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2013/14 ANNUAL REPORT

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THE AUSTRALIAN RESEARCH COUNCILVISION Research for a creative, innovative and productive Australia

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

GUIDING Excellence

PRINCIPLES EngagementBenefit Accountability

Produced by: Australian Research Council

Location: 11 Lancaster Place, CANBERRA AIRPORT ACT 2609

Postal address: GPO Box 2702, CANBERRA ACT 2601

Telephone: +61 2 6287 6600

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Email: [email protected] (annual report enquiries)

[email protected] (general enquiries)

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Home page: <www.arc.gov.au>

Annual report: <www.arc.gov.au/about_arc/annual_report>

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ISSN 1444-982X (print)

ISSN 2202-0683 (online)

© Commonwealth of Australia 2014

All material presented in this publication is provided under a Creative Commons Attribution 3.1 Australia licence <www.creativecommons.org/licenses> with the exception of the Commonwealth Coat of Arms, the Australian Research Council (ARC) logo, images, signatures and where otherwise stated. For the avoidance of doubt, this means this licence only applies to material as set out in this document. The details of the relevant licence conditions are available on the Creative Commons website as is the full legal code for the CC BY 3.0 AU licence <www.creativecommons.org/licenses>.

Requests and enquiries regarding this licence should be addressed to ARC Legal Services on +61 2 6287 6600.

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LETTER OF TRANSMITTAL1 October 2014

The Hon Christopher Pyne

Minister for Education

Parliament House

CANBERRA ACT 2600

Dear Minister

It is with great pleasure that I present the Australian Research Council (ARC) Annual Report for 2013–14.

During 2013–14 the ARC continued to deliver against its identified Outcome: 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

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

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

Yours sincerely

Professor Aidan Byrne Chief Executive Officer

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CONTENTSLETTER OF TRANSMITTAL......................................................................................................... iii

CONTENTS................................................................................................................................... iv

LIST OF PHOTOGRAPHS............................................................................................................vi

PART 1 OVERVIEW......................................................................................................1CHAPTER 1 REVIEW BY THE CHIEF EXECUTIVE OFFICER....................................................2

CHAPTER 2 THE AUSTRALIAN RESEARCH COUNCIL...........................................................10

PART 2 PERFORMANCE...........................................................................................17CHAPTER 3 OUTCOME..............................................................................................................18

CHAPTER 4 PROGRAM 1.1 DISCOVERY.................................................................................46

CHAPTER 5 PROGRAM 1.2 LINKAGE.......................................................................................62

CHAPTER 6 EXCELLENCE IN RESEARCH FOR AUSTRALIA.................................................84

PART 3 MANAGEMENT AND ACCOUNTABILITY....................................................93CHAPTER 7 CORPORATE GOVERNANCE...............................................................................94

CHAPTER 8 EXTERNAL SCRUTINY........................................................................................113

CHAPTER 9 PEOPLE MANAGEMENT.....................................................................................118

CHAPTER 10 PURCHASING, CONSULTANTS AND ASSET MANAGEMENT.......................125

PART 4 FINANCIAL PERFORMANCE.....................................................................129CHAPTER 11 FINANCIAL OVERVIEW.....................................................................................130

CHAPTER 12 FINANCIAL STATEMENTS................................................................................133

PART 5 APPENDICES..............................................................................................205APPENDIX 1: NATIONAL COMPETITIVE GRANTS PROGRAM, DISCOVERY PROGRAM. .206

APPENDIX 2: NATIONAL COMPETITIVE GRANTS PROGRAM, LINKAGE PROGRAM........210

APPENDIX 3: PRIZES AND AWARDS......................................................................................216

APPENDIX 4: MEMBERSHIP OF COMMITTEES.....................................................................220

APPENDIX 5: CLIENT SERVICE CHARTER............................................................................230

APPENDIX 6: WORK HEALTH AND SAFETY..........................................................................232

APPENDIX 7: ADVERTISING AND MARKET RESEARCH......................................................233

APPENDIX 8: ECOLOGICALLY SUSTAINABLE DEVELOPMENT..........................................234

APPENDIX 9: CORRECTION OF ERRORS..............................................................................238

APPENDIX 10: STAFF STATISTICS.........................................................................................239

APPENDIX 11: AGENCY RESOURCE STATEMENTS............................................................242

PART 6 REFERENCE...............................................................................................247LIST OF FIGURES AND TABLES.............................................................................................248

LIST OF CASE STUDIES..........................................................................................................250

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ABBREVIATIONS AND ACRONYMS........................................................................................252

GLOSSARY................................................................................................................................255

COMPLIANCE INDEX................................................................................................................259

ALPHABETICAL INDEX.............................................................................................................264

CONTACT INFORMATION........................................................................................................270

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LIST OF PHOTOGRAPHSCAPTION PAGE

Front cover: Professor Richard Roberts, an Australian Laureate Fellow at the University of Wollongong, recording details of the archaeological excavations at ConMoong Cave in Vietnam. This collaboration with the Institute of Archaeology in Hanoi is part of his interdisciplinary project, ‘Out of Asia: unique insights into human evolution and interactions using frontier technologies in archaeological science’.

