program. In reporting against the program performance framework, we are also articulating our performance against the following objectives:> Research—To support excellence in research;> Capacity—To build Australia’s research capacity; and> Policy and evaluation—To provide informed high quality policy advice to government and

enhance research outcomes through effective evaluation.Performance data in this chapter relates to new funding commencing in 2011–12 unless otherwise stated. The performance report is supported by further information provided in Appendices 2, 3 and 4.

Table 6.1: Linkage Program performance framework

Outcome (PBS) Mission (ARC strategic plan)

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

Deliver policy and programs that advance Australian research and innovation globally and benefit the community

Key objectives

> Research—To support excellence in research> Capacity—To build Australia’s research capacity> Policy and evaluation—To provide informed high quality policy advice to government and

enhance research outcomes through effective evaluation

Program 1.2—Linkage

Objectives

The Linkage Program is aimed at improving research outcomes and the use of research outcomes by strengthening links within Australia’s innovation system and with innovation systems internationally. The objectives of the Linkage Program are to:> encourage partnerships between university-based researchers and end-user organisations

(including business, industry, government and community organisations, and publicly funded research agencies);

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

> support investment in strategic national research infrastructure and access to major international facilities; and

> encourage the growth of clusters of research and research training as platforms for innovation through funding research centres and hubs.

2010–11 2011–12

Deliverables

> Number of grants> Funding awarded> Number of administering organisations

> Number of grants> Number of researchers> Funding awarded> Communication activities> Policy advice

Key performance indicators

> Research careers> Collaboration> Areas of national priority

> Outputs and outcomes> Research training> Areas of national priority> Collaboration> Policy

DELIVERABLESTable 6.2: Linkage Program deliverables

DELIVERABLE RESULT

2009–10 2010–11 2011–12

Number of grants awarded 525 495 455

Number of researchers^*(investigators named in funding proposals)

n/a n/a 2 098

Funding awarded to administering organisations ($’000) 219 642 409 732 194 483

Communications activities that foster stakeholder and community awareness of the role of the ARC and benefits of ARC support for research collaboration*

n/a n/a Achieved

Policy advice relating to encouraging research collaboration*

n/a n/a Achieved

^Includes Linkage Projects and Linkage Infrastructure, Equipment and Facilities schemes only.*These deliverable were not measured in previous years.

GrantsThe ARC awarded funding for 455 grants for funding commencing in 2011–12, which was fewer than in previous years. Fewer projects were funded under the Linkage Projects scheme, partially due to the discontinuation of Australian Postgraduate Awards (Industry) from the selection rounds for funding commencing in 2011 onwards. Trend data is available at Appendix 3.

ResearchersFor funding commencing in 2011–12, the ARC supported 2098 researchers under the Linkage Projects and Linkage Infrastructure, Equipment and Facilities schemes, including 20 Australian Postdoctoral Fellows (Industry) (APDIs).Investigators named in funding proposals include chief investigators, fellows and partner investigators. Totals do not include other unnamed project personnel and postgraduate students who will work on the projects.

Funding awardedGrants awarded for funding commencing in 2011–12 under the Linkage Program totalled approximately $194.5 million over the life of the projects, a decrease on previous years. This is primarily due to funding awarded in 2010–11 including funding for 13 ARC Centres of Excellence commencing in 2011 ($255.9 million over seven years).

CommunicationCommunication activities that foster stakeholder and community awareness of the role of the ARC and benefits of ARC activities to support research collaboration are identified as deliverables in the 2011-12 PBS.Communication activities arranged by ARC include funding announcement events, media releases, interviews and keeping the ARC website up-to-date with dates and other important information. Further details are provided in Chapter 13.

Policy adviceIn 2011–12, the ARC provided policy advice and engaged in policy dialogue on a range of matters relevant to Program 1.2. This included:> the development of new initiatives, such as the Industrial Transformation Research Program,

the Special Research Initiative in Synchrotron Science, and the Aboriginal and Torres Strait Islander Researchers’ Network;

> engagement in international dialogue on peer review processes, including participation in the inaugural Global Summit on Merit Review, hosted by the United States National Science Foundation;

> providing input into and comments on other Government agencies’ briefs and reports, where relevant, such as providing comments on the implementation paper for the R&D Tax Incentive, and making submissions to the White Paper on Australia in the Asian Century and the National Research Priorities 2012 Consultation Paper;

> participating in policy discussion and formulation through membership on relevant advisory councils, such as the National Research Infrastructure Council, the Prime Minister’s Science, Engineering and Innovation Council (PMSEIC) and the Australia–India Council.

Linkage Learned Academies Special ProjectsOn 26 June 2012, the Australian Government announced that $10 million over three years would be allocated to the Australian Council of Learned Academies through the Linkage Learned Academies Special Projects scheme to support research conducted by the Learned Academies to inform the PMSEIC.The successful proposals are research programs addressing the multi-disciplinary areas of strategic interest identified by PMSEIC to inform their advice to government, namely:> Australia’s comparative advantage> Science, Technology, Engineering and Mathematics: Country comparisons> Asia literacy – language and beyond> The role of science, research and technology in lifting Australian productivity> New technologies and their role in our security, cultural, democratic, social and economic

systems> Engineering energy: unconventional gas exploration

Strategic plan priority action for 2011-12: New initiatives to strengthen links between industry and the research communityThe Industrial Transformation Research Program will provide a range of new opportunities for researchers and industry to work together. The program will comprise Industrial Transformation Research Hubs and Industrial Transformation Training Centres that will provide more targeted support to build critical mass in key areas of importance to key Australian industries than previously provided under the Linkage Projects scheme.

OBJECTIVESObjective: Encourage partnerships between university-based researchers and end-user organisationsThe Linkage Projects scheme supports collaborative research and development projects between higher education organisations and other parts of the national innovation system to enable the application of advanced knowledge to problems. It aims to encourage and develop long-term strategic alliances between higher education organisations and other organisations, including businesses and other end-user organisations.

Significant contributions in 2011–12 > The ARC conducted two Linkage Projects selection rounds for funding commencing in 2011–

12, providing over $110 million in funding for 370 research projects. These projects involve 806 partner organisations who committed $225.9 million to the successful proposals.

> In late 2011 the Australian Government announced a new ARC scheme to encourage research and development projects that could help solve the big problems facing our industries today. The establishment of research hubs will see managers, researchers and industry workers working together to tackle big industry challenges as well as short-term projects that may help answer emerging issues or questions.

Objective: Fostering opportunities for postgraduate and postdoctoral researchers to pursue research in collaboration with organisations outside the higher education sectorThe Linkage Program offers opportunities for postgraduate and early career researchers to pursue internationally competitive research opportunities in collaboration with industry.

Significant contributions in 2011–12> In the selection rounds for funding commencing in 2011–12, 20 APDIs were awarded.

In 2011–12 the ARC also provided ongoing funding for 85 APDIs funded in previous Linkage Projects selection rounds.

> Australian Postgraduate Awards (Industry) (APAIs) are no longer funded under the Linkage Projects scheme. Ongoing funding in 2011–12 was provided for 566 APAIs awarded under previous Linkage Projects selection rounds. Project funding can still be used to fund postgraduate stipends.

> In late 2011 the Australian Government announced that through the ARC it would establish training centres nationwide over the next five years that will foster close partnerships between university-based researchers and the industry members who will use the research outcomes. Under the Industrial Transformation Training Centres scheme, up to 600 doctoral and postdoctoral researchers will have the opportunity to work with industry partners, directly harnessing research capability to address industry needs.

Objective: Support investment in strategic national research infrastructure and access to major international facilitiesThrough the Linkage Infrastructure, Equipment and Facilities scheme the ARC supports the purchase and development of, and access to, tools which are crucial for leading edge research in Australia. The scheme encourages the development of cooperative initiatives so that expensive infrastructure, equipment and facilities can be shared between higher education organisations and also with industry. Funding under the scheme includes international subscriptions to enable Australian-based researchers to access major international facilities.The Special Research Initiatives scheme is also used to fund initiatives relevant to this objective.

Significant contributions in 2011–12> In 2012 the ARC awarded over $28 million to 77 new research infrastructure projects. This

included funding of $750,000 to secure membership to the NANTEN2 Observatory in Chile for

the next five years; building on the one-year membership to the NANTEN2 Observatory funded in 2010–11.

> The ARC continued to fund access to the following international research facilities: the Integrated Ocean Drilling Program; the Advanced Laser Interferometer Gravitational-Wave Observatory Project; and the ISIS Neutron Spallation Source.

> In February 2012 the ARC released a consultation paper and questionnaire on ARC-supported research infrastructure and its alignment with the national infrastructure roadmap. Stakeholder feedback is being considered in the review of the Linkage Infrastructure, Equipment and Facilities funding rules.

> In June 2012 the Australian Government announced that $30 million in funding had been awarded under the Special Research Initiative in Synchrotron Science to support and manage researcher access to the Australian Synchrotron over the next four years. The ARC is contributing $25 million and the National Health and Medical Research Council is contributing $5 million.

Objective: Encourage the growth of clusters of research and research training as platforms for innovation through funding research centres and hubsThe ARC supports the development of clusters of research and research training through support for:> ARC Centres of Excellence;> co-funded research centres; and> Special Research Initiatives.The ARC Centres of Excellence scheme funds hubs of expertise through which high-quality researchers maintain and develop Australia’s international standing in research areas of national priority. The ARC also works collaboratively with other government agencies to jointly fund a number of high-quality research centres.The Special Research Initiatives scheme aims to enhance and develop Australia’s research excellence through highly innovative and collaborative research activities.In late 2011 the Australian Government announced the establishment of the Industrial Transformation Research Program which will provide support for the establishment of research centres and hubs.

Significant contributions in 2011–12ARC Centres of Excellence> The ARC continued to fund 24 ARC Centres of Excellence that were initially funded under

selection rounds in 2005 and 2011. Case studies highlighting achievements of some of the ARC Centres of Excellence in 2011–12 can be found on pages 31 and 33–35 in Chapter 4.

Co-funded research centres> Some of the key achievements of co-funded centres in 2011–12 are highlighted on pages 66–

67.> A mid-term performance review of the National Centre for Groundwater Research and

Training took place at The Flinders University of South Australia on 13 March 2012. The review concluded the centre had made excellent progress and established itself as a reputable centre.

Special Research Initiatives> In April 2012 the Australian Government announced a $1 million extension of funding to the

ARC Centre of Excellence for Policing and Security under the Special Research Initiatives scheme. This follows a comprehensive review of its operations and performance in 2012, which found that the centre had been undertaking high quality research and training and making good progress towards meeting its objectives.

> In 2011–12, the ARC provided ongoing funding under the Special Research Initiatives scheme to the Research in Bionic Vision Science and Technology Initiative. The ARC is providing $50 million in funding over four years, commencing in 2009, to two proposals to develop a functional bionic eye.

> In November 2010 the Minister announced that $21 million over seven years had been

awarded to Stem Cells Australia under the Special Research Initiative in Stem Cell Science to further build Australia’s capacity to conduct stem cell research. Stem Cells Australia is administered by The University of Melbourne and led by internationally renowned researcher Professor Martin Pera. Funding for this initiative commenced in July 2011.

Industrial Transformation Research Program> The Industrial Transformation Research Hubs scheme will see managers, researchers and

industry workers collaborating to tackle big industry challenges as well as short-term projects that may help answer emerging issues or questions. Funding for the scheme will commence in 2012–13.

> The Industrial Transformation Training Centres scheme will establish training centres nationwide over the next five years that will foster close partnerships between university-based researchers and industry organisations, and fund up to 600 doctoral and postdoctoral researchers to be trained in industry settings.

Strategic plan priority action for 2011–12: Conduct a selection round to establish an Aboriginal and Torres Strait Islander Researchers’ NetworkIn 2012 the ARC will fund a new research network to build the capacity and leadership of Aboriginal and Torres Strait Islander researchers. The Aboriginal and Torres Strait Islander Researchers’ Network will receive funding of up to $800,000 over four years to bring together researchers across Australian universities, within and across research disciplines, to facilitate collaborative and innovative approaches to planning and undertaking research and research training and advancing research in Indigenous Knowledge Systems. The intention of the Network is to involve Aboriginal and Torres Strait islander researchers of all career stages and contribute to improving the retention and completion of Indigenous Australian higher degree research students.

CO-FUNDED CENTRES HIGHLIGHTS IN 2011–12

AUSTRALIAN CENTRE FOR PLANT FUNCTIONAL GENOMICSThe Australian Centre for Plant Functional Genomics (ACPFG), which was established in 2002, is funded jointly by the ARC and Grains Research and Development Corporation. The Australian Government has committed $43 million to fund the ACPFG from 2002 to 2013.> Lead Researcher and CEO, Professor Peter Langridge, was named 2011 South Australian

Scientist of the Year.> The ACPFG established a transgenic field testing site in Western Australia to provide real life

insight into crop performance in very saline conditions.> The ACPFG expanded a long-standing research collaboration with DuPont, bringing a new

focus on advanced cereal breeding through molecular markers, discovery research for agronomic traits and hybrid seed production in wheat.

> The ACPFG coordinated Fascination of Plants Day in Australia, a worldwide event with 39 countries planning celebrations.

NATIONAL ICT AUSTRALIANational ICT Australia (NICTA), which was also established in 2002, is jointly funded by the ARC and the Department of Broadband, Communications and the Digital Economy. Additional funding for NICTA of $185.5 million over four years from July 2011 to June 2015 was approved in 2009, bringing the total funding for the period 2002–15 to $564.5 million.> One of NICTA’s senior researchers, June Andronick, was recognised by Technology Review

magazine as one of the world’s top innovators in 2011 under the age of 35.> Professor Graeme Clark, one of Australia’s greatest scientists and the pioneer of the bionic

ear, joined NICTA to lead a new project aimed at developing technologies capable of providing new types of hearing implants.

> NICTA signed a new three-year agreement with the US-based surveying company GeoNav Group International, where NICTA’s automatic video analysis technology will be used to help improve road safety.

> A purpose-built demonstration facility for NICTA, the Digital Productivity Showcase, was launched.

> NICTA is leading a multi-million dollar ICT-enabled geothermal initiative for the Australian Centre for Renewable Energy, where NICTA’s expertise in machine learning and big data analytics will be used to locate geothermal energy sources deep beneath the surface of the Earth.

NATIONAL CENTRE FOR GROUNDWATER RESEARCH AND TRAININGThe National Centre for Groundwater Research and Training (NCGRT) which was established in 2009, is funded jointly by the ARC and the National Water Commission (NWC). The ARC and the NWC are jointly committing up to $29.5 million over five years to the centre.> The NCGRT is mid-way through its five-year funding period and now has 36 chief

investigators, 30 postdoctoral researchers, 48 PhD and 21 honours students working within the centre’s five research programs.

> A world-class centrifuge permeameter facility was commissioned for the NCGRT and is situated at The University of New South Wales’ Water Research Laboratory on Sydney’s northern beaches. The facility was officially opened in September 2011.

> The NCGRT launched the research ambassadors program, a professional development opportunity which aims to equip students with the skills necessary to build successful graduate careers.

> The inaugural NCGRT summer school was held in Adelaide and attended by almost all of the centre’s members, giving researchers and students the opportunity to share their work and to attend lectures presented by distinguished visitors.

KEY PERFORMANCE INDICATORSTable 6.3: Linkage Program, performance against key performance indicators

KEY PERFORMANCE INDICATOR MEASURE 2011–12 TARGET PERFORMANCE

There is a high level of collaboration between ARC-funded researchers and those within other components of the national and international innovation systems[KPI 1.2 in the strategic plan]

Financial commitment (cash and in-kind) from partner organisations for every dollar contributed by the ARC (Linkage Projects scheme)

Greater than $1.90 2011–12: $2.052010–11: $2.002009–10: $1.89

Proportion of partner organisations that indicate that their involvement in projects was beneficial or very beneficial (Linkage Projects scheme)1

Greater than 90 per cent

2007: 96.4 per cent2006: 98.3 per cent2005: 96.3 per cent

Proportion of projects involving international collaboration (Linkage Projects and Linkage Infrastructure, Equipment and Facilities schemes)

Greater than 42 per cent

2011–12: 40.7 per cent2010–11: 45.1 per cent2009–10: 39.2 per cent

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

Greater than 3.5 2011–12: 3.92010–11: 4.22009–10: 4.9

Outputs and outcomes arising from ARC-supported research are of a high quality and produce national benefits[KPI 1.1 in the strategic plan]

Evidence of impact of ARC-funded research

Significantly exceeds benchmarks where available

Not measured in 2011–12

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

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

Refer to case studies in Chapter 4

ARC-supported research contributes significantly to high quality research training[KPI 2.2 in the strategic plan]

Proportion of ARC-funded researchers who are early career researchers (within five years of completion of their PhD)2

Greater than 12 per cent

2011–12: 13.3 per cent2010–11: 13.1 per cent2009–10: 10.8 per cent

ARC-funded research makes a significant contribution to research activity and capability in areas of national need[KPI 2.3 in the strategic plan]

Proportion of funded proposals that address the National Research Priorities (NRPs)

Greater than 90 per cent

2011–12: 97.1 per cent2010–11: 96.0 per cent2009–10: 98.5 per cent

Evidence of impact in NRP areas

Examples of impact in NRP areas

Refer to case studies on pages 71-73

Policy advice enhances Evidence of impact of Policy advice The ARC developed

KEY PERFORMANCE INDICATOR MEASURE 2011–12 TARGET PERFORMANCE

Australia’s capacity and excellence in research[KPI 3.1 in the strategic plan]

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

the new Industrial Transformation Research Program and the Special Research Initiative in Synchrotron Science.

Table Notes1 Data collected from final reports for Linkage Projects for funding commencing in years 2005–07.2 Includes Linkage Projects and Linkage Infrastructure, Equipment and Facilities schemes only.

National Research Priority 1: An Environmentally Sustainable Australia

THE BENEFITS OF MARINE RESERVESMarine reserves are implemented around the world to lessen the impact of fishing, conserve biodiversity and enhance ecosystem resilience. Whilst the potential benefits are well documented, there have been inconsistencies in the performance of reserves and uncertainty remains over how they should be designed and monitored.Funded by a Linkage Projects grant, a research team led by Professor Rod Connolly and Dr Kylie Pitt from the Australian Rivers Institute at Griffith University, in collaboration with the Queensland Department of Environment and Resource Management and the CSIRO, established that marine reserves can have a positive impact on biodiversity and fish numbers, but this may depend on whether they incorporate key connections in the seascape. The team published the results of their study in the prestigious science journal Conservation Letters early this year. The paper highlights the importance of habitat connectivity for the performance of reserves and demonstrates greater fish numbers in marine reserves that include adjacent mangroves and reefs. Andrew Olds, a PhD student on the project and lead author of the paper, says, “The ability of marine reserves to improve fish numbers can be enhanced if we make sure they are located in the right areas … we found more harvested and herbivorous fish in reserves where both habitats occur in close proximity.”The effect on herbivorous fish, which graze on algae and help maintain reef resilience, suggests that protected reefs near mangroves may be better placed to recover from major disturbances, such as the flooding of the Brisbane River in early 2011.

National Research Priority 2: Promoting and Maintaining Good Health

CARDIAC ACCESSIBILITY AND REMOTENESS INDEX FOR AUSTRALIANSA team of health and geography experts led by Professor Robyn Clark at the University of South Australia has developed a rating system that could improve the ability of health care professionals, communities and individuals to develop effective response pathways to cardiac events.Funded under a Linkage Projects grant, the ‘Cardiac Accessibility and Remoteness Index for Australia’ (Cardiac-ARIA) uses a numeric/alpha rating to inform residents and health professionals about the level of emergency and preventative care that is available in their neighbourhood in the event of a cardiac event, and their proximity to services which help prevent a secondary cardiac arrest.Professor Clark stressed that receiving treatment within the first 60 minutes is paramount when experiencing symptoms of a heart attack, or any cardiac event, to achieve the best recovery possible. Emphasising that an awareness of the Cardiac-ARIA ranking could encourage individuals to be aware of warning signs and react early if they knew how far they were from cardiac care, Professor Clark proposed that the index could also benefit communities and health professionals.

She suggested that once towns and communities knew their ranking, they could better understand their risk and implement clinical pathways that could be activated for rapid access to specialist cardiac care. Additionally, it could help health professionals make the best decision on which type of emergency care to use to enhance survival and recovery time.

National Research Priority 3: Frontier Technologies for Building and Transforming Australian Industries

‘CHIPLESS’ TECHNOLOGY COSTS LESS & DOES MOREA project team led by Associate Professor Nemai Karmakar from Monash University has developed a chipless Radio Frequency Identification (RFID) scanning system that is set to revolutionise logistics, library and membership-based industries. Using ‘backscatter’ technology in RFID tags, Associate Professor Karmakar and his colleagues have produced a cheaper, faster and smaller system to streamline industry operations in Australia. The backscatter technology significantly reduces costs by replacing the expensive microchip in standard RFID tags with a series of printed silver squares on paper or plastic. Additionally, the integration of millimetre-wave scanner technology means that RFID tags can be scanned from up to a metre away. “The key benefits of RFID technology, reading without line of sight and reading multiple tags at once, will now become available to a number of industries in Australia that have not previously utilised RFID technology due to the expense,” Associate Professor Karmakar explains. The distribution industry is one example of how the chipless RFID system can improve operations. With the new system despatch offices will be able to print RFID tags on the fly and, rather than having to read barcodes on individual boxes, they will be able to scan entire pallets of product to determine content.Associate Professor Karmakar and his team intend to utilise the rest of their Linkage Projects grant to further develop the capacity of the current antennae and increase the range up to seven metres.

National Research Priority 4: Safeguarding Australia

NEW WEAPON IN THE FIGHT AGAINST CANE TOADSCane toads are widely regarded as one of the biggest biological threats to Australian biodiversity in northern Australia, and the problem of eliminating or even slowing the progression of this invasive species has been troubling Australia’s best and brightest for many decades. Researchers funded under the Linkage Projects scheme have recently had a breakthrough, developing a cheap and innovative method for controlling the cane toad population.Using a chemical ‘bait’ comprised of the cane toad’s own poison, the researchers discovered that the poison acts as a highly effective lure to cane toad tadpoles. Targeting toad tadpoles is far more effective than adult toads as it stops the amphibians at the early stage of their life cycle, before they can reproduce. “Native fauna such as fishes and insects aren’t attracted to this chemical but toad tadpoles are incredibly good at detecting it, and…search for its source as soon as they encounter it,” Professor Rick Shine, the project leader, said.Trials in the Northern Territory, where the bait has been used in funnel traps in water bodies, has been highly successful, almost exclusively attracting toad tadpoles. Professor Shine and his team intend to develop an even stronger, safer and easier to use bait by isolating the active agent in the toad’s secretion and use it in its pure form without all of the associated poisons.

CHAPTER 7: PROGRAM 1.3 EXCELLENCE IN RESEARCH FOR AUSTRALIA

AT A GLANCEExcellence in Research for Australia (ERA) evaluates the quality of the research conducted at Australian universities by discipline. It identifies the specific research strengths of individual universities and of the Australian university sector as a whole. It also highlights disciplines where there are opportunities to further develop the research capacities of Australian universities.In the 2009–10 budget the Australian Government committed $35.8 million over four years to the development, trial and implementation of ERA. ERA funding is ongoing. To date the ARC has conducted a trial (in 2009) and one full round of evaluation (ERA 2010).As at 30 June 2012, the second full round of evaluation (ERA 2012) was underway.The outcomes of ERA 2012 will be announced in 2012–13. This will allow Australia to track the research performance of its universities over time.The deliverables and key performance indicators (KPIs) identified in the Portfolio Budget Statements (PBS) 2011-12 were achieved.

GUIDE TO REPORTThis chapter provides a report against the ARC’s performance framework outlined in the PBS 2011-12 and ARC Strategic Plan 2011–12 to 2013–14. It includes a report on:> program deliverables;> priority actions in the ARC strategic plan; > performance against the program objectives; and> performance against the program key performance indicators. These KPIs are consistent with

those in the ARC strategic plan.The deliverables and key performance indicators were revised in 2011–12 to reflect the different stage of the ERA process, that is, preparation for and commencement of the ERA 2012 evaluation.Through implementation of Program 1.3, the ARC pursues Key objective 3: Policy and evaluation, which is outlined in the ARC Strategic Plan 2011–12 to 2013–14. In reporting against the program performance framework, we are also articulating our performance against this key objective:> Policy and evaluation—To provide informed high quality policy advice to government and

enhance research outcomes through effective evaluation.