Part 1: Professor Reg Watson, awarded a Discovery Projects grant, visits the commercial fishing vessels at Hobart waterfront. The project will develop the means to predict how Australia’s future seafood production and marine food security will change in response to climate change and overfishing, and establish how to achieve sustainable growth in fisheries while safeguarding seafood for Australians.

1

Chapter 1: Victoria Haskins, Associate Professor in History at the University of Newcastle, was awarded an ARC Future Fellowship for her project ‘In Her Place: state intervention and Indigenous domestic service in Australia and the United States, 1880-1945’. Associate Professor Haskins worked in multiple Indigenous archives across Australia and the USA to undertake this extensive comparative and transnational historical study.

2

Professor Aidan Byrne, ARC Chief Executive Officer (CEO). 3

2014 ARC staff photo. 8

Chapter 2: Professor Jörg Imberger, from The University of Western Australia, deploying a temperature microstructure probe with the objective of understanding the influence the physical micro scale environment has on phytoplankton succession. Professor Imberger received a Discovery Projects grant in 2013 to examine ‘Turbulent vertical mixing in stratified flows’.

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ARC’s executive staff: Professor Aidan Byrne, Ms Leanne Harvey, Dr Fiona Cameron, Professor Denise Meredyth, Dr Terry Bowditch, Professor Marian Simms, Professor Brian Yates.

13

Part 2: Dr Michele Spadari is examining the macro structure of a clay sample from the National Soft Soil Test Site in Ballina NSW that has been developed by the ARC Centre of Excellence for Geotechnical Science and Engineering. This site will be used to improve design and production procedures for transport infrastructure on soft problematic soils, both in Australia and internationally.

16

Chapter 3: Professor Sharynne McLeod, a Future Fellow from Charles Sturt University, has talked with many children around the world during her project titled ‘Speaking my languages: International speech acquisition in Australia’. The aim of the project was to develop innovative strategies to celebrate, understand and support the speech and language development of multilingual Indigenous and non-Indigenous children.

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Professor Rob Brooks. 20

Professor Frank Caruso (R) with Dr Yan Yan (C) and Dr Markus Muellner (L), examining the internalisation of particles in cancer cells.

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Dr Melanie Zeppel examining drought-induced mortality in Pinon-Juniper woodland. 22

The project team based at Monash Institute of Pharmaceutical Sciences: (L to R) Professor Ben Boyd, Ms Stephanie Phan (PhD student), Dr Stefan Salentinig (senior postdoctoral researcher), Mr Jamal Khan (PhD student).

23

Dr Georgios Tsiminis with one of the fibres used for explosives detection. 24

Dr Dayong Jin, Future Fellow and designer of the nanocrystals. 25

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CAPTION PAGE

Simon Williams (L) and Professor Bostjan Kobe (R) analysing the crystal structure of the complex of plant immune receptors RPS4 and RRS1.

26

Chiew Larn Reservoir. 27

Participants in the 2013 Workshop of the Electoral Integrity Project, Harvard University. 28

Associate Professor Andrea Morello and his team at the University of New South Wales: (L to R) Rachpon Kalra, Dr Juha Muhonen, Fahd Mohiyaddin, Associate Professor Morello, Jarryd Pla, Juan Pablo Dehollain, Solomon Freer, Dr Arne Laucht.

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Launch of the Science of Learning Research Centre: (L to R) Professor Perry Bartlett (Director, Queensland Brain Institute), Professor Peter Høj (Vice Chancellor, The University of Queensland), Professor Aidan Byrne (Chief Executive Officer, Australian Research Council), The Hon Ian Walker (Queensland Minister for Science, Information Technology, Innovation and the Arts), Mr John Story (Chancellor, The University of Queensland), Professor Ottmar Lipp (former Director SLRC).

31

Launch of the National Indigenous Research and Knowledges Network. 31

Curtin University undergraduate astronomy students building the Murchison Widefield Array antennas.