Table 7.1: ERA performance framework

Outcome (PBS) Mission (Strategic Plan)

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

Deliver policy and programs that advance Australian research and innovation globally and benefit the community

Key objectives

> Research—To support excellence in research> Capacity—To build Australia’s research capacity> Policy and evaluation—To provide informed high quality policy advice to government and

enhance research outcomes through effective evaluation

Program 1.3—ERA

Objectives

ERA aims to improve research outcomes by identifying universities and disciplines that are internationally competitive and highlighting areas where there are opportunities for further development and investment. In particular ERA aims to:> administer an evaluation framework that gives government, industry, business and the wider

community assurance of the excellence of research conducted in Australia’s higher education institutions;

> provide a national overview of areas of research strength and areas where there may be opportunity for development;

> allow for comparisons of Australia’s research nationally and internationally for all disciplines offered in Australian higher education institutions; and

> allow for comparisons of Australia’s research effort over time.

2010–11 2011–12

Deliverables

> A full evaluation of eight discipline clusters across 41 eligible Australian higher education institutions will be conducted in 2010 with outcomes reported following the evaluation process

> Preparation for the 2012 round of ERA, including targeted and broad sector-wide review of the ERA 2010 indicators, ranked outlets, evaluation methods, discipline categories and research definitions and reference periods

> ERA system and policy development in light of the sector-wide reviews

> Key documentation required for institutions’ preparation for ERA 2012

Key performance indicators

> Successful implementation of the 2010 ERA evaluation of all eight discipline clusters

> Contribution to best practice evaluation of Australia’s research investment in universities

> Achievement of milestones for delivery of ERA 2012

> Successful outreach initiatives that further inform the sector and other key stakeholders of

overarching ERA policy and implementation

DELIVERABLESTable 7.2: ERA deliverables

DELIVERABLE RESULT:

Preparation for the 2012 round of ERA, including targeted and broad sector-wide review of the ERA 2010 indicators, ranked outlets, evaluation methods, discipline categories and research definitions and reference periods.

Achieved

ERA system and policy development in light of the sector-wide reviews Achieved

Key documentation required for institutions’ preparation for ERA 2012 Achieved

Preparation for ERA 2012

Appointment of committees and peer reviewersCommittees of distinguished and internationally-recognised researchers, who have expertise in research evaluation, will evaluate the data submitted by Australia’s universities for ERA 2012.In July 2011, the ARC called for nominations for the ERA 2012 Research Evaluation Committees (RECs) from Australian universities, the four Learned Academies, the National Tertiary Education Union and the Indigenous Higher Education Advisory Council. The ARC received approximately 650 nominations. Nominations were received for researchers from Australia and overseas, with a wide range of disciplinary expertise. The ARC announced the Chairs of the RECs on 24 October 2011 and the members of the RECs on 8 March 2012.Peer review is used to complement the expertise of the RECs in disciplines where citation metrics are not used. These disciplines include humanities, creative arts, social sciences and some mathematics and information sciences. In late 2011 the ARC called for expressions of interest for peer reviewers to take part in ERA 2012. The ARC received over 800 nominations and undertook supplementary recruitment where required. Over 1000 ERA peer reviewers were appointed.

Citation providerThe ARC announced Elsevier’s SciVerse Scopus as the successful tenderer to provide citation information for the second round of ERA on 9 September 2011.

Strategic plan priority action for 2011–12: Review the ERA 2010 process, taking into account feedback received through targeted and broad consultation, to inform ERA 2012In preparing for ERA 2012, the ARC consulted formally on the draft ERA 2012 journal list; the draft ERA 2012 documents (including submission guidelines and discipline matrix); and any other general issues related to ERA. In the general consultation, feedback was received on the discipline matrix, applied measures and a range of other specified issues.In addition to the formal consultation processes, representatives of the ARC conducted a range of outreach activities. Members of the ERA 2010 Research Evaluation Committee also participated in the review process.

ERA system and policy developmentOn 30 May 2011, Senator the Hon Kim Carr, the former Minister for Innovation, Industry, Science and Research, announced enhancements to the ERA method.The enhancements were based on feedback from the research community and a review of the ERA 2010 process. They included the following:> the withdrawal of the ranked outlets indicator and the introduction of a refined journal

indicator that does not use prescriptive ranks.> improved capability to accommodate interdisciplinary research. In an extension of an

arrangement successfully trialled in 2010 for the mathematical sciences, universities were permitted to code a journal article with significant content (66 per cent or greater) not represented by the journal’s Fields of Research (FoR) to the FoR code that best describes the content.

> for peer review disciplines, the low volume threshold was increased to 50 apportioned weighted outputs, bringing it in line with the threshold for citation disciplines (50 apportioned indexed articles).

> a change in the rules for the attribution of patents, plant breeders’ rights and registered designs to allow them to be submitted when they are granted to eligible researchers (as well as when they are granted to universities).

Following the announcement of these enhancements, the ARC undertook a range of system and policy development activities to incorporate the changes into the processes and documentation for ERA 2012. The changes were reflected in draft documentation which was released for consultation and feedback before being finalised in August–September 2011. Other improvements to the ERA IT system, and elements of the data collection and data checking processes were developed and implemented for ERA 2012.

DocumentationIn preparation for the submission phase of ERA 2012 the ARC prepared and released the following documentation: > ERA 2012 Journal List; > ERA 2012 Submission Guidelines;> ERA 2012 Discipline Matrix;> ERA-SEER 2012 Technology Pack;> ERA Indicator Principles; and> ERA-SEER 2012 Business Rules.The ARC released the ERA 2012 Journal List on 14 October 2011, following a consultation on the draft conducted between 5 and 19 September 2011. The draft ERA 2012 submission documentation was released on 16 September 2011, following a period of consultation which closed on 1 August 2011.

OBJECTIVESObjective: Administering an evaluation framework that provides assurance of research excellenceTo facilitate ERA evaluations, universities submit comprehensive information about their research activities, including details relating to staff, publications, awards, grants, commercial income and patents.Committees of internationally-recognised researchers evaluate this material by discipline. Their expert judgements are informed by a range of quantitative indicators and peer assessments based on the data submitted by universities. This method provides robust evidence of research quality relative to world standards and is recognised internationally as state of the art. The validity of ERA evaluations of research quality is also widely recognised in Australia.

Significant contributions in 2011–12> ERA 2010 outcomes were incorporated in the 2012 funding formula for the Australian

Government’s Sustainable Research Excellence program. In 2011–12 the ARC participated in consultations undertaken by the Department of Industry, Innovation, Science, Research and Tertiary Education on options for the inclusion of ERA in the funding allocation model for the Sustainable Research Excellence program. Following the release of a consultation paper the ARC attended a series of workshops with universities in each state. The final funding model for 2012 was approved in late 2011.

Strategic plan priority action for 2011–12: Commence ERA 2012The ERA 2012 submission phase was completed successfully, with 41 universities submitting comprehensive information about their research activities.The ARC opened the submission phase of ERA 2012 on 5 March 2012. During this phase, all eligible higher education institutions uploaded their ERA 2012 data into the ERA online system, the System to Evaluate the Excellence of Research.The submission process ended on 27 April 2012 with the certification of institutional ERA submissions by each of those institution’s Vice-Chancellors.

Objective: Providing an overview of areas of research strength and areas with opportunities for developmentThe outcomes of ERA evaluations provide detailed information about the strengths and capacities of research disciplines at Australian universities at both a national and an institutional level. This information assists government, local industry, professionals, students, international partners and the broader community to engage successfully with the Australian research sector.

Significant contributions in 2011–12> The ARC responded to requests for information about ERA outcomes from a wide range of

sources in Australia and overseas, including industry, students, universities, researchers and government.

> The ARC also provided information about ERA outcomes for a wide range of purposes, including the Chief Scientist’s report on the Health of Australian Science and the development of the Australian Government’s MyUniversity website.

EXTRACT FROM THE HEALTH OF AUSTRALIAN SCIENCE REPORT (PAGE 32)

The 2010 Excellence in Research for Australia, or ERA, exercise benchmarked research in Australian universities against the world on the basis of research outputs, measures of esteem and patents sealed in the period 2003 to 2008. In total, 191 270 research outputs (journal articles, conference papers, book chapters, books and non-traditional outputs), 2162 esteem measures and 659 patents sealed were reported in the science-related fields of research. Of the 12 broad fields of science-related research considered in this report, Australia performed at world standard (an ERA rating of 3.0) or better in 10 of those fields.[Office of the Chief Scientist, May 2012]

Objective: Allowing comparisons of Australian research nationally and internationally for all disciplinesThe RECs that undertake ERA evaluations comprise researchers from Australia and overseas that are recognised nationally and internationally for their disciplinary expertise.ERA evaluations are informed by a range of discipline-specific national and international benchmarks based on the ERA data submitted by universities to assist the committees to rate research activity relative to world standards.ERA evaluation processes are also broadly similar to a number of the research evaluation exercises undertaken by comparable countries and this further facilitates international comparisons.

Significant contributions in 2011–12> The ARC continued to develop ERA processes in accordance with international best practice,

while taking account of developments in research assessment exercises in a number of comparable countries. The ARC had ongoing engagement in 2011–12 with overseas authorities involved in the development of research evaluation policies and practices, including the Organisation for Economic Cooperation and Development and research funding agencies in Canada, New Zealand, the United Kingdom and the United States of America.

> The ARC appointed 147 internationally-recognised researchers with wide ranging disciplinary expertise to the ERA 2012 RECs, as outlined on page 79.

> The ARC announced Elsevier’s SciVerse Scopus as the successful tenderer to provide citation information for the second round of ERA on 9 September 2011. Scopus provided the citation information for the 2009 ERA trial and the first full ERA evaluation in 2010, which was the first ever comprehensive assessment of the research effort of Australia’s universities.

Objective: Allowing comparisons of research effort over timeThe first full round of ERA evaluations took place in 2010 and a second full round is taking place in 2012. ERA is designed to allow comparisons of Australia’s research effort over time.

Significant contributions in 2011–12> The outcomes of ERA 2012 will allow for the establishment of data that tracks the research

performance of Australian universities over time.> Comparisons between ERA 2010 and ERA 2012 will be facilitated by the use of similar

submission and evaluation processes for both evaluations:– Universities have submitted data for ERA 2012 in accordance with reference periods that

are similar to those used in ERA 2010.

– ERA 2012 will use indicators of research quality that are very similar to those used in ERA 2010.

– The ERA 2012 RECs will follow similar evaluation guidelines to those adopted for ERA 2010.– ERA 2012 will use the same five point rating scale as used in 2010. Under this scale, a

rating of 3 is world standard and a rating of 3 or above is an excellent outcome.

KEY PERFORMANCE INDICATORSTable 7.3: ERA, performance against key performance indicators

KEY PERFORMANCE INDICATOR

MEASURE 2011–12 TARGET RESULT

Contribution to best practice evaluation of Australia’s research investment in universities[KPI 3.2 in the strategic plan]

Evidence of contribution to best practice evaluation of research investment

Examples of contribution to better practice

Consultation and review processes resulted in enhancements to the ERA methodology for ERA 2012

Achievement of milestones for delivery of ERA 2012.[KPI 3.3 in the strategic plan]

Production of key documentation required for institutions’ preparation for ERA 2012

Successful opening of submission phase of ERA 2012

Submission phase opened as planned on 5 March 2012

Successful outreach initiatives that further inform the sector and other key stakeholders of overarching ERA policy and implementation[KPI 3.4 in the strategic plan]

Sector contribution to development of ERA 2012 processes and policy

Sector involved in the development of enhancements to the ERA methodology for 2012

Enhancements to the ERA methodology for 2012 were informed by consultations with the sector

PART 3MANAGEMENT AND ACCOUNTABILITY

CHAPTER 8: GOVERNANCECHAPTER 9: EXTERNAL SCRUTINYCHAPTER 10: PEOPLE MANAGEMENTCHAPTER 11: FINANCIAL AND LEGAL SERVICESCHAPTER 12: ICT AND FACILITIESCHAPTER 13: COMMUNICATION

CHAPTER 8: GOVERNANCE

AT A GLANCEThe ARC’s governance framework includes:> ministerial oversight of the ARC;> enabling legislation;> roles of senior executive staff;> committee structures within the ARC;> strategic planning and reporting;> risk management and compliance processes;> internal audit; and > ethical values.Specific accountabilities relating to human resources and finances are included in Chapters 10 to 11.

MINISTERAt 30 June 2012 the Minister for Tertiary Education, Skills, Science and Research, Senator the Hon Chris Evans, was the Minister responsible for the ARC. Senator Evans is also the Leader of the Government in the Senate.Senator Evans was appointed Minister for Tertiary Education, Skills, Science and Research on 12 December 2011, replacing Senator the Hon Kim Carr as the Minister responsible for research.

LEGISLATIONThe ARC is established under the Australian Research Council Act 2001 (ARC Act). The Minister has a range of powers under the ARC Act as detailed in Appendix 5. Under the ARC Act particulars of any directions given by the Minister to the ARC in a financial year must be included in the annual report. The ARC received no formal ministerial directions during 2011–12. One ministerial direction issued during 2002–03 continued to apply: the then Minister for Education, Science and Training directed the ARC to take account of national research priorities in performing its functions under the ARC Act.Under the ARC Act the functions of the Chief Executive Officer (CEO) are to: > make recommendations to the Minister on proposals for funding;> administer the financial assistance for research provided through the National Competitive

Grants Program (NCGP);> provide advice to the Minister on research matters; and> undertake any other function conferred on them by the ARC Act or any other Act.The CEO also has statutory responsibilities for managing and leading the agency in accordance with the requirements of the Public Service Act 1999 (PS Act), the Financial Management and Accountability Act 1997 (FMA Act) and other legislation.

SENIOR STAFFChapter 3 outlines the responsibilities of the ARC’s senior staff as at 30 June 2012.

COMMITTEESIn addition to governance committees, the ARC convenes committees to assist with delivery of the NCGP and Excellence in Research for Australia (ERA) as well as the Australian Research Integrity Committee (ARIC) (Figure 8.1). Appendix 6 provides information on membership of the

10 YEAR ANNIVERSARYFriday 1 July 2011 marked ten years since the ARC became an independent statutory authority.To celebrate this significant milestone the ARC held a reception on 14 July 2011 and invited the ARC’s first CEO, Professor Vicki Sara, to provide a historical retrospective of the agency’s road to independence and reflect on the ARC’s accomplishments over the decade.Attendees included previous and current Executive Directors and staff.

committees.

GovernanceAdvisory Council Under the ARC Act the Minister may establish a designated committee to assist the CEO in carrying out her or his functions. At 30 June 2012 the ARC had one designated committee—the ARC Advisory Council. The council provides the CEO with non-binding strategic and policy advice on issues relating to the ARC’s mission; policy matters relating to innovation, research and research training; and matters relating to research evaluation.The CEO is the Chair of the council. In addition, the council comprises up to nine other members, who are external to the ARC. Members are appointed based on their research background or achievements in business research and development. They are appointed for periods of up to three years.The council met twice in 2011–12. Members discussed and provided advice on the ERA process; international researchers; changes to the NCGP; and the ARC strategic plan.

Figure 8.1: Key ARC committees

CHIEF EXECUTIVE OFFICER

GOVERNANCE(EXTERNAL)

ARC Advisory CouncilARC Audit Committee

GOVERNANCE(INTERNAL)

Senior Management GroupStrategic Budget and Human Resources CommitteeSalary Review CommitteeWork Health and Safety CommitteePeople Management and Development CommitteeICT Governance CommitteeARC Security Committee

NCGP(EXTERNAL)

ARC CollegeAppeals CommitteeScrutiny Committee

NCGP(INTERNAL)

NCGP Executive Committee

ERA(EXTERNAL)

Research Evaluation Committees

OTHER(EXTERNAL)

Australian Research Integrity Committee

Audit Committee The ARC Audit Committee is established by the CEO in accordance with the FMA Act. The committee provides independent assurance and assistance to the CEO on the ARC’s risk, control and compliance framework as well as the financial statements. The committee

comprises two external contractors (one of whom is the Chair) and two senior ARC staff members. The committee meets at least four times a year.In 2011–12 the ARC Audit Committee Charter was reviewed and updated to reflect changes to the FMA Regulations and the release of the Australian National Audit Office (ANAO) Better Practice Guide on Public Sector Audit Committees. The CEO approved the revised charter in March 2012.

Other committeesOther committees reporting to the CEO in 2011–12 included the:> Senior Management Group (SMG), which provides advice and direction on strategic and

operational issues and coordinates activities across the agency. The committee meets fortnightly.

> Strategic Budget and Human Resources Committee, which reviews and recommends internal budget priorities and allocations. The committee meets monthly and as required.

> Salary Review Committee, which provides advice on salary and staff performance issues. The committee meets twice a year following mid- and end-of-cycle performance reviews.

> Work Health and Safety (WHS) Committee, which develops and promotes initiatives that protect the health and safety of ARC staff, contractors and visitors. It is also responsible for implementing and reviewing the effectiveness of WHS policies and practices. The committee meets formally at least four times a year and as required.

> People Management and Development Committee, which provides advice on staffing issues. The committee is a staff consultative forum comprising four elected staff representatives, a union representative and a management representative. The committee meets at least four times a year.

> ICT Governance Committee, which reviews ICT services requirements and provides guidance on priorities. The committee meets annually and as required.

> ARC Security Committee, which oversees the effective and efficient adherence to physical, personnel, and IT security measures. The committee meets annually and as required.

National Competitive Grants Program

ARC CollegeIn early 2012 the ARC College of Experts was renamed the ARC College. The change in name was made following the implementation of reforms to the ARC peer review process.The ARC engages the college to identify research excellence, moderate external assessments and recommend fundable proposals. The college also helps the ARC recruit and assign assessors and implement peer review reforms in established and emerging disciplines as well as interdisciplinary areas.The ARC appointed 33 new members to the ARC College in January 2012 after a competitive selection process. The ARC took coverage of the expanding research areas of grant proposals, gender balance, institutional affiliations and state/territory representation into consideration in appointing members to the college.The 2012 college comprises 85 members across five discipline clusters, comprising experts of international standing drawn from the Australian research community—from higher education, industry and public sector research organisations. Members are appointed for up to three years subject to an annual performance review.Meetings of ARC College members are convened during the year depending on scheme requirements. Generally, larger multi-panel meetings are held in April and August each year, while smaller interdisciplinary sub-groups meetings may be convened at the ARC or online at other times.

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

In 2011–12 the committee met once to consider 28 appeals received by the ARC in relation to NCGP proposals across the Discovery Early Career Researcher Award; Discovery Projects; Discovery Indigenous; Linkage Infrastructure, Equipment and Facilities; and Future Fellowships schemes. Of these, five appeals were upheld, including two that were subsequently funded.

Scrutiny CommitteeThe Scrutiny Committee scrutinises the probity of the assessment processes of the ARC College in relation to funding proposals involving members of the college and/or ARC staff. On completion of the process, the committee reports its findings and recommendations to the CEO. The committee consists of three members, who are external to the ARC, but have prior experience of membership of the ARC College. New members are appointed each year by the CEO. In 2011–12 the committee met twice.

NCGP Executive CommitteeThe NCGP Executive Committee provides strategic policy and operational advice on the NCGP. It also makes recommendations on appointments to the ARC College and serves as the NCGP Eligibility Committee.

Excellence in Research for Australia The role of the ERA Research Evaluation Committees (RECs) is to evaluate research at Australian higher education institutions by discipline. The committees comprise distinguished and internationally-recognised researchers with expertise in research evaluation.For the ERA 2012 evaluations 147 members were appointed to eight RECs.

Australian Research Integrity CommitteeARIC reviews the processes institutions use in their response to allegations of research misconduct. The framework under which ARIC operates is designed to contribute to quality assurance and public confidence regarding the integrity of Australia’s research effort.Upon request, ARIC reviews whether an institution’s investigation of allegations of research misconduct is consistent with the Australian Code for the Responsible Conduct of Research (2007) and the institution’s own policies and procedures.ARIC is established jointly by the ARC and the National Health and Medical Research Council (NHMRC) and reports to both agencies. The Committee comprises four members.

Strategic plan priority action for 2011–12: Provide support to the Australian Research Integrity CommitteeIn 2011–12 ARIC and its secretariat continued to work on refining the operational procedures within which ARIC and its convened panels work. This revision is aimed at clarifying the roles of ARIC and its supporting secretariat, improving responsiveness to applications, and ensuring accurate and consistent application of the ARIC Framework (February 2011).During the reporting period, ARIC received four requests for review. Three of the requests were deemed to lie outside the scope of ARIC. One request, relating to research funded by the NHMRC, was reviewed by an ARIC-NHMRC panel. The request contained 10 allegations, the majority of which were found by ARIC to be unsubstantiated. ARIC reported its findings to the NHMRC CEO, who, in turn, notified the relevant parties of the outcome of the review.

PLANNING AND REPORTINGStrategic PlanUnder the ARC Act, the ARC CEO is required to provide a strategic plan to the Minister each year for approval and tabling.

The Minister tabled the ARC Strategic Plan 2011–12 to 2013–14 in Parliament in October 2011. The plan establishes the ARC’s direction until 2014 and describes the key strategies which will be used by the ARC to meet its three key objectives and two enabling objectives (see page 4). The plan also identifies performance indicators to measure the organisation’s progress in achieving its key objectives and the priority actions to be undertaken by the ARC for 2011–12. The strategic plan is on the ARC website.To support the strategic plan, the ARC prepares a one-year operational plan that is reviewed annually. The operational plan outlines the main actions undertaken by the ARC to implement the strategies in the strategic plan.

Portfolio Budget StatementsThe Portfolio Budget Statements (PBS), which are part of the Australian Government’s budget process, summarise the planned outcomes, deliverables, key performance indicators and targets for a given financial year. The ARC is included as a separate agency within the Portfolio Budget Statements 2011–12 Budget Related Paper No. 1.14 Innovation, Industry, Science and Research Portfolio.

ReportingThe annual report is the primary mechanism through which the ARC reports to the Parliament. The report provides information on the activities and performance of the ARC against the performance indicators in the strategic plan and PBS for a given financial year.Progress against the actions identified in the ARC operational plan is monitored internally throughout the year. A final report, reviewing all actions against the operational plan, is prepared after 30 June each year.

RISK MANAGEMENT AND COMPLIANCE Risk Management Framework The ARC is committed to ensuring that a strong risk management culture exists within the agency. The ARC manages risk to:> meet its responsibilities with regard to delivery of the NCGP and ERA;> meet its financial and social responsibilities; and> support good decision-making in all areas of operation.During 2011–12, the ARC reviewed and updated its risk management framework in accordance with Australian Standard (AS/NZS ISO 31000:2009). An ARC Risk Management Policy Statement and ARC Risk Management Plan and Toolkit, incorporating input from the ARC Audit Committee, were approved by the CEO in April 2012. The documents were published on the ARC intranet and all members of staff were notified. Top-down and bottom-up risk assessments were carried out in accordance with the new framework.In 2011–12 executive staff as well as the Chief Information Officer and Senior Legal Counsel participated in a strategic risk assessment of the ARC. The assessment identified strategic risks that may prevent or delay delivery of the objectives set out in the ARC Strategic Plan 2011–12 to 2013–14 and/or the three programs outlined in the 2011-12 PBS. The risks identified during this process were reported to the ARC Audit Committee and used to develop a Strategic Risk Profile, which was approved by the CEO and communicated across the ARC.Informed by the results of the strategic risk assessment, all ARC business units conducted an operational risk register review. The operational risk register review applied a systematic approach to reviewing and collating ARC operational risks; ensured business units were treating all credible risks so they rated as medium or low; and identified significant risks (high or extreme after treatment) for reporting to SMG and the ARC Audit Committee.The ARC participated in Comcover’s annual Risk Management Benchmarking survey. This provided the opportunity to review the effectiveness of the ARC risk management framework and activities; identify areas for improvement and assess the overall risk maturity of the agency.

Fraud ControlDuring 2011–12 the ARC reviewed and updated its Fraud Control Plan. The CEO distributed the updated ARC Fraud Control Plan, including a Fraud Policy Statement, to all staff. The plan was also published on the ARC intranet. Staff attended fraud control training and reported regularly to the Audit Committee on fraud control matters.The CEO has certified within the Letter of Transmittal (page iii) that the ARC has complied with the requirements of the Commonwealth Fraud Control Guidelines.