32

Dr Waymamba Gaykama u reads her father’s story from the 1970s for the Living Archive of Aboriginal Languages (book illustrated by Yambal).

33

Taryn Guinan with a new drug testing device, also called ‘lab-on-a-chip’. 34

Professor Terry Spithill. 35

Kate Hughes and Daryl Howard with an image analysis of an early scientific painting produced using the Australian Synchrotron.

36

Acropora formosa, a staghorn coral under investigation by the ARC Centre of Excellence of Coral Reef Studies.

37

Dr Monika Murcha examining Arabidopsis thaliana (Thale cress) plants for mutants affecting protein assembly and breakdown in plants.

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Chapter 4: Dr Sandra Tanz, a Discovery Early Career Researcher Award recipient from The University of Western Australia, analysing plant samples for her project ‘Determining organellar gene expression in distinct cell types: a missing puzzle for the transfer of C4 photosynthesis into C3 plants’. The aim of the project is to investigate the organellar structure in C4 plants and how this can be utilised to boost yields in essential food crops.

46

Field work crew heading into Hinchinbrook Island to perform carbon flux measurements in mangroves.

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Dr Clare Wright. 59

Dr Joanne Whittaker with the RV Southern Surveyor. 60

Associate Professor Jason Sharples. 61

Chapter 5: Dr Kerry Wilkinson is a Senior Lecturer of Oenology at the University of Adelaide and a Chief Investigator within the Industrial Transformations Training Centre for Innovative Wine Production. Her research aims to assist the Australian wine industry to overcome challenges associated with global warming.

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Professor Aidan Byrne, ARC CEO, and The Hon Christopher Pyne MP, Minister for Education, with the Juvenile Diabetes Research Foundation youth advocates at the funding outcomes announcement for the Special Research Initiative for Type 1 Juvenile Diabetes.

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CAPTION PAGE

Professor Kevin Galvin, Director of the Hub for Advanced Technologies for Australian Iron Ore, with a Reflux Gravitron for beneficiating fine particles.

82

Executive members of the ARC Centre of Excellence for Children and Families over the Life Course, July 2014: (L to R) Professor Janeen Baxter, Professor Mark Western, Professor Deborah Cobb-Clark and Professor Stephen Zubrick.

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Chapter 6: Stephanie Villeneuve, Research Associate at the National Centre for Groundwater Research and Training, measuring water quality parameters as part of the Centre’s research to better understand groundwater and surface water connectivity.

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Part 3: Australian Laureate Fellows, Professor Peter Taylor (L) and Professor Lloyd Hollenberg (R), from The University of Melbourne. Professor Taylor is a mathematician whose project is entitled ‘New stochastic models for science, economics, social science and engineering’. Professor Hollenberg is a physicist whose project is entitled `New views of life: quantum imaging in biology’.

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Chapter 7: Professor Vaughan Macefield (L) and Professor Kenny Kwok (R) from the University of Western Sydney conducted a site visit to Sydney CBD to appreciate the complexity of wind-structure interactions and the potentials of strong winds to excite tall buildings in an urban environment for their Discovery Projects grant ‘Occupant comfort, cognitive performance and task performance in wind-excited tall buildings’.

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ARC Advisory Council: (Back L to R) Professor Peter Buckskin, Professor Aidan Byrne, Professor Suzanne Miller, Professor Attila Brungs, Professor Stephen Garton. (Front L to R) Dr Leigh Farrell, Professor Sandra Harding, Professor Sue Thomas, Professor Paul Johnson.

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Chapter 8: Dr Ross Smith, a Discovery Projects grant recipient from the University of South Australia, demonstrating his invention the US Patented Digital Foam Sensor. The technology enables capturing the shape, size and precise touch-based gestures of a deformable substrate. These capabilities have led to the creation of a number of prototype devices, including a virtual-modelling system for digital sculpturing.

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Chapter 9: Dr Tariq Ezaz, a Future Fellowship recipient from the University of Canberra, holding one of the model species, central bearded dragon of his project. The aim of the project is to identify and characterise candidate sex determining genes in a model reptile, to understand how genes control sexual differentiation and how they interact with temperature.

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Chapter 10: Vadim Kamenetsky is a Professor in Earth Science at the University of Tasmania working on a Linkage Projects grant ‘The supergiant Olympic Dam U-Cu-Au-REE ore deposit: towards a new genetic model’. The aim is to understand temporal and spatial relationships between crustal and mantle rocks, melts and fluids, associated with development of this largest deposit on the planet.