Business Continuity and Disaster RecoveryIn 2011–12 the ARC reviewed its Business Continuity Plan and associated Disaster Recovery Plan.

Disaster recovery scenario and testingTo ensure that the ARC is prepared to minimise any disruption to ARC business caused by a disaster event, a series of simulated disaster scenarios are conducted annually with the impact and outcomes of those tests recorded. This enables the ICT Services Branch to validate both the impact of disaster scenarios and the procedures to be undertaken to re-establish services.In late December 2011 there was an unplanned shutdown of the ARC ICT systems in Majura Park. As a result, all associated ICT services automatically migrated to the infrastructure in the TransACT Data Centre as Majura Park systems failed. This unplanned event demonstrated that the systems and processes developed by the ICT Services Branch are sufficient to ensure business system continuity for the ARC’s key ICT applications and services.

INTERNAL AUDITInternal audit is an integral part of the ARC corporate governance framework. It assists the ARC to manage risks, achieve corporate objectives and legislative compliance, and improve business operations.The Audit Committee reviews and monitors the internal audit strategic plan and its implementation. The committee also reviews findings and recommendations and monitors management action in response to recommendations.In 2011 the ARC used the Department of Employment Education and Workplace Relations Accounting Services Panel to obtain quotes for the provision of internal audit services. The outcome of the selection process was the appointment of KPMG as the ARC Internal Auditor in December 2011.Three internal audits were finalised by the Internal Auditor in 2011–12 in the areas of procurement, grant administration and staff timekeeping. The results indicated that, generally, ARC processes were operating effectively.

INSTITUTIONAL REVIEWSDuring 2011–12 the ARC internally undertook two institutional reviews. The objective of the reviews was to monitor and evaluate universities’ compliance with ARC funding agreement requirements. As part of the reviews, testing was performed on the universities’ internal frameworks and discussions held with key stakeholders.

ETHICAL BEHAVIOURStaffHigh ethical standards are promoted by senior ARC leaders and the ARC Strategic Plan 2011–12 to 2013–14 includes among its guiding principles ‘accountability through adherence to ethical standards’. Ethical standards are incorporated into ARC governance policies and guidelines and an intranet site has been developed to promote ethical behaviour and the Australian Public Service Commission Ethics Advisory Service.

Induction training for new appointees includes an overview of the Australian Public Service (APS) Code of Conduct and APS Values. The ARC provides new appointees with copies of the codes and the values. New appointees are required to acknowledge that they understand and adopt the code and values before their appointments are finalised. Biannual individual performance reviews provide on-going opportunities for staff and supervisors to directly address ethical issues.The ARC Audit Committee has continued to carry out its responsibility for reviewing whether management has taken steps to embed a culture that promotes the proper use of Commonwealth resources and is committed to ethical and lawful behaviour, as set out in the ARC Audit Committee Charter (March 2012).The ARC social media policy covers the general requirements for official, professional and personal use of social media. The policy was finalised in September 2011. It was published on the intranet and distributed to all ARC staff and contractors by email.Access to social media is monitored in accordance with ARC information technology security policy.

ARC-funded researchersARC-funded research is subject to the principles outlined in the Australian Code for the Responsible Conduct of Research, 2007; the National Statement on Ethical Conduct in Human Research, 2007; the Australian Code of Practice for the Care and Use of Animals for Scientific Purposes, 2004; and the National Principles of Intellectual Property Management for Publicly Funded Research, 2001. The NCGP funding rules and funding contracts clearly state requirements for ethical compliance.The ARC Complaints Handling Policy and Procedures includes a formal process for handling research misconduct allegations related to scientific fraud, ethical breaches and research misconduct that is external to the ARC and associated with ARC-funded research. The ARC has a Research Misconduct Officer responsible for registering, managing and reporting all cases of research misconduct allegations.The ARC, together with the NHMRC, administers ARIC. ARIC provides a system to review institutional processes to respond to allegations of research misconduct.

ARC committee members and 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. The guidelines outline confidentiality, code of conduct and conflict of interest obligations and ensure that real or perceived conflicts are identified, disclosed and managed in a rigorous and transparent way. The guidelines are made available to any relevant parties and are available on the ARC website.The ARC Complaints Handling Policy and Procedures outlines reporting processes for ARC College members or assessors who discover a possible case of research misconduct during the peer review of a proposal.

CHAPTER 9: EXTERNAL SCRUTINY

AT A GLANCEThe ARC is subject to external scrutiny by a range of bodies including:> the Australian Parliament;> the Australian National Audit Office (ANAO);> a range of other external bodies (including the Commonwealth

Ombudsman, the Privacy Commissioner and the Administrative Appeals Tribunal); and

> stakeholder organisations.As part of the scrutiny by parliament, the ARC is required to provide information in its annual report on:> a number of matters required by legislation (work health and safety;

advertising and market research; ecologically sustainable development)

> the grant programs it administers;> disability reporting; > social inclusion; and> freedom of information.

PARLIAMENTARY COMMITTEESThe ARC appeared before the Senate Economics Legislation Committee at estimates hearings held in October 2011, February 2012 and May 2012. The ARC responded to six questions on notice arising from these hearings. It also provided input to 75 questions on notice directed to the ARC’s portfolio department (Department of Industry, Innovation, Science, Research and Tertiary Education).On 15 March 2012 the Senate Economics Legislation Committee released its report on annual reports of the agencies for which it is responsible (Annual reports (No. 1 of 2012)). The committee reported that it considered that the ARC had met its reporting requirements under section 63 of the Public Service Act 1999, the Financial Management and Accountability Act 1997 (FMA Act) and the Australian Research Council Act 2001 (ARC Act).In 2011–12 the ARC made a submission to the inquiry on the Defence Trade Controls Bill 2011 being conducted by the Senate Standing Committee on Foreign Affairs, Defence and Trade. If passed, the Bill will give effect to the Treaty between the Government of Australia and the Government of the United States of America concerning Defense Trade Cooperation.

AUSTRALIAN NATIONAL AUDIT OFFICE The ANAO is responsible for auditing the ARC’s annual financial statements. Chapter 15 of this report provides details of the audit.During 2011–12 the ANAO tabled two cross-agency audit reports involving input from the ARC. They were:> Administration of Grant Reporting Obligations, Audit Report No. 21, tabled on 24

January 2012—the ANAO reported that in the period under consideration the ARC had more than 20 instances of grant program guidelines for which there was no evidence of the required approval (by the Expenditure Review Committee) being obtained prior to their release.

> Development and Approval of Grant Program Guidelines, Audit Report No. 36, tabled on 30 May 2012—the ANAO reported that the ARC had not met the requirements of the Commonwealth Grant Guidelines with regard to posting of grants information on its website.

The ARC has subsequently implemented processes to ensure that it complies with both these requirements. A standard data extraction has been formulated for the grants information and all funding rules are forwarded to the Department of Finance and Deregulation for consideration.In addition to the reports above, the ANAO released a number of audit reports with recommendations relevant to the ARC including: > Confidentiality in Government Contracts: Senate Order for Departmental and Agency

Contracts (Calendar Year 2010 Compliance), Audit Report No. 2, tabled on 25 August 2011;> Development and Implementation of Key Performance Indicators to Support the Outcomes

and Programs Framework, Audit Report No. 5, tabled on 8 September 2011;> Information and Communications Technology Security: Management of Portable Storage

Devices; Audit Report No. 18, tabled on 20 December 2011; and> Establishment and Use of Procurement Panels, Audit Report No. 31, tabled on 1 May 2012.The ANAO also released a number of Better Practice Guides relevant to the ARC including: Public Service Audit Committees; Developing and Managing Contracts; and Public Sector Environmental Management.

OTHER EXTERNAL BODIESDuring 2011–12:> the Commonwealth Ombudsman’s Office did not initiate any investigations about ARC

business;> the Human Rights and Equal Opportunity Commissioner did not refer any complaints to the

ARC;

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

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

> there were no claims received by the ARC under the Compensation for Detriment for Defective Administration scheme (which allows people adversely affected by the maladministration of an Australian Government agency to receive compensation when they have no legal redress— one claim that was reported in last year’s annual report as being ongoing as at 30 June 2011 was finalised in July 2011); and

> there were two requests for the Office of the Australian Information Commissioner to review an ARC freedom of information decision.

STAKEHOLDERSClient Service CharterIn 2011–12 the ARC reviewed and updated the ARC Client Service Charter. The CEO approved the updated charter and it was published on the ARC website in November 2011.The charter sets out the standards of service clients and stakeholders should expect from the ARC. It also provides guidance for the process clients and stakeholders can follow if they are dissatisfied with the level of service they have received.The ARC received no complaints in relation to the client service charter mechanism in 2011–12. Appendix 7 provides details of the ARC’s performance against the service standards in the charter.

Complaints handlingDuring the year the ARC developed and implemented a new complaints handling policy and procedures document. The document was published on the ARC website in November 2011.The policy aims to ensure a consistent approach to the management of complaints; provide a system that facilitates management of complaints in a timely, sensitive and effective manner; increase awareness of feedback and complaints management requirements; provide a framework of clear governance; and enable a mechanism for using complaints and consumer feedback to improve services.It covers complaints made by clients or stakeholders in the following three areas:> general complaints about the ARC;> appeals about the administrative processes of the NCGP; and> research misconduct allegations related to scientific fraud, ethical breaches and research

misconduct external to the ARC, but associated with research funded by the ARC.In 2011–12, 28 appeals about NCGP administrative processes and five research misconduct allegations were submitted to the ARC. There were no instances of general complaints submitted to the ARC.

MANDATORY REPORTING IN ANNUAL REPORTSLegislative requirements In accordance with specific legislative requirements, an annual report must include matters in relation to:> work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011); > advertising and market research (section 311A, Commonwealth Electoral Act 1918); > ecologically sustainable development and environmental performance (section 516A,

Environment Protection and Biodiversity Conservation Act 1999); and> compliance with the agency’s obligations under the Carer Recognition Act 2010.Appendices 8, 9 and 10 respectively provide reports against the first three requirements above.

The ARC does not have any obligations with regard to the Carer Recognition Act 2010, that is, it is not an agency as defined in the Public Service Act 1999 that is responsible for the development, implementation, provision of evaluation of policies, programs or services directed to carers or the persons for whom they care.

Other requirements

Grant programsThe ARC administers a number of funding schemes under the National Competitive Grants Program. Appendix 2 provides a list of the funding schemes. Information on grants awarded by the ARC during the period 1 July 2011 to 30 June 2012 is available at www.arc.gov.au.

Disability reportingSince 1994, Commonwealth departments and agencies have reported on their performance as policy adviser, purchaser, employer, regulator and provider under the Commonwealth Disability Strategy. In 2007–08, reporting on the employer role was transferred to the Australian Public Service Commission’s State of the Service Report and the APS Statistical Bulletin. These reports are available at www.apsc.gov.au. From 2010–11, departments and agencies are no longer required to report on these functions.The Commonwealth Disability Strategy has been overtaken by a new National Disability Strategy which sets out a ten year national policy framework for improving life for Australians with disability, their families and carers. A high-level report to track progress for people with disability at a national level will be produced by the Standing Council on Community, Housing and Disability Services to the Council of Australian Governments and will be available at www.fahcsia.gov.au.The Social Inclusion Measurement and Reporting Strategy agreed by the Australian Government in December 2009 will also include some reporting on disability matters in its regular How Australia is Faring report and, if appropriate, in strategic change indicators in agency annual reports. More detail on social inclusion matters can be found at www.socialinclusion.gov.au.

Social inclusion 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.

Freedom of InformationAgencies subject to the Freedom of Information Act 1982 (FOI Act) are required to publish information to the public as part of the Information Publication Scheme (IPS). This requirement is in Part II of the FOI Act and has replaced the former requirement under the annual report requirements to publish a section 8 statement in an annual report. Each agency must display on its website a plan showing what information it publishes in accordance with the IPS requirements.

Correction of errorsAppendix 11 outlines the errors or omissions of fact identified in the ARC Annual Report 2010–11.

OTHER REPORTINGCommonwealth Grants GuidelinesThe Commonwealth Grant Guidelines (CGGs) establish the grants policy and reporting framework for all departments and agencies subject to the FMA Act. Under the CGGs the ARC must publish on its website details of all grants within seven days of the signing of the grant agreement. This information is provided on the ARC website at http://www.arc.gov.au/about_arc/grants.htm.

CHAPTER 10: PEOPLE MANAGEMENT

AT A GLANCEAt 30 June 2012 the ARC had 125 staff primarily located in Canberra.The ARC undertook several key people management initiatives during the year including> finalising and implementing a new enterprise agreement;> reviewing and updating human resource policies to reflect the new

agreement; > implementing new work health and safety requirements; and> encouraging staff development and strengthening leadership and

management skills.

STAFF STATISTICSStatistics on ARC employees by classification level, full-time/part-time status, gender and employment arrangement are provided in Appendix 12 (Tables A12.1 to A12.4). At 30 June 2012:> The ARC had 125 staff compared to 112 at the same time last year. The largest number of

staff were at the Executive Level 1. (Figure 10.1)> Over 92 per cent of total staff were ongoing and over 87 per cent were full-time.

(Figure 10.2)> 67 per cent of staff were female with the largest number of female staff employed at the

Executive Level 1 level. (Figure 10.3)– the numbers of female staff at the Senior Executive Service Band 1, Executive Level 1,

APS6 and APS4-5 levels have increased.> The ARC had recorded 20 separations from the agency, compared to 35 in 2011.Since our last annual report:

– the numbers of staff at the Executive Level 1, APS6 and APS4-5 levels increased.

Figure 10.1: ARC staff by classification

Figure 10.2: Ongoing and non-ongoing ARC staff

Figure 10.3: ARC staffing by gender

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

STAFF TURNOVER AND RETENTIONDuring 2011–12, 20 employees separated from the ARC (excluding the CEO). Table 10.1 shows the number of staff separations by classification level and employment category.The ARC has a range of human resource strategies in place which contribute to the retention of skilled staff. These strategies include the provision of:> flexible employment conditions;> access to training and development opportunities;> a safe and healthy work environment;> workplace diversity;> good communication strategies; and> rewards and recognition.

EMPLOYMENT CONDITIONSOverviewTable 10.2 shows the number of ARC staff under various workplace arrangements at 30 June 2011 and 2012.At 30 June 2012 the ARC employed 122 non-SES staff under either the ARC Enterprise Agreement 2011-14 or an Australian Workplace Agreement (AWA). Four staff employed under the Enterprise Agreement were also covered by Individual Flexibility Arrangements (IFAs). At 30 June 2012 there were four senior executive service (SES) staff employed under common law contracts.

Table 10.1: Staff separations by classification level and employment category, 2010–11 and 2011–12

CLASSIFICATION ONGOING NON-ONGOING TOTAL

2010–11 2011–12 2010–11 2011–12 2010–11 2011–12

SES Bands 1–3 1 0 1 2 2 2

Executive Level 2 2 0 0 1 2 1

Executive Level 1 5 2 2 0 7 2

APS 6 (ARC Level 3) 10 3 4 0 14 3

APS 4–5 (ARC Level 2) 2 7 5 3 7 10

APS 1–3 (ARC Level 1) 1 1 2 1 3 2

TOTAL 21 13 14 7 35 20

Table 10.2: Employment arrangements covering staff (at 30 June 2011 and 2012)

EMPLOYMENT ARRANGEMENT STAFF 2011(NO.)

2012(NO.)

ARC Enterprise Agreement SES 0 0

Non-SES 94 115

Australian Workplace Agreements SES 0 0

Non-SES 13 7

Common Law Contracts SES1 5 4

Non-SES 0 0

s. 24(1) Determinations SES 0 0

Non-SES2 4 2

Individual Flexibility Arrangements SES 0 0

Non-SES2 0 41. The Acting CEO was covered by a common law contract but not included in staffing figures. 2. Non-SES Employees with a section 24(1) Determination or IFA are also covered by the Enterprise Agreement. As a result the total number of agreements is higher than the total number of staff by the number of s. 24(1) Determinations and IFAs.

Workplace arrangements

Enterprise agreementThe Enterprise Agreement came into effect on 20 September 2011. Features of the agreement include the following:> three pay increases, each of three per cent, payable from the date of commencement;

1 July 2012; and 1 July 2013;> payment of a Healthy Lifestyle Allowance of $250 per year;> extension of access to part-time work arrangements for parents until a child is six years old

(up from two years old in previous agreement);> a new provision for access to annual leave at half pay (for periods of absence of up to 10

days);> an increase in compassionate leave to three days per occasion;> provision of training for supervisors on the Performance Management System to improve

feedback to staff and consistency in the implementation of the system; > provision of an allowance for Harassment Contact Officers; and > provision for staff training on preventing and dealing with bullying and harassment.The agreement is consistent with the Australian Public Service Bargaining Framework.

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

Australian Workplace AgreementsSome non-SES staff were covered by AWAs in 2011–12. These AWAs were in place prior to the changes to the Workplace Relations Act 1996 which stipulated that no new AWA may be entered into on or after 13 February 2008.

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

Common Law ContractsEmployee arrangements under common law contracts set the terms and conditions for employment of SES staff at the ARC.

Remuneration

Non-SES staffThe 2011–12 salary ranges for non-SES staff at the ARC are as follows: > Executive Level 2—$107,846–$150,000;> Executive Level 1—$89,881–$96,790;> APS6—$70,372–$78,590;> APS5—$63,560–$67,169;> APS4—$58,506–$61,827;> APS3—$52,043–$54,996;> APS2—$46,599–$50,623; and> APS1—$43,104–$44,208.

The ranges include salaries under all workplace arrangements outlined above.

SES staffAt 30 June 2012 the notional salary range for SES Band 1 and Band 2 officers was between $164 800 and $267 800. In the financial statements, Note 13 provides additional information on executive remuneration in 2011–12 (see Part 4, page 157).Individual common law contracts determine the nature and amount of remuneration provided to SES employees. The CEO reviews remuneration annually taking into account the individual’s personal skills, knowledge, experience and capabilities as well as achievements against goals set in the preceding performance cycle.

Performance payPerformance pay is not available to employees at the ARC.

TRAINING AND DEVELOPMENTExpenditureThe ARC spent a total of $128 791 on learning and development activities, including formal training programs, in 2011–12 (Table 10.3).The average training and development expenditure was $1030 per person (based on 125 employees) with an average attendance of 2.5 days per person. The ARC spent a total of $12 111 on studies assistance for six staff members to undertake studies approved under the ARC Studies Assistance Guidelines during 2011–12.

Internal trainingDuring the year all new employees were required to attend three programs—Introduction to ARC, Introduction to the APS and Introduction to Administrative Law. The Enterprise Agreement included access to these programs to ensure continuation of the initiative.In 2011–12 the ARC also introduced performance management training for supervisors following from a commitment made in the ARC’s new agreement.

SAFE AND HEALTHY WORK ENVIRONMENTAppendix 8 provides information on the ARC’s work health and safety performance, as required under the Work Health and Safety Act 2011 (Cth) (WHS Act).On 1 January 2012 the WHS Act commenced for the Commonwealth jurisdiction. The WHS Act replaces the now retracted Occupational Health and Safety Act 1991 (OHS Act). In preparation for commencement of the WHS Act, People and Services:> undertook a gap analysis of the OHS Act and the WHS Act to understand how the ARC was

placed to manage the transition and the changes needed to achieve compliance; > reviewed and adapted the existing Health and Safety Management Arrangements to reflect the

consultative arrangements requirement of the WHS Act and the various other changes to terminology and roles;

> developed guidance material for officers to assist them to understand the extent of their duties and what they need to do to satisfy the ‘due diligence’ requirement of their duty;

> educated ARC staff about the WHS Act (including providing guidance material and a self-training module prepared by Comcare on the ARC intranet); and

> identified changes that needed to be made to the wording of contracts.

In 2011–12 the ARC’s Occupational Health and Safety committee was renamed the Work Health and Safety committee.

Table 10.3: Training and development by classification level, 2011–12

CLASSIFICATION STAFF (NO.)

PERSON DAYS USED  (NO.)

EXPENDITURE ($)

CEO and SES 4 4.5 7 085Executive Level 1–2 35 111.1 48 331APS 1–6 57 190.8 73 375TOTAL 96 306.4 128 791

WORKPLACE POLICIESDuring 2011–12 the ARC reviewed its Workplace Diversity Plan and Discrimination and Harassment-free Workplace Policy.The Enterprise Agreement included an ongoing commitment to promoting a productive workplace that provides employees with a fair, flexible, safe and rewarding workplace, characterised by respect, courtesy, inclusion and equity; and early intervention and resolution in instances of workplace harassment, bullying or discrimination and fair treatment of employees involved. It also included a commitment to provide staff with a training course on preventing and dealing with bullying and harassment in the workplace.The ARC is committed to making all reasonable endeavours to increase Aboriginal and Torres Strait Islander employment within the ARC. During 2011–12 several staff undertook cultural competency training.

PRODUCTIVITY GAINSIn 2011–12 the ARC made productivity gains by:> using the portfolio department for corporate services such as training;> strengthening the performance management framework;> implementing various retention strategies;> improving links with business planning and human resources strategic plans;> improving business processes;> expanding and strengthening learning and development opportunities;> strengthening the governance framework; and> improving the efficiency of corporate functions.

COMMUNICATIONIn 2011–12 the ARC reviewed its intranet and implemented new and improved features to better inform staff about issues relating to the agency. The changes included home page alerts on recent updates and improving the accessibility of information on key policies, procedures and governance issues.

REWARDS AND RECOGNITIONEach year the ARC awards Australia Day Achievement Medallions. Details are provided on page 102.

AUSTRALIA DAY ACHIEVEMENT MEDALLIONSThe Australia Day Achievement Medallions provide government departments and agencies with the opportunity to acknowledge the contribution of their staff for outstanding performance of special projects or in performance of their core duties.

On 25 January 2012, at an Australian Day Barbeque, the CEO presented six Australia Day Achievement Medallions to ARC staff and teams.Recipients were:> Laurence Garner for his professionalism and dedication to the ARC in maintaining the new

ICT infrastructure.> Jennie Thanopoulos for her management of several high-quality ministerial announcement

events during 2011 and taking on roles beyond her executive assistant and ERA duties.> Letitia Abela for her unfailing commitment to help the ARC with legal issues.> The RMS Assignment Module Redevelopment team (Salesi Akauola, Lien Nguyen, Scott

Egan, Alex Brown, Adrian Sawade and Annette Vincent) for delivering the new RMS assignment module in a compressed time frame, providing the ARC with significant improvements to business productivity)

> The Discovery Early Career Researcher Award team (Claudia Stien, Isa Chan and Akshra Kaul) for seamlessly getting the DECRA scheme up and running under short notice.

> The Quality Assurance and Business Systems Team (Cherie Atkinson, Belinda Graham and Beverley Biglia) for their hard work in providing essential communication and quality control services between Program Operations, RMS support and data management.

CHAPTER 11: FINANCIAL AND LEGAL SERVICES

AT A GLANCEThis chapter provides an outline of:> the ARC’s procurement framework including the use of

consultants; and> the ARC’s arrangements for legal services.

FINANCIAL SERVICESPurchasing The Commonwealth Procurement Guidelines (CPGs) set out the key principles of purchasing which are:> value for money; > encouraging competition; > efficient, effective, economical and ethical use of resources; and> accountability and transparency.The ARC complies with the Australian Government’s purchasing polices as articulated in the CPGs, including procuring goods and services through a whole of government arrangement where applicable. The governance framework includes the ARC Chief Executive Instructions (CEIs) which outline mandatory requirements, internal procedure manuals and instructions that expand on the CEIs by setting out operational requirements. In 2011–12, specific and detailed instructions on procurement were developed and issued to all Regulation 9 delegates and additional guidance material was placed on the ARC’s intranet.The Finance Unit has overall responsibility for procurement within the ARC. Staff of the unit provide information and training about procurement policies and procedures as required.The ARC makes information on procurements expected each year available in the ARC Annual Procurement Plan, available from the AusTender website www.tenders.gov.au. This plan outlines the more significant planned procurements for the forthcoming year and gives potential suppliers early notice.