125

Part 4: Associate Professor Michael J. Biercuk, a Chief Investigator in the ARC Centre of Excellence for Engineered Quantum Systems. Professor Biercuk leads a project entitled ‘Quantum Control and Quantum Simulation with Trapped Ions’, in which he is developing novel engineering techniques applicable to the quantum domain. The aim of this research is to lay the foundations for a new generation of quantum-enabled technologies.

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Chapter 11: Professor Kamal Alameh from Edith Cowan University in Western Australia examining an advanced clear glass capable of collecting electricity from ultraviolet and infrared radiation whilst allowing natural light to pass through. The glass is being developed as part of a Linkage Projects grant ‘Advanced glazing systems for solar energy harvesting and radiation control’.

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Chapter 12: Dr Julia Bryant at the Anglo-Australian Telescope in central NSW, alongside a new instrument called the Sydney-Australian-Astronomical-Observatory Multi-object Integral-field Spectrograph (SAMI). SAMI uses a revolutionary new technology of imaging optical fibre bundles developed at The University of Sydney, to understand the physics behind the evolution of galaxies in the local universe. Dr Bryant is a member of the ARC Centre of Excellence for

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CAPTION PAGE

All-sky Astrophysics (CAASTRO).

Part 5: Associate Professor Damien Keating, a Future Fellowships recipient from The Flinders University of South Australia, analysing protein samples collected from neurons. This was undertaken as part of his project ‘Identifying novel roles of disease-related proteins in the regulation of exocytosis and nervous communication’. The aim of the project is to understand the molecular mechanisms controlling the signalling that occurs between mammalian cells.

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Part 6: Professor Laurie Brown from the National Centre for Social and Economic Modelling (NATSEM), at the Institute of Governance and Policy Analysis, University of Canberra, who is the lead Chief Investigator on a Discovery Projects grant examining the health, socio-economic and cultural transformation of, and diversity in, Australia’s oldest old population. The project aims to increase our understanding of what the ‘Fourth Age’ really means and the implications for policy in Australia.

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Professor Reg Watson, University of Tasmania, received a Discovery Projects grant to examine the future of Australia’s fishing industry. Photo courtesy of Peter Mathew.

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ARC Annual Report 2013-14

PART 1 OVERVIEWCHAPTER 1: REVIEW BY THE CHIEF EXECUTIVE OFFICER 2

A review of significant issues and developments during the year and the outlook for the following year

CHAPTER 2: THE AUSTRALIAN RESEARCH COUNCIL 10A description of the ARC (its role and functions, structure, and outcome and program structure)

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CHAPTER 1 REVIEW BY THE CHIEF EXECUTIVE OFFICER

Associate Professor Victoria Haskins, The University of Newcastle, is undertaking archival research for her project on Indigenous domestic service. Photo courtesy of Murray McKean.

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PROFESSOR AIDAN BYRNE

I am pleased to present the Australian Research Council (ARC) Annual Report for 2013–14. The ARC is in a unique position in the Australian research sector. The diversity of our schemes reflect the diversity of the sector which they are designed to stimulate and support, and it is essential to have a well-defined purpose to our grants, and to target them accurately.

National Competitive Grants ProgramThe ARC administers a range of schemes through the National Competitive Grants Program (NCGP) that support both basic and applied research across all disciplines, encompassing programs of research both small and large. Whether it is a three-year Discovery Projects or Linkage Projects grant, or seven years of cross-disciplinary research in an ARC Centre of Excellence, the benefits of research funded by the ARC are demonstrated regularly.

In December 2013 the Minister approved $285 million over seven years for 12 new ARC Centres of Excellence. These Centres will collaborate with 106 partner organisations from 44 different countries and will also receive more than $392.2 million in cash and in-kind support from participating organisations. Several researchers from these Centres are featured throughout this report. Their work is at the cutting edge of research activity in Australia and we are pleased to give our them our support.

ARC Centres of Excellence have been very effective in moulding the research landscape for Australia. All of our Centres are provided with substantial funding over seven years, which allows for serious and complex challenges to be addressed. They house our most excellent research leaders, and are the proving grounds for the next generation of research talent, as well as training those who are just beginning a research career. A single Centre’s influence can transcend its own discipline, and even beyond the research sector, to become creators and custodians of knowledge from which the entire community will benefit. They have the capacity to develop multidisciplinary research teams which may not otherwise develop.