Consultants

Policy on selection and engagement of consultantsThe ARC engages consultants where it lacks specialist expertise or when independent research, review or assessment is required. Consultants are typically engaged to investigate or diagnose a defined issue or problem; carry out defined reviews or evaluations; or provide independent advice, information or creative solutions to assist in the ARC’s decision making.Prior to engaging consultants, the ARC takes into account the skills and resources required for the task, the skills available internally, and the cost-effectiveness of engaging external expertise. The decision to engage a consultant is made in accordance with the Financial Management and Accountability Act 1997 (FMA Act) and related regulations including the CPGs. The ARC’s policy on selecting and engaging consultants is also set out in its CEIs and in related procurement instructions and guidance material.

ExpenditureDuring 2011–12, the ARC entered into 182 new consultancy contracts involving total actual expenditure of $830 000. In addition, 24 ongoing consultancy contracts were active during the 2011–12 year, involving total actual expenditure of $252 000.The majority of the new consultancy contracts in 2011–12 were payments for services relating to ARC committees, including the ARC College and the ERA Research Evaluation Committees.Over the past three years the ARC’s expenditure on consultancy contracts was:> $1 081 686 in 2011–12;> $2 640 108 in 2010–11; and> $1 358 696 in 2009–10.Annual reports contain information about actual expenditure on contracts for consultancies. Information on the value of contracts and consultancies is available on the AusTender website www.tenders.gov.au.

Exempt 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.

Australian National Audit Office access clausesAll contracts let 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 SERVICESOverviewThe ARC in-house Legal Counsel provides general legal advice across the ARC’s corporate and program responsibilities as well as about the agency’s compliance with various reporting requirements (including those in relation to freedom of information and legal services). External legal advice is sought as required.

Legal services 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 (Appendix 13).

Freedom of Information In 2011–12 the ARC received 12 requests for access to ARC documents under the Freedom of Information Act 1988 (FOI Act)—a slight increase over the number of requests received in 2010–11. Table 11.1 shows the status of requests made under the FOI Act since 2009–10.

Table 11.1: Requests under the FOI Act, 2009–10 to 2011–12

REQUESTS YEAR

2009–10 2010–11 2011–12

Received 7 9 12

Granted in full or in part 4 7 9

Denied 0 0 3

Not finalised (as at 30 June) 3 1 0

Transferred to another agency 0 0 0

Withdrawn 0 1 0

Proceeded to internal review 1 0 1

CHAPTER 12: ICT AND FACILITIES

AT A GLANCEICT Services supplies the ICT infrastructure, help desk services, data management, software development and technical support to enable the delivery of the ARC’s two key initiatives—Excellence in Research for Australia (ERA) and the National Competitive Grants Program—as well as the ARC’s corporate functions.At June 2012, the ARC’s external IT systems were accessed by over 65 000 users in the research community. The ARC’s internal systems support over 100 ARC staff mainly located in Canberra.The ARC leases office space in Majura Park Canberra. The Facilities team is responsible for liaison with the building owners regarding property and maintenance matters.Other key responsibilities include records management, mail services, pool vehicle, security and parking passes, stationery and office equipment, and a range of work health and safety activities.

ICT SERVICESPlanningThe ICT Operational Plan sets key milestones that enable ICT support of business functions within the ARC from both an infrastructure and software development perspective. Traffic light reporting provides a quick and easy assessment against the targets and is reviewed monthly by ICT leadership and reported to the ICT Governance Committee.In addition, the ARC Software Development Plan, a component within the ICT Operational Plan, sets an 18 to 24 month view of both business as usual and new software development projects.

Delivery of the National Competitive Grants ProgramThe Research Management System (RMS) is a web-based system used to prepare and submit research proposals, assessments and rejoinders. RMS is used by:> researchers to complete pre-submission eligibility issues, proposals and rejoinders and

submit them to the relevant administering organisation; > researchers to update personal information and their expertise;> administering organisations (research offices) to check pre-submission eligibility issues,

proposals and rejoinders and submit them to the ARC; > administering organisations (research offices) to maintain internal user account records; and > ARC administrators.The RMS application currently has 65 493 registered ‘active’ users made up of researchers, researcher/assessors, research office staff and ARC staff. The RMS was available to the research sector for 99.999 per cent of planned available time for the 2011–12 financial year.

Stakeholder engagementThe RMS Help Desk service operates 9am–5pm on each business day. The current service, both automated and manual, offers RMS users immediate automated assistance for password resets and personal assistance for issues of a technical/business nature and also tracks calls escalated for resolution. Typically, all calls are resolved on first contact; if not, the caller is updated on the status of their query within 48 hours.The Help Desk routinely receives e-mails of praise and complaint on how RMS functions impact individual researchers. There were no significant complaints from the sector during this period.

Delivery of Excellence in Research for AustraliaThe System for the Evaluation of Excellence in Research (SEER) was redeveloped to support Excellence in Research for Australia (ERA) 2012. Four system releases were successfully developed and implemented to provide the enhanced and additional functionality required for the second ERA evaluation. The changes were delivered on time and within budget.

Stakeholder engagementSEER experienced seven unplanned outages during 2011–2012 resulting in 99.7 per cent availability. The outages caused minimal disruption to users with only two being longer than 30 minutes.

IT infrastructure and servicesIn early 2012, ICT Services completed an agency-wide desktop hardware and software refresh which delivered new tools across the agency including desktop video conferencing for internal and external collaboration.

FACILITIESProperty ManagementARC head office is at Majura Park, Canberra Airport. During 2011–12 the ARC also occupied share offices in Brisbane and Hobart. The facilities team manages the leases, memorandum of understanding and licence agreements for the ARC’s property portfolio.The ARC has a Property Management Plan to cover all occupied leases to ensure better practise in property management planning. The ARC has met the Australian Government occupational density target of 16 square metres per occupied workpoint.

Asset ManagementAsset management is not a significant aspect of the ARC’s strategic business.The agency’s assets include office fit out, furniture, IT software and ‘portable and attractive’ equipment held at the ARC offices at Majura Park Canberra and at the Brisbane and Hobart offices.The ARC reviews its asset holdings annually to ensure cost effectiveness and whole-of-life asset utilisation. In February 2012 the ARC conducted a stocktake of its assets located at Majura Park Canberra, Brisbane and Hobart offices. While the facilities team coordinates asset management activities, responsibility for the safekeeping of assets remains within each functional area of the ARC.

Records 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 with appropriate evidential characteristics.The Facilities team coordinates responsibility for records management activity within the ARC. During 2011–12:> the ARC records management policy and procedures were updated and placed on the ARC

intranet;> all staff with file management responsibilities received training; and> information on records management was included as part of induction training.

Physical SecurityFacilities manages the ARC security passes for ongoing and non-ongoing staff and contractors. The ARC complies with the advice on protective security provided by the Australian Government Information Management Office. In 2011–12 the ARC implemented recommendations on identification card design which are aimed at achieving standardisation and transparency in the policies and practises relating to staff identity and identity management across the Australian Government.

CHAPTER 13: COMMUNICATION

AT A GLANCE This chapter provides a report on the ARC’s activities:> as an advocate for the benefits of Australian research; and> in maintaining productive relationships with its stakeholders.The ARC’s key stakeholders are Australian higher education institutions and their partners in the government, private, and non-profit sectors, the Parliament of Australia, and the Australian public.

PROMOTION Grants announcement eventsIn 2011–12 the ARC arranged three events for the Minister to announce the outcomes of selection rounds conducted under the National Competitive Grants Program (NNGP) schemes:> Australian Laureate Fellowships on August 2011;> Discovery Projects, Discovery Indigenous, Linkage Infrastructure, Equipment and Facilities

and Linkage Projects on 1 November 2011; and> Discovery Early Career Researcher Award and Future Fellowships on 14 November 2011.

Research ExpoThe ARC held a research expo in conjunction with the major grants announcement in November. At the expo, the ARC, the Department of Innovation, Industry, Science and Research (DIISR) and Australian universities showcased publicly-funded research and highlighted the Australian Government’s support for research and innovation in Australia.Researchers, senior members of the academic community, industry representatives, parliamentarians and members of the general community (including primary and secondary school students) attended the expo. It was an opportunity to increase student awareness of research to engage and excite them to pursue future research careers.

Media releases and publicationsThe Minister and the ARC made a total of 34 media announcements during the year about ARC matters. Of the 34, 26 media releases were to announce funding outcomes and the remaining eight were about:> an extension in funding awarded to the ARC Centre of Excellence for Policing and Security;> the number of international researchers that come to Australia with ARC support;> ARC-funded researchers who were made fellows of the Learned Academies;> the appointment of the Research Evaluation Committees Chairs for Excellence in Research

for Australia (ERA) 2012, and the appointment of the committee members;> Australia’s Nobel Laureate in Physics, Professor Brian Schmidt;> the appointment of the citation provider for ERA 2012; and> the ten-year anniversary of the ARC.Media releases are listed in Appendix 14.

Sponsorship

Australasian Research Management SocietyThe ARC sponsored the Australasian Research Management Society (ARMS) 13th Annual National Conference ‘Imagine the Transformation. Transform your Imagination’ held in Sydney on 13 to 16 September 2011.The ARMS Annual Conference is the principal research meeting for research managers and administrators in Australasia, attracting researchers and a wide range of industry professionals from both public and private organisations and other research management institutes. The aim of the conference is to provide a stimulating and practical program with social events and networking opportunities.The ARC is a ‘bronze’ sponsor of the event, providing $8 500 (including GST) in sponsorship funding towards the event.

Eureka Prize for Excellence in Research by an Interdisciplinary TeamThe ARC sponsored the Eureka Prize for Excellence in Research by an Interdisciplinary Team for the third time in 2011. The $10 000 prize rewards an Australian research partnership, group or team for a ground breaking outcome that has involved collaboration and integration between researchers from two or more unrelated disciplines.

Communicating research outcomesSubject to commercial sensitivities and Intellectual Property considerations, the ARC expects researchers and research institutions to communicate the outcomes of ARC-funded research projects to the research community and, where appropriate and possible, to the community at large.The ARC also showcases the outcomes of ARC-funded research, including through participation in conferences and exhibitions.

An example – Super Science Fellows symposiumAn inaugural symposium of Super Science Fellows in astronomy was held in Tasmania on 18–20 April 2012, hosted and organised by the School of Mathematics and Physics at the University of Tasmania.The event was opened by His Excellency the Honourable Peter Underwood AC, Governor of Tasmania and the University of Tasmania Vice-Chancellor, Professor Peter Rathjen. It featured talks from Super Science Fellows, with general attendance open to all members of the astronomy and space-science community.

Showcasing of the ARC and ARC-funded researchThe ARC showcased ARC-funded research at the Innovation in Australia showcase in Brisbane. Hosted by DIISR, the Innovation Showcase was held on 7 December 2011. The showcase coincided with the announcement of award winners from The Australian Innovation Challenge. The ARC also hosted a stall at the CRC Association annual conference Collaborate, Innovate 2012, held in Adelaide 15–17 May 2012.

STAKEHOLDER ENGAGEMENTConsultationsThe ARC undertook a number of stakeholder consultations during the year including:> the Linkage Infrastructure, Equipment and Facilities consultation;> the ERA public consultation; and> the ERA Ranked Outlets consultation.Part 2 of this report provides further information on these consultations.

Participation in national and international forums

NationalEx-officio membership

During 2011–12 the ARC Chief Executive Officer (CEO) was a member of the: Australia-India Council Board; Cooperative Research Centres Committee; National Research Infrastructure Committee; National Research Foundation of Korea; Prime Minister’s Science, Engineering and Innovation Council; and Science Industry Endowment Fund Advisory Council.Portfolio

The ARC worked closely with the Department of Industry, Innovation, Science, Research and Tertiary Education across a range of areas relating to research policy and programs including:> the development of the funding allocation methodology for the Sustainable Research

Excellence program in which ERA outcomes are an integral element;> liaising with the Tertiary Education Quality Standards Agency on the development of the

research standards as part of its regulation of higher education; > the implementation of key elements of the Research Workforce Strategy; and> the development of the Australian Government’s Feasibility Study on Research Impact

Assessment.The ARC also worked with the department to provide information and advice for the Focusing Australia’s Publicly Funded Research Review, the Chief Scientist’s Health of Australian Science

Report, and the Australian Research Committee’s National Research Investment Plan.

Submissions to Australian Government Reviews and Inquiries

During 2011–12 the ARC made submissions to:> the development of a White Paper on Australia in the Asian Century; and> the Strategic Review of Health and Medical Research.

Inspiring Australia contact officers group

The ARC continued to participate in the Inspiring Australia contact officers group. The group, formed to further the communication of science and innovation to the general public, consists of representatives from many science-related Commonwealth Departments and agencies. During 2011–12 the working group met three times to discuss upcoming opportunities for the promotion of science and research, and to seek opportunities for collaboration between agencies.Ocean and Coastal Communicators Network

The ARC participated in the Ocean and Coastal Communicators Network, which is established under the Oceans Policy Science Advisory Group to encourage the wider communication of marine-related science and research. The network also consists of representatives from the Australian Institute of Marine Science, CSIRO, Geosciences Australia, the University of Tasmania’s Integrated Marine Observing System and the Australian Antarctic Division.Through regular monthly teleconferences and two face-to-face meetings during 2011–12, the group collaborated on opportunities to promote marine-related science outcomes including an event at Parliament House on 16 August 2011 to celebrate the Census of Marine Life.

International During the year ARC representatives visited a range of research agencies and organisations overseas to participate in conferences; seek new ideas and common ground on research policy; exchange information about research assessment processes; and further develop methods of, and coach others on best practice in, evaluating research excellence.Visits made included the following:

> opening of the Sino-Australia Neurogenetics Laboratory (Shanghai, China) August 2011;> China-Australia Joint Science and Technology Commission (Shanghai, China) August 2011;

EUREKA PRIZE The Australian Museum presents the Eureka Prizes annually. The prizes reward excellence in a range of fields including research and innovation, science leadership, school science and science journalism and communication.

The 2011 Eureka Prizes were presented at the Eureka Prizes annual gala awards dinner held in Sydney on 6 September 2011. The winner of the Eureka Prize for Excellence in Research by an Interdisciplinary Team was the Nanopatch Vaccination team. Professor Mark Kendall, an ARC Future Fellow from the Australian Institute for Bioengineering and Nanotechnology at The University of Queensland, led this ground breaking work.

The Nanopatch vaccination team includes engineers, mathematicians, materials scientists and immunologists. It also receives input from the laboratories of cervical cancer vaccine inventor Professor Ian Frazer, the Translational Research Institute at Brisbane’s Princess Alexandra Hospital; Professor Michael Roberts, Director of the Therapeutics Research Unit at The University

> Shanghai Jiao Tong University (Shanghai, China) August 2011;> Natural Sciences and Engineering Research Council of Canada (Ottawa, Canada)

October 2011;> Social Sciences and Humanities Research Council of Canada (Ottawa, Canada)

October 2011;> Global Merit Review Meeting of Asia Pacific Region countries (Delhi, India) December 2011;> Higher Education Funding Council for England (London, United Kingdom) January 2012;> Thomson Reuters (London, United Kingdom) January 2012;> Elsevier (Amsterdam, Netherlands) January 2012;> National Research Council of Thailand (Bangkok, Thailand) January 2012;> Engineering and Physical Sciences Research Council (London, United Kingdom)

February 2012;> Vitae (London, United Kingdom) February 2012;> Inaugural Global Summit on Merit Review (Washington DC, United States of America)

May 2012; and> International Network of Research Management Societies Conference (Copenhagen,

Denmark) May 2012.The ARC also hosted visits from overseas agencies including the:

> Agency for Science, Technology and Research, Singapore;> National Research Council of Thailand;> Alexander von Humboldt Foundation, Germany;> National Research Foundation, Korea;> National Natural Science Foundation of China; and> Natural Sciences and Engineering Research Council of Canada.

Provision of information

Visits to institutionsARC representatives visited higher education institutions on request and published the presentation material related to those visits on the ARC website.

ARC forumsThe ARC hosted a one-day forum for ARC Centre Directors (or delegates) on 26 September 2011. Participants included representatives of 23 ARC Centres of Excellence, three co-funded Centres and three Special Research Initiatives. The forum was themed with several presentations made by participants and ARC executives on three topics:> Starting Out—prospects for establishing a successful ARC Centre of Excellence;> Looking Back—lessons from building a successful ARC Centre of Excellence; and > Looking Ahead—positioning for a future beyond initial ARC funding.Feedback from the forum was very positive with a proposal to hold a similar forum on an annual basis in the future.

ARC/NHMRC Research Administrators seminarEach year the ARC, together with the Australasian Research Management Society and the National Health and Medical Research Council (NHMRC), holds a Research Administrators’ Seminar. The 2011 seminar was held on 7–8 November 2011 in Canberra. Three hundred people, from approximately 70 institutions, attended the seminar which provided information on the development of NCGP funding schemes, policies and programs.

ARC websiteThe ARC website provides information about the ARC to national and international researchers and stakeholders, and interested parties.The website recorded 1 117 529 visits in 2011–12 compared with 1 069 397 in 2010–11. The peak period of web traffic occurred in October and November 2011 with two peak days of visits:

> 31 154 visits on Monday 31 October 2011 due to the major grants announcement for the Discovery Projects, Linkage Projects, Linkage Infrastructure, Equipment and Facilities and Discovery Indigenous schemes; and

> 21 457 visits on Sunday 13 November 2011 due to the release of the funding outcomes for Discovery Early Career Researcher Award and Future Fellowships schemes.

In March 2012, the ARC began reviewing its website to comply with the requirements of the Australian Government’s new Web Content Accessibility Guidelines 2.0 (WCAG 2.0). These guidelines require all federal websites to meet the medium conformance level AA by the end of 2014.While undertaking the review for the WCAG 2.0 the ARC took the opportunity to improve and update the content of the ARC website to better promote and communicate processes and activities.

Network messagesDuring 2011–12 the ARC issued 45 network messages. The ARC uses network messages to communicate information to institutional research offices and administration stakeholders. The messages provide information about ARC funding and processes—from application to announcement—and other relevant information that may assist the research offices in their contact with the ARC.

Social mediaIn addition to posting information on its website and through network messages, the ARC also has Facebook and Twitter accounts.

PART 4FINANCIAL PERFORMANCE

CHAPTER 14: FINANCIAL OVERVIEWCHAPTER 15: FINANCIAL STATEMENTS

CHAPTER 14: FINANCIAL OVERVIEW

AT A GLANCEThis chapter should be read in conjunction with the audited financial statements for 2011–12 which appear in the next chapter.The ARC supports both departmental and administered expenses.Departmental expenses involve the use of assets, liabilities, revenue and expenses controlled or incurred by the agency in its own right.Administered expenses involve the management or oversight by the agency, on behalf of the Australian Government, of items controlled or incurred by the Australian Government.

INTRODUCTIONThis chapter provides a summary of the ARC’s 2011–12 financial performance. The Parliament of Australia provides the ARC with two types of funding: administered and departmental where:> administered funding is managed by agencies on behalf of the Australian Government,

including for example, grants, subsidies and benefits.> departmental items are assets, liabilities, revenues and expenses that are controlled by the

agency in providing its outputs, including for example, employees expenses, supplier expenses, and other operational expenses.

ANALYSIS OF PERFORMANCEThe ARC’s total annual appropriated resources for 2011–12 were $833.3 million. This comprised:> $811.3 million for the administered appropriation ($808.8 million special appropriation for

the National Competitive Grants Program and $2.5 million for annual administered appropriation); and

> $22.0 million for the departmental appropriation ($18.8 million for operating expenses, $1.7 million for the Departmental Capital Budget and $1.5 million for an equity injection).

In 2011–12 the ARC disclosed an operating deficit of $0.386 million due to the removal of depreciation funding as part of the Operation Sunlight net cash appropriations framework. To ensure the ERA election commitment is met, the Minister for Finance and Deregulation approved the transfer of Administered Annual Appropriation of $0.55 million for Excellence in Research for Australia (ERA) from 2011–12 to 2012–13 and $2.30 million of future funds from 2013–14 to 2012–13. The transfer of funds is required to provide appropriate support and remuneration for the committee members associated with the ERA evaluation process.The Minister for Finance and Deregulation approved for Excellence in Research for Australia the movement of Administered Annual Appropriation of $0.550 million initiative from 2011–12 to 2012–13 and $2.300 million of future funds from 2013–14 to 2012–13 to ensure the ERA election commitment is met. The transfer of funds is required to provide appropriate support and remuneration for the committee members associated with the ERA evaluation process. A resource summary of the ARC’s departmental and administered expenses is provided in Appendix 15. Actual expenses at year-end varied from budgeted expenses in the following area: > The 2011–12 departmental operating expenses are $2 million less than the budget estimate.

This is due to the implementation of a range of strategies to manage departmental expenditure.

Further information on the financial performance of the ARC is in the financial statements and accompanying notes. The Australian National Audit Office found that the ARC’s financial statements, including lead schedules and reconciliations, were appropriate for the needs of the audit, and that controls were operating effectively and information was being accurately captured in all relevant systems.

CHAPTER 15: FINANCIAL STATEMENTS

AT A GLANCEThe following pages provide the financial statements for the Australian Research Council (ARC) for the financial period ended 30 June 2012. They have been submitted to the Auditor General for scrutiny as required by section 57 of the Financial Management and Accountability Act 1997.

Page No.

Audit Report...........................................................................................................................119

Statement by the Chief Executive and Chief Financial Officer...............................................121

Statement of Comprehensive Income ...................................................................................122

Balance Sheet........................................................................................................................123

Statement of Changes in Equity............................................................................................124

Cash Flow Statement.............................................................................................................125

Schedule of Commitments.....................................................................................................126

Schedule of Administered Items............................................................................................128

Notes of the Financial Statements.........................................................................................133

The financial statements have been removed from this version, but are available in the PDF version on the ARC website at: www.arc.gov.au.

PART 5

APPENDICES

APPENDIX 1: PERFORMANCE FRAMEWORKAPPENDIX 2: NATIONAL COMPETITIVE GRANTS PROGRAM,

DESCRIPTIONAPPENDIX 3: NATIONAL COMPETITIVE GRANTS PROGRAM,

SUMMARY STATISTICSAPPENDIX 4: NATIONAL COMPETITIVE GRANTS PROGRAM,

PERFORMANCE INFORMATIONAPPENDIX 5: RESPONSIBILITIES OF THE MINISTERAPPENDIX 6: MEMBERSHIP OF COMMITTEESAPPENDIX 7: CLIENT SERVICE CHARTERAPPENDIX 8: WORK HEALTH AND SAFETYAPPENDIX 9: ADVERTISING AND MARKET RESEARCHAPPENDIX 10: ECOLOGICALLY SUSTAINABLE

DEVELOPMENTAPPENDIX 11: CORRECTION OF ERRORSAPPENDIX 12: STAFF STATISTICSAPPENDIX 13: LEGAL SERVICES EXPENDITUREAPPENDIX 14: COMMUNICATION AND OUTREACHAPPENDIX 15: AGENCY RESOURCE STATEMENTS

APPENDIX 1: PERFORMANCE FRAMEWORKThe ARC is required to report in its annual report against the key performance indicators identified in the ARC strategic plan and the Portfolio Budget Statements (PBS).Table A1.1 maps the indicators and measures identified in the ARC Strategic Plan 2011–12 to 2013–14 to the key performance indicators identified in 2011–12 PBS.

Table A1.1: Mapping of key performance indicators

STRATEGIC PLAN PORTFOLIO BUDGET STATEMENTS

KEY OBJECTIVE / KEY PERFORMANCE INDICATOR / MEASURE PROGRAM

1: RESEARCH

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

Program 1.1: DiscoveryProgram 1.2: Linkage

Evidence of impact of ARC-funded research Program 1.1: Discovery

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

Program 1.1: DiscoveryProgram 1.2: Linkage

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

Program 1.1: DiscoveryProgram 1.2: Linkage

Financial commitment (cash and in-kind) from partner organisations for every dollar contributed by the ARC (Linkage Projects scheme)

Program 1.2: Linkage

Proportion of partner organisations that indicated that their involvement in projects was beneficial or very beneficial (Linkage Projects scheme)

Program 1.2: Linkage

Proportion of projects involving international collaboration Program 1.1: DiscoveryProgram 1.2: Linkage

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

Program 1.2: Linkage

2: CAPACITY

2.1 ARC funding supports excellent researchers Program 1.1: Discovery

External recognition of the achievements of ARC-funded researchers Program 1.1: Discovery

Evidence of impact of research conducted by ARC-funded fellows Program 1.1: Discovery

2.2 ARC-supported research contributes significantly to high quality research training

Program 1.1: DiscoveryProgram 1.2: Linkage

STRATEGIC PLAN PORTFOLIO BUDGET STATEMENTS

KEY OBJECTIVE / KEY PERFORMANCE INDICATOR / MEASURE PROGRAM

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

Program 1.1: DiscoveryProgram 1.2: Linkage

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

Program 1.1: DiscoveryProgram 1.2: Linkage

Proportion of funded proposals that address the National Research Priorities (NRPs)

Program 1.1: DiscoveryProgram 1.2: Linkage

Evidence of impact in NRP areas Program 1.1: DiscoveryProgram 1.2: Linkage

3: POLICY AND EVALUATION

3.1 Policy advice that enhances Australia’s capacity and excellence in research

Program 1.1: DiscoveryProgram 1.2: Linkage

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

Production of key documentation required for institutions’ preparation for ERA 2012

Program 1.3: ERA

3.4 Successful outreach initiatives that further inform and engage the sector and other key stakeholders of overarching ERA policy and implementation

Program 1.3: ERA

Sector contribution to development of ERA 2012 processes and policy Program 1.3: ERA

APPENDIX 2: NATIONAL COMPETITIVE GRANTS PROGRAM, DESCRIPTIONThe ARC administers one grant program, the National Competitive Grants Program (NCGP). At 30 June 2012 the NCGP comprised the funding schemes listed in Tables A2.1 and A2.2.

PROGRAM 1.1: DISCOVERYTable A2.1: Discovery Program funding schemes

DESCRIPTION

AUSTRALIAN LAUREATE FELLOWSHIPS

First selection round

Funding commencing in 2009

Frequency Annual

Description The Australian Laureate Fellowships scheme is aimed at attracting and retaining outstanding researchers in Australia. The scheme provides eligible Fellows with project funding in addition to a salary supplement and salary-related (on-cost) support.

DISCOVERY EARLY CAREER RESEARCHER AWARD

First selection round

Funding commencing in 2012

Frequency Annual

Description The Discovery Early Career Researcher Award scheme is aimed at supporting early-career researchers.

DISCOVERY INDIGENOUS

First selection round

Funding commencing in 2002 (Discovery Indigenous Researcher Development); funding commencing in 2012 (Discovery Indigenous)

Frequency Annual

Description The Discovery Indigenous scheme supports the development of indigenous researchers’ skills and expertise. It replaces the Discovery Indigenous Researchers Development scheme, the last selection round of which was conducted for funding commencing in 2011.

DISCOVERY PROJECTS

First selection round

Funding commencing in 2002

DESCRIPTION

Frequency Annual

Description The Discovery Projects scheme provides funding for research projects undertaken by excellent individual researchers and research teams.

FUTURE FELLOWSHIPS

First selection round

Funding commencing in 2009

Frequency Annual

Description The Future Fellowships scheme is aimed at attracting and retaining the best and brightest mid-career researchers.

PROGRAM 1.2: LINKAGETable A2.2: Linkage Program funding schemes

DESCRIPTION

ARC CENTRES OF EXCELLENCE

First selection round

Funding commencing in 2003

Frequency Periodic

Description The ARC Centres of Excellence scheme is aimed at building critical mass in areas of research. Funding of between $1 million and $4 million per annum for up to seven years may be awarded for each ARC Centre of Excellence.

LINKAGE INFRASTRUCTURE, EQUIPMENT AND FACILITIES

First selection round

Funding commencing in 2002

Frequency Annual

Description The Linkage Infrastructure, Equipment and Facilities scheme encourages institutions to develop collaborative organisational arrangements to develop research infrastructure.

LINKAGE LEARNED ACADEMIES SPECIAL PROJECTS

First selection round

Funding commencing in 2002

Frequency Every three years

Description The Linkage Learned Academies Special Projects scheme funds the Australian Council of Learned Academies and the Learned Academies to undertake research-related projects.

LINKAGE PROJECTS

First selection round

Funding commencing in 2002

Frequency Twice per year (until 2012)

Description The Linkage Projects scheme supports collaborative research and research training between universities and partner organisations.

SPECIAL RESEARCH INITIATIVES

First selection round

Funding commencing in 2002

Frequency As required

Description Under the Special Research Initiatives scheme, the ARC identifies new or emerging areas of research for funding. Applications for funding may be submitted only when invited by the ARC by means of a call for proposal(s).

APPENDIX 3: NATIONAL COMPETITIVE GRANTS PROGRAM, SUMMARY STATISTICSTables A3.1 and A3.2 provide details of new funding commencing under the Discovery and Linkage Programs of the NCGP in financial years 2009–10 to 2011–12. Outcomes announced prior to or during 2011–12 for funding commencing in 2012–13 will be reported in next year’s annual report. This includes the outcomes of Linkage Projects Round 2 for funding commencing in 2012.

PROGRAM 1.1: DISCOVERYTable A3.1: Discovery Program, new funding commencing in 2009–10 to 2011–12

SELECTION ROUNDS FOR FUNDING COMMENCING IN

2009–10 2010–11 2011–12

AUSTRALIAN LAUREATE FELLOWSHIPS 2009 2010 2011

Number of proposals 148 97 139

Number of awards 15 15 17

Total $ 41 627 752 35 541 053 44 516 902

% success rate 10.0 15.5 12.2

DISCOVERY EARLY CAREER RESEARCHER AWARD

– – 2012

Number of proposals n/a n/a 2159

Number of awards n/a n/a 277

Total $ n/a n/a 103 875 000

% success rate n/a n/a 12.8

DISCOVERY INDIGENOUS¹ 2010 2011 2012

Number of proposals 23 20 29

Number of awards 9 9 10

Total $ 1 809 820 2 045 759 3 850 751

% success rate 39.1 45.0 34.5

DISCOVERY PROJECTS 2010 2011 2012

SELECTION ROUNDS FOR FUNDING COMMENCING IN

2009–10 2010–11 2011–12

Number of proposals 4 068 4 230 3 544

Number of awards 925 931 778

Total $ 325 575 289 318 162 472 236 837 254

% success rate 22.7 22.0 22.0

FUTURE FELLOWSHIPS 2009 2010 2011

Number of proposals 975 759 661

Number of awards 200 200 203

Total $ 147 422 468 143 760 941 144 342 673

% success rate 20.5 26.4 30.7

SUPER SCIENCE FELLOWSHIPS² 2009 2010 2011

Number of proposals n/a 149 124

Number of awards n/a 50 50

Total $ n/a 13 920 000 13 920 000

% success rate n/a 33.6 40.3

General notesn/a not applicableDiscovery Program notes1 The Discovery Indigenous scheme replaced the Discovery Indigenous Researchers Development scheme in 2011 (for funding commencing in 2012).2 Table A3.1 reports the number of Super Science Fellowships not the number of Super Science Fellowships projects. Each project can include up to three fellows.

PROGRAM 1.2: LINKAGETable A3.2: Linkage Program, new funding commencing in 2009–10 to 2011–12

SELECTION ROUNDS FOR FUNDING COMMENCING IN

2009–10 2010–11 2011–12

ARC CENTRES OF EXCELLENCE1 – 2011 –

Number of proposals n/a 111 n/a

Number of awards n/a 13 n/a

Total $ n/a 255 900 000 n/a

% success rate n/a 11.7 n/a

LINKAGE INFRASTRUCTURE, EQUIPMENT AND ACILITIES

2010 2011 2012

Number of proposals 170 165 170

Number of awards 73 78 77

Total $ 30 957 412 30 873 624 28 300 078

% success rate 42.9 47.3 45.3

LINKAGE LEARNED ACADEMIES SPECIAL PROJECTS

2010 – 2012

Number of proposals 5 n/a 6

Number of awards 5 n/a 6

Total $ 1 439 000 n/a 10 000 000

% success rate 100 n/a 100

LINKAGE PROJECTS (ROUND 1/JANUARY) 2010 2011 2012

Number of proposals 470 398 418

Number of awards 211 186 151

Total $ 66 827 891 56 235 992 42 789 355

% success rate 44.9 46.7 36.1

LINKAGE PROJECTS (ROUND 2/JULY) 2009 2010 2011

Number of proposals 522 512 535

Number of awards 239 218 219

SELECTION ROUNDS FOR FUNDING COMMENCING IN

2009–10 2010–11 2011–12

Total $ 71 856 782 66 753 570 67 393 349

% success rate 45.8 42.6 40.9

SPECIAL RESEARCH INITIATIVES2 2010 – 2011 & 2012

Number of proposals 7 n/a 3

Number of awards 2 n/a 2

Total $ 50 000 000 n/a 46 000 000

General Notesn/a – not applicableLinkage Program notes1 The 2011 ARC Centres of Excellence selection round included a preliminary expression of interest (EOI) stage. The number of proposals recorded in Table A3.2 is the number of EOIs received for consideration.2 The Special Research Initiatives scheme includes the Research in Bionic Vision Science and Technology Initiative (2010), the Special Research Initiative in Stem Cell Science (July 2011) and the Special Research Initiative in Synchrotron Science (2012).

APPENDIX 4: NATIONAL COMPETITIVE GRANTS PROGRAM, PERFORMANCE INFORMATIONOVERVIEWThis appendix provides additional information to support the performance data for the National NCGP provided in Chapters 5 and 6.

EXCELLENT RESEARCHAcademic and Commercialisation Outputs [Tables A4.1 and A4.7]> Under the Discovery Program, research projects and fellowships initially funded in 2007

produced on average 15.7 academic outputs per research project, and a total of 114 commercialisation outputs.

> Under the Linkage Program, research projects and fellowships initially funded in 2007 produced an average of 11.6 academic outputs per research project, and a total of 70 commercialisation outputs.

> In 2011, ARC Centres of Excellence initially funded in 2005, 2007 and 2011 produced on average 178 academic outputs and a total of 35 commercialisation outputs.

EXCELLENT RESEARCHERSResearch Training and Career Development [Tables A4.2, A4.3 and A4.7]> The ARC funded 598 fellowships and awards commencing in 2011–12 compared to 636

commencing in 2010–11. The small drop in numbers reflects the discontinuation of the Australian Postgraduate Awards Industry under the Linkage Projects scheme in 2011. The number of fellowships and awards for doctorate-qualified researchers has increased from 495 to 598.

> The funding schemes of the NCGP also encourage research training and career development indirectly (through funding provided to support the employment of researchers on ARC-funded research projects).– Each Discovery Projects grant and Linkage Projects grant initially funded in 2007

respectively supported 6.4 and 9.8 research personnel on average (including postgraduate students) other than those named in the proposal (Table A4.3).

– The ARC Centres of Excellence also provide a training environment for postgraduate research students (Table A4.7). In 2011 there were 1263 honours, masters and PhD students enrolled across the 25 Centres and 392 research students completed their degrees. A total of 436 early-career researchers were also associated with the Centres.

COLLABORATIONLinkages between researchers and end-users [Table A4.4]> The funding schemes under the Linkage Program encourage the development of

partnerships with end-user organisations (including industry, government and community partners, in Australia and internationally). Through the Linkage Projects scheme these partner organisations provide cash and in-kind contributions, which at least match those of the ARC, to support the research.– For the two Linkage Projects selection rounds for funding commencing in 2011–12, there

were 370 successful proposals which involved 806 partner organisations. These partner organisations pledged over $225.9 million in cash and in-kind contributions to the projects.

– Government organisations contributed approximately 24.8 per cent of the total financial support pledged by partner organisations, while domestic and international companies or industry bodies provided 47.0 per cent.

International collaboration [Table A4.5]> The funding schemes of the NCGP are aimed at encouraging collaboration with overseas

researchers and institutions. This is achieved through eligibility arrangements as well as providing funding for specific budget items and separate awards (International Collaboration Awards under the Discovery Projects scheme).

> Applicants for ARC funding are able to identify if their research project intends to involve international collaboration. Under the ARC’s main funding programs in 2011–12, the proportion of funded proposals involving international collaboration ranged from 40.7 per cent under the Linkage Program to 67.6 per cent under the Discovery Program.

RESEARCH IN AREAS OF PRIORITYNational Research Priorities [Table A4.6]> The funding schemes of the NCGP are aimed at supporting research and research training of

national benefit, including in the National Research Priorities (NRP). The NRPs are areas of particular social, economic and environmental importance to Australia, and areas in which a whole of government focus has the potential to improve research and broader policy outcomes.

> Across both the Discovery and Linkage Programs, the largest proportion of research proposals identify themselves as being relevant to the priority area of ‘Frontier technologies for building and transforming Australian industries’ (36.6 per cent across the Discovery Program and 36.9 per cent across the Linkage Program).

SUPPORTING DATATable A4.1: Discovery and Linkage Program, research outputs

2005 2006 2007

DISCOVERY PROGRAM

Academic Outputs

Books and book chapters 2 095 1 324 1 101

Journal articles 8 861 6 119 4 793

Conference publications 8 377 6 067 4 578

Other 1 939 1 375 1 067

Total 21 272 14 885 11 539

Commercialisation outputs

Invention disclosures 23 167 35

Licences executed 5 8 5

Patents-filed 52 53 62

Patents-pending 17 22 8

Start-up companies 5 9 4

Total 102 259 114

Summary

Number of final reports 841 949 740

Average number of outputs/research projects 25.4 16.0 15.7

LINKAGE PROGRAM

Academic Outputs

Books and book chapters 691 362 352

Journal articles 2 076 1 996 1 782

Conference publications 3 102 2 367 1 784

Other 2 360 534 599

Total 8 229 5 259 4 517

Commercialisation outputs

Invention disclosures 35 39 23

Licences executed 7 8 2

Patents-filed 44 23 32

2005 2006 2007

Patents-pending 21 22 11

Start-up companies 6 5 2

Total 113 97 70

Summary

Number of final reports 588 500 396

Average number of outputs/research projects 14.2 10.7 11.6

Table A4.2: Discovery and Linkage Programs, fellowships and awards

FUNDING COMMENCING IN

2009–10 2010–11 2011–12

DISCOVERY PROGRAM

Australian Laureate Fellowships 15 15 17

Australian Postdoctoral Fellowships 112 108 n/a

Australian Professorial Fellowships 27 30 n/a

Australian Research Fellowships/Queen Elizabeth II Fellowships

64 55 n/a

Australian Research Fellowship—Indigenous 2 3 n/a

Discovery Early Career Researcher Award n/a n/a 277

Discovery Indigenous Award n/a n/a 5

Discovery Outstanding Researcher Award n/a n/a 26

Future Fellowships 200 200 203

Indigenous Researcher Fellowships 3 3 n/a

Super Science Fellowships n/a 50 50

LINKAGE PROGRAM

Australian Postdoctoral Fellowships Industry 32 27 20

Australian Postgraduate Awards Industry 351 141 n/a

Linkage Industry Fellowships 1 4 0

Table A4.3: Discovery Projects and Linkage Projects schemes, research personnel outputs for funding commencing in 2007

SCHEME

TYPE OF PERSONNEL DISCOVERY PROJECTS

LINKAGE PROJECTS

RESEARCH

PhD students receiving stipends and research support* 242 154

Masters students receiving stipends and research support* 30 9

PhD students receiving research support but not stipends 744 131

Masters students receiving research support but not stipends 168 57

Honours students receiving research support but not stipends 782 210

Overseas PhD students involved in the project 385 46

Overseas research Masters students involved in the project 113 42

Overseas Honours students involved in the project 90 54

Early career researchers (excluding those named in the application) 455 101

OTHER EMPLOYED PERSONNEL

Research associates/assistants funded (full-time) 362 148

Research associates/assistants funded (part-time) 861 391

Professional and/or technical officers 92 68

Industry partner employees 8 730

Other personnel involved 397 313

TOTAL 4 729 2 454

Number of final reports 736 251

Total number of research projects awarded funding 822 392

* In their final report, grant recipients are asked to indicate the number of students involved with the project that received ARC-funded stipends under Discovery and Linkage, rather than those receiving stipends funded from the specific grant to which the final reports relates. Therefore, there may be a small amount of double counting if some research students have been involved with more than one ARC-funded project.

Table A4.4: Linkage Projects scheme, partner organisation contributions by type of organisation

2009–10 2010–11 2011–12

ORGANISATION TYPE CASH ($M)

TOTAL ($M)

CASH ($M)

TOTAL ($M)

CASH ($M)

TOTAL ($M)

ROUND 2 (JULY)

Company/Industry body

Australian 12.70 40.70 14.17 42.64 17.00 49.02

International 4.70 14.80 3.96 12.47 3.74 13.04

Government

Commonwealth 1.80 3.70 1.50 5.04 1.47 3.86

International 1.20 2.90 0.03 0.49 0.29 1.15

State & Local 15.50 45.30 6.96 21.93 7.46 26.68

Non-profit

Australian 6.20 19.40 3.56 17.63 2.59 11.44

International 0.20 1.20 0.03 0.15 0.9 1.38

Other

Other - - 8.81 27.86 9.07 32.55

TOTAL 42.30 128.00 39.02 128.21 42.52 139.14

ROUND 1 (JANUARY)

Company/Industry body

Australian 13.80 44.30 11.76 34.37 10.87 33.07

International 8.50 25.10 3.13 9.37 2.65 11.11

Government

Commonwealth 1.70 3.70 2.83 6.36 1.42 4.59

International 0.10 0.90 0.02 0.23 0.23 1.35

State & Local 10.10 32.10 9.16 27.03 6.65 18.39

Non-profit

Australian 2.40 11.30 1.07 4.10 1.07 4.35

International 0.30 1.20 0.08 0.36 1.41 2.43

2009–10 2010–11 2011–12

ORGANISATION TYPE CASH ($M)

TOTAL ($M)

CASH ($M)

TOTAL ($M)

CASH ($M)

TOTAL ($M)

Other

Other 0.20 2.80 8.82 35.41 2.65 11.42

TOTAL 37.10 121.40 36.88 117.22 26.94 86.74

Table A4.5: Discovery and Linkage Programs, projects involving international collaboration as a proportion of total projects funded

SCHEME FUNDING COMMENCING IN

2009–10 (%) 2010–11 (%) 2011–12 (%)

DISCOVERY PROGRAM

Australian Laureate Fellowships 100.0 93.3 100.0

Discovery Indigenous n/a n/a 10.0

Discovery Projects 65.8 63.9 61.7

Future Fellowships 84.0 90.0 90.1

Super Science Fellowships n/a 66.7 71.4

LINKAGE PROGRAM

ARC Centres of Excellence n/a 100.0 n/a

Linkage Infrastructure 50.7 47.4 45.5

Linkage Projects 37.3 42.8 39.7

Table A4.6: Discovery and Linkage Programs, research in national research priority areas, 2011–12

DISCOVERY PROGRAM LINKAGE PROGRAM

NATIONAL RESEARCH PRIORITY AUSTRALIAN LAUREATE

FELLOWSHIPS2011

DISCOVERYEARLY CAREER

RESEARCHER AWARD2012

DISCOVERY PROJECTS

2012

FUTURE FELLOWSHIPS

2011

SUPER SCIENCE FELLOWSHIPS

2011

LINKAGE INFRA-

STRUCTURE2012

LINKAGE PROJECTS

2011 (RD 2)

LINKAGE PROJECTS

2012 (RD 1)

Environment $ 5 199 883 17 625 000 46 269 307 30 310 816 5 289 600 5 744 078 23 159 330 12 684 653

No. 2 47 141 42 8 16 62 40

Health $ 15 143 556 27 375 000 41 907 382 40 449 162 1 392 000 3 660 000 20 553 955 12 947 798

No. 6 73 153 56 2 11 70 48

Industry $ 19 417 174 36 375 000 100 168 355 47 201 148 6 681 600 17 761 000 19 147 016 14 814 279

No. 7 97 293 67 10 47 66 52

Security $ 4 756 289 17 250 000 24 269 277 22 220 622 - 805 000 3 425 329 1 272 625

No. 2 46 97 32 - 2 14 6

None selected $ - 5 250 000 24 222 933 4 160 925 556 800 330 000 1 107 719 1 070 000

No. - 14 94 6 1 1 7 5

TOTAL $ 44 516 902 103 875 000 236 837 254 144 342 673 13 920 000 28 300 078 67 393 349 42 789 355

NO. 17 277 778 203 21 77 219 151

Table A4.7: ARC Centres of Excellence, research outputs, 2011

TYPE OF OUTPUT 2005 CENTRES

2007 CENTRES

2011 CENTRES

RESEARCH

Books 16 10 9

Book chapters 93 39 50

Journal articles (articles in scholarly refereed journal) 933 58 1014

Journal articles (other) 34 6 53

Unpublished reports 179 6 19

Conference publications 898 91 850

Audio-visual recordings 5 1 22

Computer software 5 0 7

Designs 0 0 0

Patents – filed 7 0 6

Patents – pending 0 0 22

Creative works 2 0 15

COLLABORATION

Number of national collaborating institutions (average per centre)

13 4 10

Number of international collaborating institutions (average per centre)

52 9 20

Number of countries involved in collaboration (average per centre)

19 6 11

Number of countries from which international visitors originated (average per centre)

13 15 12

Number of international visitors (average per centre) 48 47 37

Number of overseas visits by Centre personnel (average per centre)

57 26 41

TRAINING

Number of PhD graduated 109 3 42

Number of Masters students graduated 37 0 27

Number of Honours students graduated 72 6 96

Number of PhD students enrolled 452 49 402

TYPE OF OUTPUT 2005 CENTRES

2007 CENTRES

2011 CENTRES

Number of Masters students enrolled 107 3 47

Number of Honours students enrolled 83 6 114

Number of early career researchers(within 5 years of PhD completion)

188 6 242

Training programs/teaching packages conducted 188 30 188

TOTAL NUMBER OF CENTRES 11 1 13

APPENDIX 5: RESPONSIBILITIES OF THE MINISTERTable A5.1: Powers and responsibilities of the Minister under the Australian Research Council Act 2001

POWER SECTION

COMMITTEES

To establish a committee or committees (designated committees) to assist in carrying out the functions of the CEO

Subsection 30 (1)

To dissolve a designated committee at any time Subsection 30 (2)

Give directions to a designated committee Subsection 31 (2)

Appoint members to a designated committee, including a Chair Subsections 32 (1) and (3)

Determine the terms and conditions, including termination of a member

Subsections 33 (1), (2) and (4)

CHIEF EXECUTIVE OFFICER

To direct the CEO about the performance of the CEO’s functions Subsection 33C (1)

To appoint a CEO by written instrument for the period specified in the instrument. That period must not exceed 5 years

Subsection 34 (1)

May appoint a person to act as the CEO during a vacancy in the office of the CEO or during any period when the CEO is absent from duty, or from Australia, or is for any reason unable to perform the duties of the office

Subsection 35 (1)

May approve a CEO’s need to engage paid employment outside of the ARC

Subsection 38 (1)

May at any time, in writing, terminate the appointment of the CEO Subsection 38 (3)

To accept the CEO’s written resignation Subsection 40

STRATEGIC PLAN

May or may not approve the strategic plan prepared by the CEO Subsection 43 (1)

Can give the strategic plan back to the CEO with a written request, to revise the plan to take account of specified concerns of the Minister

Subsection 43 (1)(b)

Must cause a copy of the approved strategic plan to be laid before each House of the Parliament within 15 days of that House after approval

Subsection 43 (3)

To approve a variation to the strategic plan Subsection 44 (3)

POWER SECTION

Must cause a copy of a varied strategic plan to be laid before each House of the Parliament within 15 days of that House after approval

Subsection 44 (2)

ANNUAL REPORT

May, by notice in writing, ask the CEO to deal with matters in the annual report

Subsection 46 (1)(b)

Must cause a copy of the report to be laid before each House of Parliament within 15 sitting days of that House after the day on which the Minister receives the report

Subsection 46 (3)

FUNDING

To determine the funding cap between different categories of research programs

Subsection 50 (1)

In writing, can vary a determination for a year as long as it still complies with subsection (1)

Subsection 50 (3)

The Minister may, in a single instrument, make a determination covering two or more years

Subsection 50 (4)

To approve a proposal for expenditure by an organisation on a research program as a proposal deserving financial assistance

Subsection 51 (1)

To determine an amount as the estimated total annual expenditure and an amount of approved expenditure

Subsection 51 (2)

Cause a copy of the determinations to be laid before each House of the Parliament within 15 sitting days of that House after the day on which the determination is made

Subsection 51 (3)

In deciding what proposals to approve under subsection 51(1), the Minister may (but is not required) rely solely on recommendations made by the CEO under subsection 1 of this section

Subsection 52 (4)

Financial assistance is paid in such amounts, and at such times, as the Minister determines

Subsection 55 (4)

May, in writing, vary a funding approval as provided for in the governing funding rules

Subsection 54 (1)

May make arrangements for the making of advances to an organisation, by way of financial assistance to the organisation, on account of an amount that is expected to become payable in respect of a research program and a year to which this division applies

Subsection 56 (1)

May report whether the organisation fails to fulfil a condition applicable to the financial assistance, the organisation will pay to the Commonwealth the amount specified, not exceeding the amount of the financial assistance

Subsection 58 (1)(c)

FUNDING RULES

To approve funding rules under section 60 Subsection 60 (1)

May request the CEO to give him/her a revised set of rules Subsection 60 (2)

To approve a varied set of rules Subsection 61 (2)

POWER SECTION

RESEARCH ENDOWMENT FUND

May approve expenditure by the CEO for funding assistance from the Research Endowment Fund

Subsection 64 (1)(b)

May approve terms and conditions of the funding assistance Subsection 65

MISCELLANEOUS

May delegate all or any of her/his powers or functions to the CEO or a member of ARC staff

Subsection 66 (1)

APPENDIX 6: MEMBERSHIP OF COMMITTEESGOVERNANCEARC Advisory CouncilTable A6.1: ARC Advisory Council, 2011–12

MEMBER DATE OF APPOINTMENT

EXPIRY OF APPOINTMENT

Professor M Sheil, Australian Research Council (Chair) 18/12/2007 25/04/2012

Professor P Buckskin, David Unaipon College of Indigenous Education & Research, University of South Australia

01/01/2011 31/12/2012

Professor S Garton, The University of Sydney 01/01/2011 31/12/2012

Professor M Harding, The Australian National University 01/01/2011 31/12/2012

Professor P Johnson, The University of Western Australia 01/01/2011 31/12/2012

Professor A Lawson, University of Wollongong 01/01/2011 31/12/2012

Professor I Young, The Australian National University 01/01/2010 31/12/2012

Professor R Owens, The University of Western Australia 01/01/2010 31/12/2011

Professor Emeritus D Siddle, The University of Queensland 01/01/2010 31/12/2011

ARC Audit CommitteeTable A6.2: ARC Audit Committee, 2011–12

MEMBER DATE OF APPOINTMENT

EXPIRY OF APPOINTMENT

Mr P Kennedy, External (Chair) 1/01/2010 30/09/2012

Mr B Burmester, External 1/10/2010 30/09/2012

Dr B Hart, External 21/08/2008 31/12/2011

Ms L Harvey, Australian Research Council -/02/2009 30/06/2013

Ms T Leahey, Australian Research Council 10/04/2012 30/06/2013

Mr S Sedgley, Australian Research Council -/02/2009 30/06/2013

Other ARC Governance CommitteesTable A6.3: Other ARC governance committees, 2011–12

COMMITTEE MEMBERSHIP

Senior Management Group Nine members comprising the CEO (Chair); other Executive staff; Chief Financial Officer; Directors (People and Services, Policy Coordination and Governance and Stakeholder Relations).