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Centres of Excellence span the spectrum from very basic to applied research. They are excellent at enabling productivity gains by tackling critical industry challenges, they also embed research and innovative talent within industry. This will help secure the future of our economy and build sustainable partnerships within the research sector.

The importance of linking industry and research has long been recognised by the ARC—the Linkage Projects scheme is 12 years old this year. Its predecessor, the Collaborative Research Grants scheme, was first established in 1991. We are seeking to more clearly demonstrate the connections between industry and universities which this scheme creates.

The Industrial Transformation Research Program (ITRP) is also building research capacity and forging strong industry partnerships. The latest rounds of this scheme have focused on priority areas including manufacturing; food and agriculture; oil and gas; and mining and mining services. I look forward to seeing our new hubs and centres make their presence felt within the research landscape and deliver an invigorating boost to Australian industry.

The 2014–15 Federal Budget delivered a milestone moment for the ARC with an ongoing commitment from the Australian Government to our Future Fellowships scheme. This scheme was originally funded for a period of five years, with a one-year extension in the 2013–14 Federal Budget. The Australian Government has now made provision for the scheme to be ongoing, funding 100 four-year fellowships per year from 2015–16 onward.

The Federal Budget also highlighted a number of significant new measures that the ARC will administer, including $35 million for a Special Research Initiative for Type 1 Juvenile Diabetes, $42 million for a Special Research Initiative for Tropical Health and Medicine, $26 million for targeted research in the field of dementia and $24 million for a Special Research Initiative for an Antarctic Gateway. The ARC will be working closely with organisations such as the Juvenile Diabetes Research Foundation, James Cook University, the National Health and Medical Research Council (NHMRC), and the University of Tasmania, to deliver these new programs.

Research ExcellenceWhile it has been a busy year on the competitive grants side, it has also been busy in terms of research excellence, with work well advanced on Excellence in Research for Australia (ERA) 2015. Sector feedback was sought on the submission documentation in early 2014, and there has been a great deal of activity reviewing close to 12 000 pieces of input on Field of Research (FoR) allocations and requests for new journals and conferences to be included in ERA 2015.

With the completion of two rounds of ERA evaluations, the ARC is able to track the achievements of the sector—both over time and relative to world standards. ERA provides a rich vein of data that will continue to yield valuable insights and future iterations of ERA will provide additional opportunities to extend ERA’s reach, particularly in relation to indicators of research application, knowledge transfer and collaboration. The ARC will continue to work with universities to ensure that ERA remains a dynamic and flexible system of research evaluation—one that can fully capture the critical contribution university research makes to the Australian innovation system.

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Research is an international pursuit and it is very important to be able to assess where our research and research investment sits in relation to other activities elsewhere in the world. This is why ERA is so important.

The benefits of ERA were clearly demonstrated in the last 12 months in an independent Benefits Realisation Review conducted by ACIL Allen Consulting (September 2013). The Review recognised benefits in improved research performance, enhanced university planning, strategy and operation, and better accountability, transparency and policy making.

Core businessA focal point for the ARC this period has been the simplification of our processes. An applicant’s time is very highly valued by the ARC—when we consider changes to our peer review processes, which are underpinned by our custom information technology systems, we do not make them lightly. The ARC is continually seeking efficiencies and this year we have streamlined and simplified our funding rules to reduce the unnecessary duplication of paperwork and complexity.

We are working more closely with the NHMRC, where possible, to improve the coordination of our funding processes and timelines. The ARC and NHMRC meet regularly to explore ways to improve the consistency of policies and processes. This includes aiming to reduce the duplication of effort for researchers who may apply to both the ARC and NHMRC for funding, and improving the exchange of information between our agencies for audit and other purposes. This strong partnership will continue in 2014–15 with the implementation of the Australian Government’s dementia research initiative (jointly funded by the ARC and the NHRMC).

This year has also seen continuing developments in the ARC’s Open Access policy which we promote through our funding rules. Open Access was a primary topic of discussion at the third annual meeting of the Global Research Council in Beijing which I attended, along with the heads of research funding councils from about 60 countries. It was very interesting to hear how far the discussion about Open Access has advanced in one year. The need for a consensus position among funding bodies is becoming ever more important, as is a continuation of the discussion of priorities with research publishers.

Always an important consideration for the ARC is Research Opportunity and Performance Evidence (ROPE) for which a supporting statement was released in February 2014. ROPE considers working arrangements, career histories and personal circumstances and provides an acknowledgement of research performance given the opportunities available. The effective integration of ROPE into the way we identify and fund research excellence is essential to sustaining a diverse research workforce.