Strategic Budget and Human Resources Committee

Five members comprising the CEO (Chair); Executive General Manager; Deputy CEO; Chief Financial Officer and Director, People and Services. Observers may be invited to assist the Committee on matters under consideration.

Salary Review Committee Four members comprising the Executive General Manager (Chair); an Executive Director; Branch Manager, Strategy and Programs and Director, People and Services.

Work Health and Safety Committee Four members comprising the Director, People and Services (Chair); the Health and Safety Representative; Deputy Health and Safety Representative; and the Facilities Manager. While guests may be invited to assist the committee on matters under consideration, they do not form part of the ongoing committee membership.

People Management and Development Committee

Six members comprising the Executive General Manager (Chair); Director, People and Services; and four self-nominated staff representatives. The committee can invite two additional employee representatives to attend meetings.

ICT Governance Committee Three members comprising the Executive General Manager; Chief Information Officer; and Executive Director, Physical, Mathematical and Information Sciences. The Committee may invite guests to attend as required.

ARC Security Committee Four members comprising the Executive General Manager (Chair); Chief Information Officer; Director, People and Services and IT Security Adviser.

NATIONAL COMPETITIVE GRANTS PROGRAMARC Appeals CommitteeTable A6.4: ARC Appeals Committee, 2011–12

MEMBER YEAR OF APPOINTMENT

EXPIRY OF APPOINTMENT

Professor P Sheehan AO (Chair 2011–13) 2008 31/12/2013

Emeritus Professor R MacDonald 2008 31/12/2013

Professor M Poole 2011 31/12/2013

ARC CollegeTable A6.5: ARC College, 2011–12

PANEL; MEMBER; INSTITUTION YEAR OF APPOINTMENT

EXPIRY OF APPOINTMENT

BIOLOGICAL SCIENCES AND BIOTECHNOLOGY

Professor M Bellgard, Murdoch University 2012 31/12/2014

Associate Professor K Belov, The University of Sydney (Chair 2012)

2011 31/12/2013

Professor M Bull, The Flinders University of South Australia 2009 31/12/2011

Professor J Cairney, University of Western Sydney 2011 31/12/2013

Professor S Collin, The University of Western Australia 2010 31/12/2012

Professor B Degnan, The University of Queensland 2009 31/12/2011

Professor C Dickman, The University of Sydney 2011 31/12/2013

Professor A Dulhunty, The Australian National University 2012 31/12/2014

Professor D Eamus, University of Technology, Sydney 2010 31/12/2011

Professor G Egan, Monash University 2011 31/12/2013

Dr W Gerlach, self-employed 2011 31/12/2013

Professor L Griffiths, Griffith University 2012 31/12/2014

Professor R Henry, Southern Cross University 2010 31/12/2012

Professor D Hutmacher, Queensland Institute of Technology 2010 31/12/2012

Professor K Jones, The University of Newcastle 2009 31/12/2011

Dr A Koltunow, The University of Adelaide 2010 31/12/2012

Associate Professor J Luck, CRC Plant Biosecurity 2011 31/12/2013

Professor J Martin, The University of Queensland (Chair 2011) 2009 31/12/2011

Associate Professor J Mitchell, The Flinders University of South Australia

2012 31/12/2014

Professor H Nevalainen, Macquarie University 2009 31/12/2011

Professor P Newsholme, Curtin University of Technology from 19/3/2012 31/12/2012

Professor G Otting, The Australian National University 2011 31/12/2013

Professor M Sleeman, Monash University 2012 31/12/2014

PANEL; MEMBER; INSTITUTION YEAR OF APPOINTMENT

EXPIRY OF APPOINTMENT

ENGINEERING, MATHEMATICS AND INFORMATICS

Professor S Armfield, The University of Sydney 2012 31/12/2014

Professor J Armstrong, Monash University 2012 31/12/2014

Professor H Bachor, The Australian National University 2010 31/12/2012

Professor J Bell, Queensland University of Technology 2012 31/12/2014

Professor M Biggs, The University of Adelaide 2010 31/12/2012

Professor S Bouzerdoum, University of Wollongong 2009 31/12/2011

Professor M Bradford, The University of New South Wales 2010 31/12/2012

Winthrop Professor M Cassidy, The University of Western Australia (Chair 2012)

2011 31/12/2013

Professor M Forsyth, Deakin University 2009 31/12/2011

Professor V Gaitsgory, University of South Australia 2010 31/12/2012

Professor J Keller, The University of Queensland 2011 31/12/2013

Professor J Lloyd, The Australian National University 2011 31/12/2013

Professor A Lucey, Curtin University of Technology 2012 31/12/2014

Professor I Marusic, The University of Melbourne (Chair 2011) 2009 31/12/2011

Professor B Ninness, The University of Newcastle 2011 31/12/2013

Professor L Padgham, RMIT University 2009 31/12/2011

Winthrop Professor C Praeger, The University of Western Australia

2011 31/12/2013

Professor J Ramagge, University of Wollongong 2010 31/12/2012

Professor V Sahajwalla, The University of New South Wales 2011 31/12/2013

Professor M Sanderson, RMIT University 2012 31/12/2014

Professor C Standing, Edith Cowan University 2011 31/12/2013

Professor L Sterling, Swinburne University of Technology 2012 31/12/2014

Dr G Steven, Strand7 Pty Ltd 2009 31/12/2011

Professor V Varadharajan, Macquarie University 2011 31/12/2013

Professor B Vucetic, The University of Sydney 2009 31/12/2011

Professor C Zhang, University of Technology, Sydney 2012 31/12/2014

PANEL; MEMBER; INSTITUTION YEAR OF APPOINTMENT

EXPIRY OF APPOINTMENT

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 (Chair 2011)

2010 31/12/2012

Professor J Hartley, Queensland University of Technology 2011 31/12/2013

Professor K Howard, The University of Sydney 2010 31/12/2011

Professor M Jolly, The Australian National University 2010 31/12/2011

Professor S Kaji-O’Grady, The University of Sydney 2011 31/12/2013

Professor M Macintyre, The University of Melbourne 2012 31/12/2014

Professor C Mackenzie, Macquarie University (Chair 2012) 2010 31/12/2012

Professor G Mackenzie, Bond University 2012 31/12/2014

Professor J Maynard, The University of Newcastle 2010 31/12/2012

Professor C Mews, Monash University 2009 31/12/2011

Professor Pauline Nestor, Monash University 2012 31/12/2014

Professor S O’Connor, The Australian National University 2012 31/12/2014

Professor G Sluga, The University of Sydney 2011 31/12/2013

Associate Professor C Smith, The Flinders University of South Australia

2009 31/12/2011

Professor J Tompkins, The University of Queensland 2011 31/12/2013

Professor G Wigglesworth, The University of Melbourne 2011 31/12/2013

PHYSICS, CHEMISTRY AND EARTH SCIENCES

Professor A Abell, The University of Adelaide 2011 31/12/2013

Associate J Beck, University of Wollongong (Chair 2012) 2010 31/12/2012

Professor P Bouwknegt, The Australian National University from 9/2/2009 31/12/2011

Professor I Bray, Curtin University of Technology 2009 31/12/2011

Professor W Couch, Swinburne University of Technology 2010 31/12/2012

Professor S Dou, University of Wollongong 2012 31/12/2014

Dr P Fraser, CSIRO 2012 31/12/2014

PANEL; MEMBER; INSTITUTION YEAR OF APPOINTMENT

EXPIRY OF APPOINTMENT

Professor K Grice, Curtin University of Technology 2009 31/12/2011

Professor R Griffiths, The Australian National University from 6/5/2009 31/12/2011

Professor A Hamilton, The University of New South Wales 2009 31/12/2011

Dr A Hill, CSIRO 2010 31/12/2011

Professor T Ireland, The Australian National University 2010 31/12/2012

Professor G Ivey, The University of Western Australia 2010 31/12/2012

Professor D Jamieson, The University of Melbourne 2012 31/12/2014

Professor I McArthur, The University of Western Australia 2010 31/12/2012

Professor N McClure-Griffiths, CSIRO 2012 31/12/2014

Professor L Moresi, Monash University 2012 31/12/2014

Associate Professor S Perrier, The University of Sydney 2011 31/12/2013

Professor M Sandiford, The University of Melbourne 2009 31/12/2011

Professor L Sullivan, Southern Cross University 2012 31/12/2014

Professor A Williams, The University of Adelaide 2012 31/12/2014

Professor H Wiseman, Griffith University 2012 31/12/2014

Professor B Yates, University of Tasmania (Chair 2011) 2010 31/12/2012

Professor C Zhang, University of Wollongong from 21/6/2009 31/12/2011

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 M Bell, The University of Queensland 2009 31/12/2011

Professor B Byrne, The University of New England 2010 31/12/2012

Professor M Dungey, University of Tasmania 2011 31/12/2013

Professor P Fairbrother, RMIT University 2011 31/12/2013

Professor L Given, Charles Sturt University 2012 31/12/2014

Professor M Goot, Macquarie University 2011 31/12/2011

PANEL; MEMBER; INSTITUTION YEAR OF APPOINTMENT

EXPIRY OF APPOINTMENT

Professor B Head, The University of Queensland 2012 31/12/2014

Professor E Kendall, Griffith University (Chair 2011 and 2012) 2010 31/12/2012

Professor C Kulik, University of South Australia 2010 31/12/2012

Professor L Lockyer, University of Wollongong 2011 31/12/2013

Professor P Lovibond, The University of New South Wales 2009 31/12/2011

Professor T Lowrie, Charles Sturt University from 1/7/2011 31/12/2014

Professor L Mazerolle, The University of Queensland 2010 31/12/2011

Professor V Minichiello, The University of New England 2009 31/12/2011

Professor J Piggott, The University of New South Wales 2009 31/12/2011

Professor D Schofield, The University of Sydney 2012 31/12/2014

Professor T Smith, The Australian National University 2010 31/12/2012

Professor K Stacey, The University of Melbourne 2009 31/12/2011

Professor G Venville, The University of Western Australia 2012 31/12/2014

ARC Scrutiny Committee Table A6.6: ARC Scrutiny Committee, 2011–12

MEMBER, INSTITUTION YEAR OF APPOINTMENT

EXPIRY OF APPOINTMENT

Professor S Bouzerdoum, University of Wollongong 2012 31/12/2012

Professor S Donald, The University of New South Wales (Chair, 2012)

2011 31/12/2012

Professor B Lewis, The Australian National University 2011 31/12/2011

Professor M Olsson, University of Wollongong (Chair, 2011) 2010 31/12/2011

Professor L Spiccia, Monash University 2012 31/12/2012

ARC Selection Advisory Committees (NCGP)Table A6.7: Australian Laureate Fellowships Selection Advisory Committee (SAC), 2012

MEMBER; INSTITUTION FOR FUNDING COMMENCING IN

Professor L Astheimer, Deakin University (Chair) 2012

MEMBER; INSTITUTION FOR FUNDING COMMENCING IN

Professor M Bailes, Swinburne University of Technology 2012

Professor F Baum, The Flinders University of South Australia 2012

Professor M Dasgupta, The Australian National University 2012

Professor M England, The University of New South Wales 2012

Professor M Finnane, Griffith University 2012

Professor S Garton, The University of Sydney 2012

Professor P Goodyear, The University of Sydney 2012

Professor A Hurn, Queensland University of Technology 2012

Professor M Johnson, Macquarie University 2012

Professor J Martin, The University of Queensland 2012

Professor P Mulvaney, The University of Melbourne 2012

Professor J Ramagge, University of Wollongong 2012

Professor M Renfree, The University of Melbourne 2012

Professor B Uy, University of Western Sydney 2012

Professor G Wallace, University of Wollongong 2012

Professor M Westoby, Macquarie University 2012

Professor G Whitlock, The University of Queensland 2012

Table A6.8: Future Fellowships SAC, 2011

PANEL; MEMBER; INSTITUTION FOR FUNDING COMMENCING IN

BIOLOGICAL SCIENCES, BIOTECHNOLOGY, ENVIRONMENTAL, MEDICAL AND HEALTH SCIENCES

Professor M Barton, University of South Australia 2011

Professor M Bellgard, Murdoch University 2011

Professor P Bhalla, The University of Melbourne 2011

Professor S Crozier, The University of Queensland 2011

Professor L Griffiths, Griffith University 2011

Professor W Heath, The University of Melbourne 2011

PANEL; MEMBER; INSTITUTION FOR FUNDING COMMENCING IN

Professor C Johnson, University of Tasmania 2011

Professor S Meikle, The University of Sydney 2011

Professor B Neilan, The University of New South Wales 2011

Professor P Ralph, University of Technology, Sydney 2011

Professor M Renfree, The University of Melbourne 2011

Professor M Rosa, Monash University (Chair) 2011

Dr E Roughead, University of South Australia 2011

Dr E Scarr, The University of Melbourne 2011

Professor W Stock, Edith Cowan University 2011

HUMANITIES AND CREATIVE ARTS, SOCIAL, BEHAVIOURAL AND ECONOMIC SCIENCES

Professor N Anderson, James Cook University 2011

Professor Dr N Aroney, The University of Queensland 2011

Professor R Bailie, Charles Darwin University 2011

Professor F Baum, The Flinders University of South Australia (Chair) 2011

Professor R Bryan, The University of Sydney 2011

Professor E Carson, University of South Australia 2011

Professor A Cranny-Francis, University of Technology, Sydney 2011

Professor B Head, The University of Queensland 2011

Dr J Lydon, Monash University 2011

Professor V Mackie, University of Wollongong 2011

Associate Professor H Maxwell-Stewart, University of Tasmania 2011

Professor M McKenzie, The University of Sydney 2011

Professor S Muecke, The University of New South Wales 2011

Professor S Roach Anleu, The Flinders University of South Australia 2011

PHYSICAL, MATHEMATICAL AND INFORMATION SCIENCES AND ENGINEERING

Professor J Bell, Queensland University of Technology 2011

Professor J Bland-Hawthorn, The University of Sydney 2011

Professor J Carter, The University of Newcastle (Chair) 2011

PANEL; MEMBER; INSTITUTION FOR FUNDING COMMENCING IN

Associate Professor M Coote, The Australian National University 2011

Professor P Koy Lam, The Australian National University 2011

Dr K Meissner, The University of New South Wales 2011

Professor D Nesic, The University of Melbourne 2011

Professor S O’Reilly, Macquarie University 2011

Professor K Ostrikov, CSIRO 2011

Professor E Sonenberg, The University of Melbourne 2011

Dr T Tian, Monash University 2011

Professor S Tingay, Curtin University of Technology 2011

Professor A Vinu, The University of Queensland 2011

Professor G Wallace, University of Wollongong 2011

Professor H Wang, Monash University 2011

Professor X Zhou, The University of Queensland 2011

Table A6.9: Synchrotron SAC, 2012

MEMBER; INSTITUTION FOR FUNDING COMMENCING IN

Dr L Dan, Australian Research Council (Chair) 2012

Ms V Hart, National Health and Medical Research Council 2012

Dr T Powell, STIR Science Services 2012

EXCELLENCE IN RESEARCH FOR AUSTRALIAResearch Evaluation CommitteesTable A6.10: ERA 2012 Research Evaluation Committees

PANEL; MEMBER INSTITUTION

PHYSICAL, CHEMICAL AND EARTH SCIENCES

Professor R Vincent (Chair) The University of Adelaide

Professor M Banwell The Australian National University

Professor N Barnett Deakin University

Professor P Bouwknegt The Australian National University

Professor M Brunger The Flinders University of South Australia

Professor A Chivas University of Wollongong

Professor K Ghiggino The University of Melbourne

Professor A Green The University of Sydney

Professor M Humphrey The Australian National University

Professor M Kennedy The University of Adelaide

Professor B Messerle The University of New South Wales

Professor J O’Connor The University of Newcastle

Professor S O’Reilly Macquarie University

Professor T Ralph The University of Queensland

Professor N Tapper Monash University

Professor M Tobar The University of Western Australia

Associate Professor E Wanless The University of Newcastle

Dr K Watson The University of Melbourne

HUMANITIES AND CREATIVE ARTS

Professor J Damousi (Chair) The University of Melbourne

Professor M Burry RMIT University

Professor C Cole The University of Wollongong

Professor S Crain Macquarie University

Professor J Davidson The University of Western Australia

PANEL; MEMBER INSTITUTION

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 R Amal (Chair) The University of New South Wales

Professor G Alici University of Wollongong

Professor S Bhatia The University of Queensland

Professor J Carter The University of Newcastle

Professor F Caruso The University of Melbourne

Professor I Cosic RMIT University

Professor B Falzon Monash University

Professor M James The Australian National University

Professor K Kwok University of Western Sydney

Professor A McBratney The University of Sydney

PANEL; MEMBER INSTITUTION

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 M Western (Chair) The University of Queensland

Professor D Berthelsen Queensland University of Technology

Professor S Billett Griffith University

Professor J Brett La Trobe University

Professor J Chan The University of New South Wales

Professor F Devine The University of Manchester, UK

Professor C Diezmann Queensland University of Technology

Professor S Dinham The University of Melbourne

Professor J J Fox The Australian National University

Professor B Fraser Curtin University of Technology

Professor G Gill The University of Sydney

Professor M Goos The University of Queensland

Professor J Gray The University of Adelaide

Professor P Harris University of South Australia

Professor L Head University of Wollongong

Professor R Homel Griffith University

Professor S Webb The University of Newcastle

Professor A Welch The University of Sydney

Professor C Wyatt-Smith Griffith University

Professor N Yelland Victoria University

ECONOMICS AND COMMERCE

Professor K Langfield-Smith (Chair) Monash University

PANEL; MEMBER INSTITUTION

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

E/Professor R Layton The University of New South Wales

Professor A O’Cass University of Tasmania

Professor R Pomfret The University of Adelaide

Professor D S P Rao The University of Queensland

Professor G Soutar The University of Western Australia

Professor K Trotman The University of New South Wales

Professor S Ville University of Wollongong

MATHEMATICS, INFORMATION AND COMPUTING SCIENCE

Professor M A Williams (Chair) University of Technology, Sydney

Professor V Anh Queensland University of Technology

Professor J Borwein The University of Newcastle

Professor P Corke Queensland University of Technology

Professor E N Dancer The University of Sydney

Professor P Forrester The University of Melbourne

Professor D G Green Monash University

Professor J Grundy Swinburne University of Technology

Professor J Hu The University of New South Wales

Professor J Hunter The University of Queensland

Professor M Papazoglou Tilburg University, The Netherlands

Professor I Shparlinski Macquarie University

Professor S Simoff The University of Western Sydney

PANEL; MEMBER INSTITUTION

Professor M Stumptner University of South Australia

Professor W Susilo University of Wollongong

Professor A Welsh The Australian National University

BIOLOGICAL AND BIOTECHNOLOGICAL SCIENCES

Professor J Schwartz (Chair) Griffith University

Professor R Coppel Monash University

Professor A Elizur University of the Sunshine Coast

Professor N Enright Murdoch University

Professor F Geiser The University of New England

Professor W Hein James Cook University

Professor N Hoogenraad La Trobe University

Professor K Jones The University of Newcastle

Professor G King Southern Cross University

Professor H Lambers The University of Western Australia

Professor D Lambert Griffith University

Professor R Leigh The University of Adelaide

Professor E Mackie The University of Melbourne

Professor B Nowak University of Tasmania

Professor P Timms Queensland University of Technology

Professor H Wallace University of the Sunshine Coast

MEDICAL AND HEALTH SCIENCES

Professor H Barrett (Chair) The University of Western Australia

Professor L Brown University of Southern Queensland

Professor A Castles Macquarie University

Professor P Davidson University of Technology Sydney

Professor G Davis The University of Sydney

Associate Professor K Denton Monash University

Professor P Foster The University of Newcastle

Professor N Johnson Griffith University

PANEL; MEMBER INSTITUTION

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

OTHERAustralian Research Integrity CommitteeTable A6.11: Australian Research Integrity Committee

MEMBER YEAR OF APPOINTMENT

EXPIRY OF APPOINTMENT

Mr R Brent (Chair) 2011 2013

Dr K Breen 2011 2013

Ms J Hamblin 2011 2013

Emeritus Professor S Shaver 2011 2013

APPENDIX 7: CLIENT SERVICE CHARTERTable A7.1: Summary of performance against the ARC client service charter, 2011–12

STANDARD PERFORMANCE

COMMUNICATION

In our dealings with you we will:– be courteous;– treat you fairly and professionally;

provide timely advice that is clear, concise, accurate and complete;

– keep any confidential information provided to us as in confidence except where disclosure is required by law.

The ARC did not receive any general complaints in relation to the communication standards set out in the client service charter.

If you phone use we will:– answer phone calls promptly during normal

business hours and identify ourselves; and– aim to resolve your enquiry during the call or if

we can’t take your details and arrange for the appropriate person to return your call as soon as possible.

The ARC did not receive any general complaints in relation to answering and/or resolving phone call queries.

If you write to us we will:– for simple requests, aim to respond to you

within ten working days; and– for more complex inquiries, aim to respond

within 20 working days.

The ARC did not receive any general complaints in relation to response times to written requests.

ADMINISTRATION OF NCGP

We will make available on our website accurate advice and information about our funding schemes.

The ARC website contains extensive information about NCGP funding schemes.