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The year aheadLooking to 2014–15, the ARC has identified a number of key priorities.

We will continue to fund excellent research and research training through the NCGP, deliver a number of new initiatives in areas of priority and re-launch the Future Fellowships scheme in its new ongoing capacity.

Building on the work we began last year, we will continue to look for ways to reduce ‘red tape’ for all those involved in our granting processes—upgrading and enhancing our information and communications technology systems and closely monitoring the requirements we place on researchers and administering organisations applying under the ARC’s funding schemes. In this context, we will also review our approach to identifying and reporting the benefits of ARC-funded research.

And not least, we will carry on in our work towards delivering a third ERA evaluation in 2015. ERA’s contribution to the Australian higher education research landscape is well established and we are looking forward to adding to the picture developed so far.

ConclusionIn conclusion I would like to thank all those in the sector who have worked with the ARC over the past 12 months including administering organisations, researchers themselves and our sector partners. In particular, I would like to thank the members of the ARC Advisory Council, ARC College of Experts, Selection Advisory Committees and external assessors. Without their support the ARC would not be able to undertake its role as effectively as it does.

A final thanks to the dedicated and committed staff of the ARC. We are a small agency with a large workload and the professionalism of the staff I work with on a daily basis never ceases to amaze me and this deserves public acknowledgement.

Professor Aidan Byrne

Chief Executive Officer

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KEY PRIORITIES FOR 2014–15NUMBER PRIORITY

1 FUND EXCELLENT RESEARCH AND RESEARCH TRAINING THROUGH THE NATIONAL COMPETITIVE GRANTS PROGRAM

The ARC will fund excellent research and research training across all disciplines through delivery of the NCGP’s Discovery and Linkage programs. These programs comprise a number of targeted schemes, with funding being awarded through a competitive peer review process.

2 DELIVER NEW FUNDING INITIATIVES AIMED AT BOOSTING RESEARCH INTO TROPICAL HEALTH AND MEDICINE, DEMENTIA, DIABETES AND THE ANTARCTIC AND SOUTHERN OCEAN

Through the Special Research Initiatives scheme the ARC will deliver the Australian Government’s commitment to support the above areas of priority.

3 REVIEW THE ARC’S APPROACH TO IDENTIFYING AND REPORTING THE BENEFITS OF ARC-FUNDED RESEARCH

Working with partners, including industry, the ARC will improve the identification of research benefits to enhance the nation’s competitiveness. The ARC will also review schemes to enhance links to industry and provide clearer information on grant success, research quality and public benefit across the breadth of research supported by the ARC.

4 IMPLEMENT THE GOVERNMENT’S COMMITMENT TO THE REDUCTION OF RED TAPE

Building on progress made in 2013–14 the ARC will:

– continue to upgrade and enhance the ICT systems it has in place to support all phases of the granting process, including application, assessment, award and post-award reporting

– in consultation with the Department of Education, investigate options for the development of a single higher education research data collection.

5 DELIVER ERA 2015

A third ERA evaluation will be undertaken in 2015. The evaluation will be informed by feedback received from stakeholders in response to a series of consultations.

6 BUILD A POSITIVE, FORWARD THINKING AND SUSTAINABLE AGENCY

The ARC will continue to look for ways to ensure that: staff know what is expected of them, the workplace is safe, staff skills and contributions are recognised and valued, and training and development is provided to support career progression.

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Photo: 2014 ARC staff photo.

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Photo: 2014 ARC staff photo.

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CHAPTER 2 THE AUSTRALIAN RESEARCH COUNCIL

Professor Jörg Imberger, The University of Western Australia, is deploying a temperature microstructure probe.

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ROLE AND FUNCTIONS– The ARC is a statutory agency responsible for: – funding excellent research and research training– evaluating the quality of research in universities– providing policy advice on research matters to the Australian Government.

National Competitive Grants ProgramThe ARC manages the National Competitive Grants Program (NCGP) which comprises two programs—Discovery and Linkage—under which the ARC funds a range of complementary funding schemes. The NCGP funds basic and applied research across all disciplines.

The Discovery Program supports the growth of Australia’s research and innovation capacity, which generates new knowledge resulting in the development of new technologies, products and ideas, the creation of jobs, economic growth and an enhanced quality of life in Australia. The Linkage Program supports research partnerships within Australia and internationally to encourage the exchange and transfer of knowledge, ideas and skills as a basis for building capacity to deliver high quality research outcomes and secure commercial and other benefits of research. Further information about the funding schemes of the Discovery and Linkage programs is provided in Part 5, Appendices 1 and 2 respectively.