We will promote equitable access to our schemes and services.

NCGP funding rules aim to provide equitable access to funding for eligible researchers.

We will act fairly, in accordance with our published guidelines, criteria, regulations or legislation.

NCGP funding rules make provision for an appeals process, whereby appeals will be considered against administrative process issues.

We will, when reviewing funding schemes and scheme funding rules, consult widely and provide reasonable timeframes for consultation with interested parties.

In 2011–12 the ARC has consulted relevant stakeholders when reviewing and developing NCGP schemes including the Industrial Transformation Research Program, Linkage Infrastructure, Equipment and Facilities scheme, Science of Learning Research Centre and Aboriginal and Torres Strait Islander Researchers’ Network.

STANDARD PERFORMANCE

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 guidelines.

The ARC did not receive any general complaints in relation to the administration of ERA.

We will, when reviewing ERA policy and processes, consult widely and provide reasonable timeframes for consultation.

Three ERA consultations were undertaken in 2011–12 with feedback informing the development of the rules and documentation for ERA 2012.

POLICY ADVICE

We will consult with appropriate parties to ensure the views of all stakeholders are properly considered.

Where appropriate the ARC has consulted stakeholders when developing policy advice.

We will ensure policy decisions are evidence based.

Wherever possible the ARC analyses collected data to inform policy decisions.

We will provide a reasonable timeframe for comments.

The ARC did not receive any general complaints in relation to timeframes provided when seeking comments.

We will provide information about our decision. Where appropriate the ARC provides information about decisions to stakeholders directly or by publishing on the ARC website.

ONLINE SERVICES

We will aim to have the ARC website accessible at least 98 per cent of the time. There may be times when it is not accessible due to technical upgrades or scheduled maintenance. The ARC will endeavour to keep down times to a minimum.

The ARC website was available greater than 98 per cent of the time during 2011–12.

PRIVACY

We will respect the confidentiality of your personal information and use it only in accordance with the law. We will give you access to your personal information if you request it.

The ARC has clearly defined procedures for dealing with personal information gathered as part of the agency’s responsibilities for the NCGP and ERA.

APPENDIX 8: WORK HEALTH AND 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 2011–12.

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 2011–12.

ANY OTHER MATTERSThere are no other matters required by the guidelines.

APPENDIX 9: 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.In 2011–12 the ARC paid a total of $32 706 to Adcorp Australia Ltd, $3086 to the Australian Public Service Commission, $700 to the National Web Directory Pty Ltd and $500 to Uni Jobs – CBT Corp Pty Ltd for advertising costs. The advertising was undertaken to promote the ARC, advertise ARC programs and to recruit employees.No advertising campaigns were undertaken by the ARC during 2011–2012. The ARC did not employ the services of market research, polling or direct mail organisations during the year.

APPENDIX 10: ECOLOGICALLY SUSTAINABLE 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 2011–12 in the area of an environmentally sustainable Australia is provided in Table A10.1.

CONTRIBUTION OF THE OUTCOMES SPECIFIED IN A RELEVANT APPROPRIATION ACT TO ECOLOGICALLY SUSTAINABLE DEVELOPMENTThe ARC receives its administered funding through an appropriation in the Australian Research Council Act 2001. This funding is reported in the PBS under a single outcome: Growth of knowledge and innovation through managing research funding schemes, measuring research excellence and providing advice.Under the NCGP the ARC supports a research capability that addresses issues of national significance including health, social welfare, defence, transport, communications, and the environment.

EFFECT OF THE ARC’S ACTIVITIES ON THE ENVIRONMENTAs indicated in Table A10.1, under the NCGP the ARC supports a broad range of research relevant to ecologically sustainable development. The research outcomes will benefit Australians by increasing understanding of, and offering solutions to, problems such as the efficient and sustainable use of finite resources.The ARC recognises its daily activities have a negative impact on the environment through the use of electricity, vehicles, water, paper and other materials, and the generation of waste. Measures to minimise such impact are outlined below.

Table A10.1: New ARC-funded research projects in the area of an environmentally sustainable Australia, funding commencing in 2011–12

SCHEME PROJECTS (NO.) AND % OF TOTAL

TOTAL FUNDING ($) AND % OF

TOTAL

Australian Laureate Fellowships 2011

Environment proposals funded

2 5 199 883

Total funded proposals 17 44 516 902

Environment as % of total 11.8 11.7

ARC Future Fellowships 2011 Environment proposals funded

42 30 310 816

Total funded proposals 203 144 342 673

Environment as % of total 20.7 21.0

Discovery Projects 2012 Environment proposals funded

141 46 269 307

Total funded proposals 778 236 837 254

Environment as % of total 18.1 19.5

Linkage Projects 2011 (Rd 2) and 2012 (Rd 1)

Environment proposals funded

102 35 843 983

Total funded proposals 370 110 182 704

Environment as % of total 27.6 32.5

Linkage Infrastructure, Equipment and Facilities 2012

Environment proposals funded

16 5 744 078

Total funded proposals 77 28 300 078

Environment as % of total 20.8 20.3

Super Science Fellowships 2011*

Environment proposals funded

8 5 289 600

Total funded proposals 21 13 920 000

Environment as % of total 38.1 38* The data for Super Science Fellowships refers only to Round 2 Projects for funding commencing in 2011. It refers to the number of projects awarded rather than the number of fellowships.

MEASURES BEING TAKEN TO MINIMISE THE IMPACT OF THE ARC’S ACTIVITIES ON THE 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 2011–12 ARC staff participated in the ‘Earth Hour 2012’ initiative held on 31 March 2012 by switching off computers and other electrical appliances. Staff were asked not to enter ARC offices during this period. The initiative aimed to raise awareness about energy usage.

ICT servicesIn 2011–12 the ARC made significant ICT infrastructure changes through the in-sourcing of all ICT services. Changes to the ARC server, storage, network, desktop and application delivery and management have all contributed to the overall sustainability and greening of ICT within the ARC.The Australian Government ICT Sustainability Plan provides target guidelines for agencies to measure against over the five-year plan. The ARC has exceeded the mid-point targets and in some cases has also exceeded the year five targets for sustainability. This has been achieved through awareness of products and services that not only help the agency meet these targets but also return financial savings to the agency.In terms of the Summary Measures of the ICT Sustainability Plan the ARC can record the following achievements.

Sustainable procurementThe ARC is using approved procurement practices introduced from July 2012 and has recently introduced the use of 50 per cent recycled office copy and print paper. All hardware purchased during the desktop refresh in 2011–12 had gold certification from EPEAT (the global registry for greener electronics), meaning that it met all required environmental criteria plus more than 75 per cent of optional criteria.

Table A10.2: Managing resource consumption and demand

TARGET CONSUMPTION

Internal copy paper per end user (reams per annum) 13 10

Desktop computers to printer ratio 14:1 16:1

Desktop devices per end user 1.4:1 1.12:1

Managing eWasteIn relation to e-waste reused or recycle – as part of the recent ARC desktop refresh all PCs, Monitors and Peripherals were donated to the Computers for Schools initiative managed by the Department of Education, Employment and Workplace Relations.In relation to ICT packaging recycled – all packaging accompanying ICT equipment received by the ARC is recycled using services and facilities provided by the Canberra Airport Group as a facility lease inclusions.

Table A10.3: Managing energy consumptions

TARGET CONSUMPTION

Desktop energy per end user (kWh per annum and averaged across agency)

400 105

Power usage effectiveness in data centres and server room 2.5 2.0 (est)

Desktop computers off after hours 90% ARC ICT policy

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 the ARC Senior Management Group, Strategic Budget and Human Resources, and ICT Governance committee meetings.

APPENDIX 11: CORRECTION OF ERRORSUnder the Annual Report Requirements agencies are required to identify errors in the previous annual report.The Australian Research Council (ARC) Annual Report 2010–11 omitted to provide information about investigations conducted by the Commonwealth Ombudsman’s Office that had been finalised during the year (page 87 of the report).In the ARC Annual Report 2009–10, the ARC reported that the Commonwealth Ombudsman’s Office had initiated two investigations during that year and that, as at 30 June 2010, the ARC had not been advised of the outcome of one of those investigations. The ARC received advice from the Ombudsman’s office in September 2010 that it had recorded an administrative deficiency in relation to this matter.

APPENDIX 12: STAFF STATISTICSCLASSIFICATION LEVELTable A12.1: All staff by classification level (at 30 June 2011 and 2012) (actuals)

CLASSIFICATION 2011 2012

SES Band 3 0 0

SES Band 2 1 0

SES Band 1 5 4

Executive Level 2 15 16

Executive Level 1 30 36

APS 6 (ARC Level 3) 27 32

APS 4–5 (ARC Level 2) 29 32

APS 1–3 (ARC Level 1) 5 5

TOTAL 112 125

EMPLOYMENT STATUSTable A12.2: All staff by employment category, employment status and gender (at 30 June 2011 and 2012)

EMPLOYMENT CATEGORY / STATUS

MALE FEMALE TOTAL FEMALES AS % OF TOTAL

2011 2012 2011 2012 2011 2012 2011 2012

ONGOING

Full-time 32 38 54 61 86 99 63 62

Part-time 0 1 12 15 12 16 100 94

Sub-total 32 39 66 76 98 115 67 66

NON-ONGOING

Full-time 8 2 5 8 13 10 38 80

Part-time 0 0 1 0 1 0 100 0

Sub-total 8 2 6 8 14 10 43 80

TOTAL 40 41 72 84 112 125 64 67

GENDERTable A12.3: All staff by classification level and gender (at 30 June 2011 and 2012)

CLASSIFICATION MALE FEMALE TOTAL FEMALES AS % OF TOTAL

2011 2012 2011 2012 2011 2012 2011 2012

SES Band 3 0 0 0 0 0 0 0 0

SES Band 2 0 0 1 0 1 0 100 0

SES Band 1 4 1 1 3 5 4 20 75

Executive Level 2 6 7 9 9 15 16 60 56

Executive Level 1 6 11 24 25 30 36 80 69

APS 6 (ARC Level 3) 11 11 16 21 27 32 59 66

APS 4/5 (ARC Level 2) 11 9 18 23 29 32 62 72

APS 1–3 (ARC Level 1)

2 2 3 3 5 5 60 60

TOTAL 40 41 72 84 112 125 64 67

EMPLOYMENT ARRANGEMENTSTable A12.4: Employment arrangements covering staff (at 30 June 2011 and 2012)

EMPLOYMENT ARRANGEMENT STAFF 2011(NO.)

2012(NO.)

ARC Enterprise Agreement SES 0 0

Non-SES 94 115

Australian Workplace Agreements SES 0 0

Non-SES 13 7

Common Law Contracts SES 5 4

Non-SES 0 0

s. 24(1) Determinations SES 0 0

Non-SES1 4 2

Individual Flexibility Arrangements (IFAs) SES 0 0

Non-SES 0 4

1 Non-SES Employees with a section 24(1) Determination or IFA are also covered by the Enterprise Agreement. As a result the total number of agreements is higher than the total number of staff by the number of section 24(1) Determinations and IFAs. The acting CEO is also covered by a Common Law Contract but not included in staffing figures as an Office holder.

APPENDIX 13: LEGAL SERVICES EXPENDITURETable 13.1 reports on the ARC’s legal services expenditure in accordance with the Legal Services Directions (2005). The Directions require Chief Executives of FMA Act agencies to ensure that their agency publishes its legal services expenditure by 30 October each year. The ARC publishes this information in its annual report.

Table A13.1: Legal services expenditure report (inclusive of GST), 2011–12

TOTALS $

Total Costs Recovered 0.00

Total External Legal Services Expenditure 49 703.09

Total Internal Legal Services Expenditure 298 468.71

Total (External + Internal) Expenditure 348 171.80

SUMMARY OF EXTERNAL LEGAL SERVICES EXPENDITURE

Total value of briefs to counsel (A) 0.00

Total value of disbursements (excluding counsel) (B) 143.69

Total value of professional fees paid (C) 49 559.40

Total External Legal Services Expenditure (A + B + C) 49 703.09

COUNSEL

Number of briefs to male counsel 0

Number of briefs to female counsel 0

Total number of briefs to counsel 0

Number of direct briefs to male counsel (including direct briefs) 0

Number of direct briefs to female counsel (including direct briefs) 0

Total number of direct briefs to counsel (A) 0

Total value of briefs to male counsel (including direct briefs) 0.00

Total value of briefs to female counsel (including direct briefs) 0.00

Total value of briefs to Counsel (A) 0.00

DISBURSEMENTS

Total value of disbursements (excluding counsel) (B) 143.69

TOTALS $

PROFESSIONAL FEES

Australian Government Solicitor 49 559.40

Total value of professional fees paid (C) 49 559.40

APPENDIX 14: COMMUNICATIONMEDIA RELEASES 2011–12Issued by the Minister for Tertiary Education, Skills, Science and Research

June 2012 > Industry-based research solving 21st century problems (30 June 2012)> Research to help secure Australia’s future (26 June 2012)> Australia’s synchrotron to continue conducting world leading research (22 June 2012)

May 2012> New CEO of the Australian Research Council (28 May 2012)

April 2012> $10 million boost for Prime Minister’s Science Engineering and Innovation Council (11

April 2012)

March 2012> Million dollar grant to help Nobel Laureate to continue mapping southern skies (30

March 2012)

Issued by the Minister for Innovation, Industry, Science and Research

December 2011> $249 million for university-business R & D partnerships (9 December 2011)> A big thank you to our Australian Research Council CEO (6 December 2011)

November 2011> The next big thing in flight simulation (18 November 2011)> Starting – and keeping – researchers on the path of discovery (14 November 2011)> Stem cells may hold the answers (10 November 2011)> Research for a richer, fairer, greener and healthier future (1 November 2011)> Transforming our manufacturing industry through research (1 November 2011)> Future looks tastier thanks to Australian researchers (1 November 2011)> Researchers protect Australia against climate change (1 November 2011)> Research for a healthier future (1 November 2011)> Improving the lives of Indigenous Australians (1 November 2011)> ACT researchers map the night sky and help predict tsunamis (1 November 2011)> NSW researchers to develop search and rescue robots (1 November 2011)> NT researchers help preserve Indigenous literature (1 November 2011)> QLD researchers analyse social media use during emergencies (1 November 2011)> SA researchers study ancient climates and create smart wine bungs (1 November 2011)> Tasmanian researchers study climate change and fight malaria (1 November 2011)> Greener cards on the horizon thanks to local researchers (1 November 2011)> WA researchers lay foundations for national broadband network (1 November 2011)

August 2011> The world’s best minds helping improve Australian lives (10 August 2011)

July 2011> A Decade of Discovery – Australian Research Council (14 July 2011)

Issued by the Australian Research Council

April 2012> Empowering a secure and safer Australia (18 April 2012)> International researchers make Australia home (5 April 2012)

March 2012> ARC Fellows honoured (27 March 2012)> 147 standout researchers to help evaluate our research strengths (8 March 2012)

October 2011> ERA 2012 Research Evaluation Committee Chairs (24 October 2011)> ARC congratulates our Nobel Fellow (5 October 2011)

September 2011> SciVerse Scopus to be citation provider for ERA 2012 (9 September 2011)

APPENDIX 15: AGENCY RESOURCE STATEMENTS Table A15.1: Agency Resource Statement 2011–12

ACTUAL AVAILABLE APPROPRIATION

FOR 2011–12$’000

(A)

PAYMENTS MADE 2011–

12$’000

(B)

BALANCE REMAINING

2011–12$’000

(A)-(B)

Ordinary annual services

Departmental appropriation1 26 322 19 260 7 062

Total 26 322 19 260 7 062

Administered expenses

Outcome 1 2 539 2 646

Total 2 539 2 646

Total ordinary annual services A 28 861 21 906

Other services

Departmental non-operating

Equity injections2 2 954 1 132 1 822

Total 2 954 1 132 1 822

Total other services B 2 954 1 132

Total available annual appropriations and payments

31 815 23 038

Special appropriations

Special appropriations limited by criteria/entitlement

ARC Act 2001 808 837 797 873

Total special appropriations C 808 837 797 873

Special accounts

Opening balance 3 933

ACTUAL AVAILABLE APPROPRIATION

FOR 2011–12$’000

(A)

PAYMENTS MADE 2011–

12$’000

(B)

BALANCE REMAINING

2011–12$’000

(A)-(B)

Appropriation receipts 15 376

Appropriation receipts – other agencies3 6 901

Payments made 16 662

Total special account D 26 210 16 662 9 548

TOTAL RESOURCING AND PAYMENTS A+B+C+D

866 862 837 573

Less appropriations drawn from annual or special appropriations above and credited to special accounts through annual appropriations

15 376 15 376

TOTAL NET RESOURCING AND PAYMENTS FOR ARC 851 486 822 1971Appropriation Bill (No.1) 2011-12 and Appropriation Bill (No.3) 2011-12. This includes Prior Year departmental appropriation and S.31 relevant agency receipts. Includes an amount of $1.677m in 2011–12 for the Departmental Capital Budget. For accounting purposes this amount has been designated as ‘contributions by owners’.2 Appropriation Bill (No.2) 2011–12 and Appropriation Bill (No.4) 2011–12.3 Appropriation receipts from other agencies credited to ARC’s Research Endowment Account (special account).

Table A15.2: Expenses and Resources for Outcome 1

OUTCOME 1: GROWTH OF KNOWLEDGE AND INNOVATION THROUGH MANAGING RESEARCH FUNDING SCHEMES, MEASURING RESEARCH EXCELLENCE AND PROVIDING ADVICE.

BUDGET 2011–12

$’000 (A)

ACTUAL EXPENSES

2011–12 $’000

(B)

VARIATION 2011–12

$’000 (A)-(B)

PROGRAM 1.1: DISCOVERY—RESEARCH AND RESEARCH TRAINING

Administered expenses

Ordinary annual services (Appropriation Bill No. 1) 40 6 34

Special appropriations 502 229 533 635 -31 406

Departmental expenses

Ordinary annual services (Appropriation Bill No. 1) 7 589 7 350 239

Expenses not requiring appropriation in the Budget year

465 316 149

Total for Program 1.1 510 323 541 307 -30 984

PROGRAM 1.2: LINKAGE—CROSS-SECTOR RESEARCH PARTNERSHIPS

Administered expenses

OUTCOME 1: GROWTH OF KNOWLEDGE AND INNOVATION THROUGH MANAGING RESEARCH FUNDING SCHEMES, MEASURING RESEARCH EXCELLENCE AND PROVIDING ADVICE.

BUDGET 2011–12

$’000 (A)

ACTUAL EXPENSES

2011–12 $’000

(B)

VARIATION 2011–12

$’000 (A)-(B)

Ordinary annual services (Appropriation Bill No. 1) 534 480 54

Special appropriations 314 399 284 283 30 116

Special Accounts 11 209 16 662 -5 453

Departmental expenses

Ordinary annual services (Appropriation Bill No. 1) 9 507 9 208 299

Expenses not requiring appropriation in the Budget year

465 316 149

Total for Program 1.2 336 114 310 949 25 165

PROGRAM 1.3: EXCELLENCE IN RESEARCH FOR AUSTRALIA

Administered expenses

Ordinary annual services (Appropriation Bill No. 1) 1 965 1 941 24

Departmental expenses

Ordinary annual services (Appropriation Bill No. 1) 3 586 1 997 1 589

Expenses not requiring appropriation in the Budget year

465 315 150

Total for Program 1.3 6 016 4 253 1 763

OUTCOME 1: TOTALS BY APPROPRIATION TYPE

Administered expenses

Ordinary annual services (Appropriation Bill No. 1) 2 539 2 427 112

Special appropriations 816 628 817 918 -1 290

Special Accounts 11 209 16 662 -5 453

Departmental expenses

Ordinary annual services (Appropriation Bill No. 1) 20 682 18 555 2 127

Expenses not requiring appropriation in the Budget year

1 395 947 448

Total expenses for Outcome 1 852 453 856 509 -4 056

OUTCOME 1: GROWTH OF KNOWLEDGE AND INNOVATION THROUGH MANAGING RESEARCH FUNDING SCHEMES, MEASURING RESEARCH EXCELLENCE AND PROVIDING ADVICE.

BUDGET 2011–12

$’000 (A)

ACTUAL EXPENSES

2011–12 $’000

(B)

VARIATION 2011–12

$’000 (A)-(B)

2010–11 2011–12

Average Staffing Level (number) 107 107

* Full-year budget, including any subsequent adjustment made to the 2011–12 Budget.

PART 6REFERENCE

LIST OF FIGURES AND TABLESABBREVIATIONS AND ACRONYMSGLOSSARYCOMPLIANCE INDEXALPHABETICAL INDEX

LIST OF FIGURES AND TABLESFIGURES

PageFigure 3.1: ARC total appropriated resources, 2011–12

18Figure 3.2: Structure of the ARC

19Figure 3.3: ARC performance framework

23Figure 8.1: Key ARC committees

86Figure 10.1: ARC staff by classification 97Figure 10.2: Ongoing and non-ongoing ARC staff 97Figure 10.3: ARC staffing by gender 97

TABLESPage

Table 1.1:Summary of progress against 2011–12 priority actions 6Table 5.1:Discovery Program performance framework 41Table 5.2:Discovery Program deliverables 42Table 5.3:Discovery Program, performance against key performance indicators 50Table 6.1:Linkage Program performance framework 60Table 6.2:Linkage Program deliverables 61Table 6.3:Linkage Program, performance against key performance indicators 68Table 7.1:ERA performance framework 76Table 7.2:ERA deliverables 77Table 7.3:ERA, performance against key performance indicators 82Table 10.1:Staff separations by classification level and employment category, 2010–11

and 2011–12 98Table 10.2: Employment arrangements covering staff (at 30

99Table 10.3: Training and development by classification level,

101Table 11.1: Requests under the FOI Act,

105Table A1.1: Mapping of key performance indicators 186Table A2.1: Discovery Program funding schemes 188Table A2.2: Linkage Program funding schemes 189Table A3.1: Discovery Program, new funding commencing in 2009–10 to 2011–12 190Table A3.2: Linkage Program, new funding commencing in 2009–10 to 2011–12 191Table A4.1: Discovery and Linkage Program, research outputs 195Table A4.2: Discovery and Linkage Programs, fellowships and awards 196Table A4.3: Discovery Projects and Linkage Projects schemes, research personnel

outputs for funding commencing in 2007 197

Table A4.4: Linkage Projects scheme, partner organisation contributions by type of organisation 198

Table A4.5: Discovery and Linkage Programs, projects involving international collaboration as a proportion of total projects funded 199

Table A4.6: Discovery and Linkage Programs, research in national research priority areas, 2011–12 200

Table A4.7: ARC Centres of Excellence, research outputs, 2011 201Table A5.1: Powers and responsibilities of the Minister under the Australian Research

Council Act 2001 202Table A6.1: ARC Advisory Council, 2011–12 204Table A6.2: ARC Audit Committee, 2011–12 204Table A6.3: Other ARC governance committees, 2011–12 205Table A6.4: ARC Appeals Committee, 2011–12 205Table A6.5: ARC College, 2011–12 206Table A6.6: ARC Scrutiny Committee, 2011–12 210Table A6.7: Australian Laureate Fellowships Selection Advisory Committee (SAC), 2012 210Table A6.8: Future Fellowships SAC, 2011 211Table A6.9: Synchrotron SAC, 2012 212Table A6.10: ERA 2012 Research Evaluation Committees 213Table A6.11: Australian Research Integrity Committee 217Table A7.1: Summary of performance against the ARC client service charter, 2011–12 218Table A10.1: New ARC-funded research projects in the area of an environmentally

sustainable Australia, funding commencing in 2011–12 223Table A10.2: Managing resource consumption and demand 225Table A10.3: Managing energy consumptions 225Table A12.1: All staff by classification level (at 30 June 2011 and 2012) (actuals) 227Table A12.2: All staff by employment category, employment status and gender (at 30

June 2011 and 2012) 227Table A12.3: All staff by classification level and gender (at 30 June 2011 and 2012) 228Table A12.4: Employment arrangements covering staff (at 30 June 2011 and 2012) 228Table A13.1: Legal services expenditure report (inclusive of GST), 2011–12 229Table A15.1: Agency Resource Statement 2011–12 232Table A15.2: Expenses and Resources for Outcome 1 233

ABBREVIATIONS AND ACRONYMSAABC Australian Broadcasting CommissionACPFG Australian Centre for Plant Functional GenomicsANAO Australian National Audit OfficeANU Australian National UniversityAPAI Australian Postgraduate Award IndustryAPDI Australian Postdoctoral Fellowship (Industry)APS Australian Public ServiceARC Australian Research CouncilARC Act Australian Research Council Act 2001ARIC Australian Research Integrity CommitteeARMS Australasian Research Management Society ATSIRN Special Research Initiative for Aboriginal and Torres Strait Islander Research

NetworkAWA Australian Workplace Agreement

C Cardiac-ARIA Cardiac Accessibility and Remoteness Index for AustraliaCCI ARC Centre of Excellence for Creative Industries and InnovationCEED ARC Centre of Excellence for Environmental DecisionsCEIs ARC Chief Executive InstructionsCEO Chief Executive OfficerCILR ARC Centre of Excellence for Integrative Legume ResearchCPGs Commonwealth Procurement GuidelinesCSIRO Commonwealth Scientific and Industrial Research Organisation

DDECRA Discovery Early Career Researcher AwardDIISR Department of Innovation, Industry, Science and ResearchDIISRTE Department of Industry, Innovation, Science, Research and Tertiary EducationDP Discovery Projects scheme

EECR early career researcherEOI expression of interestERA Excellence in Research for Australia

FFMA Act Financial Management and Accountability Act 1997FOI freedom of information

FOI Act Freedom of Information Act 1982FOR field of researchFT Future Fellowships scheme

GGST goods and services tax

IICA International Collaboration AwardsICT information and communications technologyIFA Individual Flexibility ArrangementIPS Information Publication SchemeIT information technology

KKPI key performance indicator

LLIEF Linkage Infrastructure, Equipment and Facilities schemeLP Linkage Projects scheme

MMinister, the Minister for Tertiary Education, Skills, Science and Research

NNCGP National Competitive Grants ProgramNCGRT National Centre for Groundwater Research and TrainingNCI National Computational InfrastructureNHMRC National Health and Medical Research CouncilNICTA National ICT AustraliaNLA National Library of AustraliaNRP national research priorityNWC National Water Commission

OOHS Act Occupational Health and Safety (Commonwealth Employment) Act 1991

PPBS Portfolio Budget StatementsPMSEIC Prime Minister’s Science, Engineering and Innovation CouncilPS Act Public Service Act 1999

QQEII Queen Elizabeth II Fellowship

RR&D research and developmentREC Research Evaluation CommitteeRFID Radio Frequency IdentificationRMS Research Management System

SSAC Selection Advisory Committee SEER System to Evaluate the Excellence of ResearchSES Senior Executive ServiceSTEM Science, Technology, Engineering and Mathematics

UUS United StatesUSA United States of America

WWCAGs Web Content Accessibility GuidelinesWHS Work Health and Safety

GLOSSARYAdministered itemsThose assets, liabilities, revenues and expenses controlled by the Australian Government and managed or overseen by agencies or authorities on behalf of the Australian Government.