Excellence in Research for AustraliaThe ARC manages Excellence in Research for Australia (ERA), which assesses research quality by research discipline at Australian universities. ERA is an established comprehensive evaluation framework that provides assurance of the excellence of research conducted in Australian higher education institutions in a way that allows comparisons nationally and internationally, for all discipline areas. ERA also provides a national stocktake of discipline-level areas of research strength and areas where there is opportunity for development in Australian higher education institutions.

Advice on research policy mattersThe ARC provides strategic informed advice to the Australian Government and contributes to the development of national research policy. The ARC provides advice on competitive funding schemes as well as broader matters related to the conduct and dissemination of research and the measurement of research quality and impact. The ARC is committed to providing high quality advice that is evidence-based, considers national and international developments and, where appropriate, is informed by consultation and evaluation.

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ORGANISATIONAL STRUCTUREThe structure of the ARC at 30 June 2014 is illustrated in Figure 2.1.

Figure 2.1: Structure of the Australian Research Council (at 30 June 2014)

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EXECUTIVE STAFFThe ARC’s executive staff, at 30 June 2014, are pictured below. Further information on their responsibilities is provided in Part 3, Chapter 7.

Professor Aidan Byrne Chief Executive Officer

Ms Leanne Harvey Executive General

Manager

Dr Fiona Cameron Executive Director,

Biological Sciences and Biotechnology

Professor Denise Meredyth

Executive Director, Humanities and

Creative Arts

Dr Terry Bowditch Branch Manager, Strategy Branch

Professor Marian Simms

Executive Director,

Social, Behavioural and Economic Sciences

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Professor Brian Yates Executive Director,

Engineering, Mathematics and Information Sciences

ARC PERFORMANCE REPORTING FRAMEWORK Outcome and program structureThe ARC’s 2013–14 outcome and programs structure comprised one Outcome and three Programs (Figure 2.2).

Figure 2.2: ARC Outcome and Programs, 2013–14

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Legislative requirements– Under the Australian Research Council Act 2001 the ARC must: – prepare an annual report in accordance with the guidelines referred to in subsection 63(2) of

the Public Service Act 1999 (that is, the Requirements for Annual Reports for departments, executive agencies and FMA Act bodies, prepared by the Department of the Prime Minister and Cabinet and approved by the Joint Committee of Public Accounts and Audit)

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

In accordance with the requirements above, the ARC reports in its annual report against the performance indicators set out in the agency Portfolio Budget Statements (PBS) and the ARC strategic plan.

– This annual report includes progress toward achieving:– the ARC Outcome (Part 2, Chapter 3)– the deliverables, objectives and key performance indicators (KPIs) of Program 1.1 Discovery

(Part 2, Chapter 4)– the deliverables, objectives and KPIs of Program 1.2 Linkage (Part 2, Chapter 5) – the deliverables, objectives and KPIs of Program 1.3 Excellence in Research for Australia

(Part 2, Chapter 6).

Changes in framework in 2013–14 To facilitate performance reporting the performance indicators in the ARC Strategic Plan for 2013–14 to 2015–16 were aligned with the performance framework outlined in the Portfolio Budget Statements 2013–14, Budget Related Paper No. 1.12, Industry, Innovation, Climate Change, Science, Research and Tertiary Education Portfolio (2013–14 PBS).

– In the 2013–14 PBS: – a KPI was removed for Program 1.1 Discovery—Policy advice enhances Australia’s capacity

and excellence in research– an additional measure was added for Program 1.1 Discovery—Number of research students

supported through ARC funding– a KPI was removed for Program 1.2 Linkage—Policy advice enhances Australia’s capacity

and excellence in research– the deliverables and KPIs for Program 1.3 ERA were revised to reflect current activities.

The KPIs relating to policy advice were removed because the ARC’s policy contributions were thought best to be reported as deliverables.

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Dr Michele Spadari, ARC Centre of Excellence for Geotechnical Science and Engineering, is examining the macro structure of a clay sample. Photo courtesy of Murray McKean.

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PART 2 PERFORMANCECHAPTER 3: OUTCOME 18

A report on the ARC’s effectiveness in achieving its outcome

CHAPTER 4: PROGRAM 1.1 DISCOVERY 46A report on achievements during the year in relation to Discovery deliverables and key performance indicators

CHAPTER 5: PROGRAM 1.2 LINKAGE 62A report on achievements during the year in relation to Linkage deliverables and key performance indicators

CHAPTER 6: PROGRAM 1.3 EXCELLENCE IN RESEARCH FOR AUSTRALIA 84A report on achievements during the year in relation to ERA deliverables and key performance indicators

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CHAPTER 3 OUTCOME

Future Fellow, Professor Sharynne McLeod, Charles Sturt University, is looking at international speech acquisition by Australian children. Photo courtesy of Charles Sturt University.