Chief InvestigatorA researcher who takes significant intellectual responsibility for the conduct of an ARC-funded project. They must have the capacity to make a serious commitment to carrying out the project, be employed by an eligible organisation and meet the other eligibility requirements for the scheme.

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.

Early career researcher-only proposalA proposal on which all proposed chief investigators and fellows are early-career researchers.

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.

Host OrganisationAn organisation, other than the administering organisation, where a Future Fellow does their research.

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.

Non-traditional research outputs Research outputs which do not take the form of tradition 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.

Portable and attractive equipmentItems with a value below the ARC’s asset capitalisation threshold of $2000 and are susceptible to theft or loss due to their portable nature and attractiveness for personal use or resale.

Start-up 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).

COMPLIANCE INDEXAUSTRALIAN RESEARCH COUNCIL ACT 2001

REPORT SECTION / DESCRIPTION REQUIREMENT PAGE(S)

DESCRIPTION

Particulars of any Ministerial requests for advice about research matters

Mandatory N/A

Particulars of any Ministerial directions about performance of the ARC’s functions

Mandatory 85

Particulars of any Ministerial notifications of general policies of the Commonwealth that are to apply to the ARC, its committees or the staff

Mandatory N/A

An assessment of the ARC’s performance against the performance indicators set out in the strategic plan

Mandatory 50–51,68–69, 82

Preparation in accordance with guidelines of the Joint Committee of Public Accounts and Audit (JCPAA)

Mandatory See below

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 49, 50, 69, 194, 200

REQUIREMENTS FOR ANNUAL REPORTSREPORT SECTION / DESCRIPTION REQUIREMENT PAGE(S)

GENERAL

Letter of transmittal Mandatory iii

Table of contents Mandatory iv–v

Index Mandatory 247–253

Glossary Mandatory 241–42

Contact officer(s) Mandatory vi

Internet home page address and Internet address for report Mandatory vi

REVIEW BY CHIEF EXECUTIVE OFFICER

Review by CEO Mandatory 2–5

Summary of significant issues and developments Suggested 3

REPORT SECTION / DESCRIPTION REQUIREMENT PAGE(S)

Overview of performance and financial results Suggested 3–5

Outlook for following year Suggested 5

Significant issues and developments–portfolio Suggested N/A

DEPARTMENTAL OVERVIEW

Role and functions Mandatory 15

Organisational structure Mandatory 19

Outcome and program structure Mandatory 22

Where outcome and program structures differ from PBS/PAES or other portfolio statements accompanying any other additional appropriation bills, details of variation and reasons for change

Mandatory N/A

Portfolio structure Mandatory N/A

REPORT ON PERFORMANCE

Review of performance during the year in relation to programs and contribution to outcomes

Mandatory 25–82

Actual performance in relation to deliverables and KPIs set out in PBS/PAES or other portfolio statements

Mandatory 50–51,68–69, 82

Where performance targets differ from the PBS/PAES, details of both former and new targets, and reasons for the change

Mandatory 22

Narrative discussion and analysis of performance Mandatory 25–82

Trend information Mandatory 190–201

Significant changes in nature of principal functions/services Suggested N/A

Performance of purchaser/provider arrangements Suggested N/A

Factors, events or trends influencing departmental performance Suggested N/A

Contribution of risk management in achieving objectives Suggested 89–90

Social inclusion outcomes If applicable, mandatory

N/A

Performance against service charter customer service standards, complaints data and response to complaints

If applicable, mandatory

94

Discussion and analysis of financial performance Mandatory 117

Discussion of any significant changes from the prior year or from the budget or anticipated to have a significant impact on future operations

Mandatory 117

Agency resource statement and summary resource tables by outcomes

Mandatory 232–34

REPORT SECTION / DESCRIPTION REQUIREMENT PAGE(S)

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 84–91

Names of the senior executive and their responsibilities Suggested 20–21

Senior management committees and their roles Suggested 86–88

Corporate and operational planning and associated performance reporting and review

Suggested 89

Approach adopted to identifying areas of significant financial or operational risk

Suggested 89–90

Policy and practices on the establishment and maintenance of appropriate ethical standards

Suggested 91

How nature and amount of remuneration for SES officers is determined

Suggested 100

EXTERNAL SCRUTINY

Significant developments in external scrutiny Mandatory 92–95

Judicial decisions and decisions of administrative tribunals Mandatory 94

Reports by the Auditor-General, a Parliamentary Committee or the Commonwealth Ombudsman

Mandatory 93–94

MANAGEMENT OF HUMAN RESOURCES

Assessment of effectiveness in managing and developing human resources to achieve objectives

Mandatory 96

Workforce planning, staff turnover and retention Suggested 98

Impact and features of enterprise or collective agreements, individual flexibility arrangements (IFAs), determinations, common law contracts and Australian Workplace Agreements (AWAs)

Suggested 98–100

Training and development undertaken and its impact Suggested 100

Work health and safety performance Suggested 100–1

Productivity gains Suggested 101

Statistics on staffing Mandatory 97

Enterprise or collective agreements, IFAs, determinations, common law contracts and AWAs

Mandatory 98–100

Performance pay Mandatory 100

ASSETS MANAGEMENT

REPORT SECTION / DESCRIPTION REQUIREMENT PAGE(S)

Assessment of effectiveness of assets management If applicable, mandatory

108

PURCHASING

Assessment of purchasing against core policies and principles Mandatory 104

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 104

Statement noting that information on contracts and consultancies is available through the AusTender website

Mandatory 104

AUSTRALIAN NATIONAL AUDIT OFFICE ACCESS CLAUSES

Absence of provision in contracts allowing access by the Auditor-General

Mandatory 105

EXEMPT CONTRACTS

Contracts exempt from AusTender Mandatory 105

FINANCIAL STATEMENTS

Financial statements Mandatory 118–83

OTHER MANDATORY INFORMATION

Work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011)

Mandatory 220

Advertising and market research (section 311A of the Commonwealth Electoral Act 1918) and statement on advertising campaigns

Mandatory 221

Ecologically sustainable development and environmental performance (section 516A of the Environment Protection and Biodiversity Conservation Act 1999)

Mandatory 222–25

Compliance with the agency’s obligations under the Carer Recognition Act 2010

If applicable, mandatory

N/A

Grant programs Mandatory 95

Disability reporting–explicit and transparent reference to agency-level information available through other reporting mechanisms

Mandatory 95

Information Publication Scheme statement Mandatory 95

Correction of material errors in previous annual report If applicable, mandatory

95

REPORT SECTION / DESCRIPTION REQUIREMENT PAGE(S)

List of requirements Mandatory 243–46

ALPHABETICAL INDEXAAboriginal and Torres Strait Islander Researchers’ Network 3, 6, 62, 65advertising and market research 221Advisory Council 38, 86

membership of 204Andersen, Tony 21appeals 88, 94, 218Appeals Committee 88

membership 205ARC College 87

membership 206–9asset management 108Audit Committee 86–7

membership of 204audits

auditors report 119–20Australian National Audit Office 93institutional reviews 91internal 90

Australia Day Medallions 102Australian Academy of Science awards 53Australian Centre for Plant Functional Genomics 66Australian Code for Responsible Conduct of Research 88Australia in the Asian Century White Paper 12, 43, 62, 112Australia−India Council 62The Australian Innovation Challenge awards 53Australian Innovation System Report 2011 8, 12Australian Laureate Fellowships 8, 38–9, 42, 43, 46, 48, 188, 190

selection advisory committee 210Australian National Audit Office 4, 93Australian National University 11, 28, 32Australian Research Council Act 2001 15, 85Australian Research Integrity Committee 3–4, 6, 88-89

establishment 5, 12, 88joint administration of 17membership 217operational procedures 89role 88

Australian Research Management Society 110–1Australian Synchrotron 11Australian Workplace Agreements 99awards 52-3, 101-2, 112

Bbionic vision

Research in Bionic Vision Science and Technology Initiative 65Botten, Professor Lindsay 32, 32budget 5, 10, 18, 74, 89, 117, 172−4, 232−4

Business Continuity Plan 90Byrne, Professor Aidan 2, 11, 20

CCameron, Dr Fiona 20capacity, key objective 6, 16, 186Carr, Kim 8, 43, 79, 85

see also Minister for Innovation, Industry, Science and ResearchCentres of Excellence 58, 64, 189–90, 201

for Autonomous Systems 57for Creative Industries and Innovation 34for Environmental Decisions 33for Integrative Legume Research 35for Policing and Security 10, 65in Ore Deposits 31

Chan, Isa 102Chen, Professor Min 52Chief Executive Officer 2

functions 85review 3–5

Chubb, Professor Ian 11Client Service Charter 218–19co-funded centres 64, 66–7

Australian Centre for Plant Functional Genomics 66National Centre for Groundwater Research and Training 64, 67, 67National ICT Australia 66

Coleman, Professor Richard 20College of Experts see ARC Collegeconsultations 111committees, key 86–8

Appeals Committee 88, 205–6ARC Advisory Council 86, 204ARC Audit Committee 86–7, 204ARC College 87, 206–9ARC Guidelines for Disclosure of Interests and Confidentiality Obligations 91ARC Security Committee 86–7, 205Australian Research Integrity Committee 88ICT Governance Committee 86–7, 205members, ethical behaviour 91NCGP Executive Committee 88People Management and Development Committee 86–7, 205Research Evaluation Committees 77, 80Salary Review Committee 86–7, 205Scrutiny Committee 88, 210selection advisory committees 210–12Senior Management Group 86–7, 205Strategic Budget and Human Resources Committee 86–7, 205Work Health and Safety Committee 87, 205

Commonwealth Grants Guidelines 95Commonwealth Procurement Guidelines 104communication 101, 109

Discovery Program activities 42enabling objective 16

forums 111, 114grants announcement events 110Inspiring Australia 113Linkage Program activities 61media releases and publicationsnetwork messages 114Oceans and Coastal Communicators Network 113research outcomes 111social media 114sponsorship 110website 114

complaints 94ARC Complaints Handling Policy and Procedures 91

compliance 4index 243–6

consultants 104expenditure on 104selection 104

correction of errors 95, 226Cram, Professor Lawrence 8

DDasgupta, Professor Mahananda 8, 43, 46Department of Broadband, Communications and the Digital Economy 66Department of Employment, Education and Workplace Relations 90, 225Department of Finance and Deregulation 93Department of Industry, Innovation, Science, Research and Tertiary Education 32, 43, 79, 93,

112 see also Department of Innovation, Industry, Science and Research

Department of Innovation, Industry, Science and Research 12-3, 110-1Department of Prime Minister and Cabinet 12, 95disability reporting 95Disaster Recovery Plan 90Discovery Early Career Researcher Award scheme 6, 9, 20, 38–9, 42, 46–7, 188, 190Discovery Indigenous scheme 4, 21, 28, 38, 42, 46, 188, 190

Discovery Indigenous Awards 46Discovery Program 4, 6, 15, 39–51, 56–7, 188

assessment 45changes 47collaboration 48communication activities 42deliverables 41–2funding 47–8funding awarded 42funding rules, revised 43grants awarded 42international networking 48key performance indicators 41, 51–2, 193–201NRP implementation 49objectives 40–1outcome and performance 40–1overview 39policy advice 43

postgraduate/postdoctoral support 46recipients, progress and final reports 45researchers supported 42, 46–7

Discovery Projects scheme 4, 6, 15, 20, 30, 39, 47, 188, 190Discovery Outstanding Researcher Awards 46-7

Eecologically sustainable development 222–5Elsevier

SciVerse Scopus 8, 80employment conditions 98-100enabling objectives see objectives, enabling enterprise agreement 3, 8, 99ERA see Excellence in Research for Australiaethical behaviour 91Eureka Prizes 52, 111–12Evans, Chris 2, 9, 10, 15, 15, 85Excellence in Research for Australia 3–4, 15, 37, 75–81

committees 77deliverables 76–7documentation 78evaluations 81funding 74key performance indicators 76, 82mission 76objectives 76, 79outcome 76, 79–81overview 74–5performance targets 37processes, enhancements 78Research Evaluation Committees 77, 80, 213–17SEER 107submissions 10, 79

external scrutiny 92–5Australian National Audit Office 93Office of the Australian Information Commissioner 94parliamentary committees 93Senate Economics Legislation Committee 92

Ffacilities

asset management 108physical security 108property management 108records management 108

financial performance 116–17financial services

consultants 104contracts, exempt 104purchasing 104

financial statements 121–83Focusing Australia’s Publicly Funded Research 12forums, participation 111, 114

fraud control 90Freedom of Information 95, 105

requests 105functions of the ARC 3, 15funding 196

appropriated 5, 18 international research facilities 64

funding awardedDiscovery Program 42Linkage Program 61

Future Fellowships 9, 20, 38–9, 46, 48, 188, 190collaboration 48selection advisory committee 211–12

GGarner, Laurence 102Georgina Sweet Australian Laureate Fellowship 8, 46Global Research Council 44Global Summit on Merit Review 6, 10, 43–4, 62

merit review principles 44governance 84

Australian Research Council Act 2001 15, 85Minister for Tertiary Education, Skills, Science and Research 2, 8, 85Public Service Act 1999 85

grants announcement events 110grants awarded 42, 61Gresshoff, Professor Peter 35, 35ground water research 64

National Centre for Groundwater Research and Training 64, 67Guidelines for Disclosure of Interests and Confidentiality Obligations 91guiding principles 17

HHarvey, Leanne 3, 2–5, 10, 20Health of Australian Science 11–12, 80

Health of Australian Science Advisory Group 43

IICT see information and communications technologyICT Governance Committee 86–7

membership 205Indigenous Australians

Discovery Indigenous Researchers Development scheme 28Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network 3, 62, 65

individual flexibility arrangements 99Industrial Transformation Research Program 6, 9, 62Industrial Transformation Training Centres scheme 63, 65information and communications technology

ecologically sustainable development 222–5ICT Governance Committee 86–7National ICT Australia 66overview 106RMS 107

SEER 107services 107

Innovation and Research Strategy for Growth 13Innovation in Australia showcase 111Inspiring Australia 113institutional reviews 91Integrated Ocean Drilling Program 64international

ARC international strategy 6, 43collaboration 4, 43, 48, 51, 58, 68, 194, 199comparisons 80networking and mobility 38, 48policy discussions 6, 38, 43-4, 62, 86reports released 13

research facilities 64research partners 4, 198, 201visits and delegations 113, 201

International Collaboration Awards 48ISIS Neutron Spallation Source 64

JJia, Dr Baohua 56, 56Johnson, Professor Alan 8

KKarmakar, Associate Professor Nemai 72, 72Kathleen Fitzpatrick Australian Laureate Fellowship 8, 46Kaul, Akshra 102Kelly, Dr Mary 21Kendall, Professor Mark 53, 112, 112key objectives see objectives, key key performance indicators, 186

Discovery Program 41, 51–2ERA 76, 82Linkage Program 60, 68–9

Kitzler, Ondrej 28

LLarge, Professor Ross 31, 31legal services 105

expenditure 229legislation 15, 85, 94Linkage Infrastructure, Equipment and Facilities scheme 20, 32, 58, 64, 189–90Linkage Learned Academies Special Projects scheme 11, 58, 62, 189, 192Linkage Program 189

collaboration 63communication activities 61deliverables 60–1funding awarded 61grants 61key performance indicators 60, 68–9, 193–201mission 60objectives 60outcome 60

overview 58performance 59–60policy advice 62postgraduate/postdoctoral opportunities 63researchers 61selection rounds 62–3

Linkage Projects scheme 6, 11, 15, 29, 36, 58–73, 189

MMcKay, Dr Aaron 28Maher, Dr Carol 36, 36manufacturing

Prime Minister’s Taskforce on Manufacturing 12Maximising the Innovation Dividend 12media releases and publications 110, 230merit review principles 44Mildren, Professor Richard 28, 28Millar, Professor A Harvey 53Minister for Innovation, Industry, Science and Research

see also Carr, Kimmedia releases 230Minister for Tertiary Education, Skills, Science and Research 2, 8, 10, 15

see also Evans, Chris media releases 230responsibilities and role 202–3

mission 16, 26mission-based compacts 37Monash University 72Mylne, Dr Joshua 55, 55

NNANTEN2 Observatory 64National Centre for Groundwater Research and Training 64, 67National Competitive Grants Program 3–4, 15

ARC College 87case studies 27–36NCGP Executive Committee 88performance information 193–201proposals received, and funded 4RMS 107

National Health and Medical Research Council 3, 11National ICT Australia 66National Research Infrastructure Council 62National Research Priorities 43, 49, 62, 194, 200

case studies 54−7, 70−3implementation 49goals 49

National Water Commission 67NCGP see National Competitive Grants ProgramNCGP Executive Committee 88Nelson, Lesley 20Nobel Prize for Physics 8, 52Norris, Professor Pippa 8, 43, 46

Oobjectives, enabling 16, 23

communication 16organisation 16

objectives, key 6, 16, 23, 186–7capacity 6, 16, 186Discovery Program 40–1ERA 76Linkage Program 60policy and evaluation 6, 16, 187research 6, 16, 186

occupational health see work health and safetyOceans and Coastal Communicators Network 113Office of the Australian Information Commissioner 94Ombudsman, Commonwealth 94, 226organisation, objective 16organisational structure 19outcome 22–3, 26

case studies 27–38Discovery Program 40–1, 51–2ERA 76Linkage Program 60outcomes and programs structure 22–3Discovery Program 41ERA 76Linkage Program 60

PPapadakis, Professor Elim 8partner organisations 198partnerships 4, 15, 43, 63, 65−7, 194peer review

Discovery Program 45ERA, appointments 77

People Management and Development Committee 86–7membership 205

performance 22, 193–201Discovery Program 40–1, 50–1ERA 76framework 186Linkage Program 60

Petersen, Professor Ian 8policy advice 112

ARC 38, 112Discovery Program 43Linkage Program 62

policy and evaluation, key objective 6, 16, 187portfolio budget statements 22−3, 40−1, 59−60, 75−6, 89−90, 186−7postgraduate/postdoctoral support 46, 48, 63Powering Ideas: An Innovation Agenda for the 21st Century 12Prime Minister’s Science, Engineering and Innovation Council 10, 62

Prime Minister’s Science Prizes 52Prime Minister’s Taskforce on Manufacturing 12prizes 52-3, 112productivity gains 101programs 22–3property management 108

ecologically sustainable development 222–5Public Service Act 1999 85

Section 24(1) Determinations 100

RRadoll, Dr Peter 28, 28records management 108remuneration 100reporting 89

annual 89, 94–5, 243–6Commonwealth Grants Guidelines 95disability reporting 95Freedom of Information 95, 105grant programs 95social inclusion outcomes 95

researchARC key objective 6, 16, 186outcomes 27−36, 54−7, 70−3, 111outputs 195, 201

Research Administrators’ Seminar 114Research Evaluation Committees 77, 80

appointments to 77, 80membership 213–17role of 88

Research in Bionic Vision Science and Technology Initiative 65Research Management System 107researchers supported 42, 61Resource Statements 232–4resources 18, 232–4responsibilities, overview 14risk management 4, 91RMS see Research Management Systemrole of the ARC 15

SSalary Review Committee 86–7

membership 105Sara, Professor Vicki 8, 85, 85Schmidt, Professor Brian 8, 10, 52SciVerse Scopus 8, 80Scrutiny Committee 88

membership 210Security Committee 86–7

membership 205SEER see System for Evaluation of Excellence in AustraliaSenate Economics Legislation Committee 92Senior Management Group 86–7

membership 105Sheil, Professor Margaret 3, 8, 9–10, 43, 102, 112Shine, Professor Rick 53, 73, 73Simms, Professor Marian 20Sir Nicholas Shackleton Medal 52social inclusion 95Special Research Initiatives scheme 64-5, 189, 192

for an Aboriginal and Torres Strait Islander Researchers’ Network 3, 6, 62, 65funding, extension 65in Stem Cells Science 65in Synchrotron Science 3, 58, 62selection advisory committee 211–12

sponsorship, ARC 110-2staff 96

ARC staff survey 5Australian Workplace Agreements 99classifications and category 98common law contracts 100conditions, overview 98enterprise agreement 99ethical behaviour 91individual flexibility arrangements 99People Management and Development Committee 86–7remuneration 100Salary Review Committee 86–7Section 24(1) Determinations 100Senior Management Group 86–7statistics 97, 227–8Strategic Budget and Human Resources Committee 86–7training and development 100turnover and retention 98Work Health and Safety Committee 87workforce planning 98workplace arrangements 99

State Scientists of the Year 52stem cell research

Special Research Initiative in Stem Cell Science 65Stien, Claudia 102Strategic Budget and Human Resources Committee 86–7

membership 105strategic context 12strategic plan 4, 8, 16-7, 22, 26, 40, 59, 75

overview 89priority actions 43-45, 47, 62, 65, 77, 79, 89

Strategic Review of Health and Medical Research 12, 43, 1122011 Strategic Roadmap for Australian Research Infrastructure 8Super Science Fellowships scheme 20, 39, 190

symposium 111Sustainable Research Excellence 13Swinburne University of Technology 56synchrotron science 11, 11, 58

Australian Synchrotron 11Special Research Initiative in Synchrotron Science 3, 62, 64

System for the Evaluation of Excellence in Research 107

Tten year anniversary 8, 85training and development 100

WW H (Beattie) Steel medal 52waste management 225website 114Weigold, Professor Erich 8Wells, Professor Andrew 44Wernberg, Associate Professor Thomas 54, 54work health and safety 100–1, 220Work Health and Safety Committee 87, 101

membership 205workplace policies 101