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DESCRIPTIONUnder the Australian Government’s Portfolio Budget Statements 2013–14, Budget Related Paper No. 1.12, Industry, Innovation, Climate Change, Science, Research and Tertiary Education Portfolio, the Outcome statement for the ARC is:

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

The case studies in this chapter are examples of new knowledge and innovation arising during 2013–14 from the three activities identified in the Outcome.

‘ Growth of knowledge and innovation through managing research funding schemes...’

The National Competitive Grants Program (NCGP) case studies provide evidence demonstrating the economic, environmental, social, health and cultural benefits to Australia arising from ARC-funded research. The range of case studies demonstrates the diversity of ARC-supported research conducted by individual and teams around Australia.

Unless otherwise indicated, the case studies relate to research projects awarded funding under the NCGP in previous years that have achieved outcomes in 2013–14. The case studies provide examples of the benefits of research generated in the short term (that is, during the course of the research project). The full impact of the ARC’s investment in research and training can be assessed comprehensively only over the longer term.

‘ Growth of knowledge and innovation through...measuring research excellence...’

The Excellence in Research for Australia (ERA) case studies provide evidence of the benefits to Australia arising from the ARC’s evaluation of research quality in Australian universities.

‘ Growth of knowledge and innovation...by providing advice’

The policy case studies describe areas of ARC policy analysis during 2013–14 aimed at ensuring the NCGP continues to contribute to building research capacity in Australia.

DISCOVERY LINKAGE ERA POLICY

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ARC FELLOWS RECOGNISED AS AUSTRALIA’S RESEARCH LEADERSIn 2013–14 ARC-funded researchers continued to be recognised for their research achievements and contributions to increasing Australia’s research capacity.

Professor Rob Brooks, The University of New South Wales

Professor Rob Brooks is an evolutionary biologist who, in his own words, ‘thinks about sex for a living’. An ARC Professorial Fellow, Professor Brooks is Director of the Evolution and Ecology Research Centre at UNSW Australia (The University of New South Wales).

Professor Brooks’ ability for engaging the public in the science of evolutionary biology was recognised through the awarding of the 2013 Australian Government Eureka Prize for Promoting Understanding of Australian Science Research. This was following a prolific publication output which includes an award-winning book Sex, Genes & Rock ‘n’ Roll: How Evolution has Shaped the Modern World (2011), and dozens of articles for The Conversation, as well as regularly appearing on national television and radio.

Through his writing and community engagement, Professor Brooks sets the challenge to rethink how our society works by looking at it through an evolutionary prism. He asks people to consider how the consequences of sexual reproduction could relate to the role of religion, to attitudes about gender equality, and questions of morality. By initiating discussion and reflection on these topics, Professor Brooks encourages individuals to undertake their own curiosity-driven research. Professor Brooks’ research group also conducts ARC-funded evolutionary research on guppies, field crickets and mice.

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Professor Frank Caruso, The University of Melbourne

Professor Frank Caruso is an ARC Australian Laureate Fellow who specialises in developing advanced materials for biotechnology and medicine. His talents are in bringing together diverse teams of researchers to combine expertise in chemistry, biology, medicine and engineering.

Professor Caruso’s work has recently been recognised by the award of the prestigious 2013 Commonwealth Scientific and Industrial Research Organisation (CSIRO) Eureka Prize for Leadership in Science. At the award event, Frank Howarth, Director of the Australian Museum, praised his work, noting that ‘Frank Caruso has succeeded in creating a new field of science creating interdisciplinary approaches to push forward the boundaries of nano-medicine, nano-biotechnology and drug delivery’.

During his tenure at The University of Melbourne’s Department of Chemical and Biomolecular Engineering, Professor Caruso has gained a global reputation as a researcher and author of over 340 peer-reviewed papers. In 2011 he was ranked at number 17 on a list of the world’s top material scientists, based on a citation impact analysis conducted by Thomson Reuters, and was named a Highly Cited Researcher in 2014 by Thomson Reuters.

Professor Caruso’s work in engineering nanoparticles for drug delivery has achieved international media attention. Using advanced techniques to engineer microscopic capsules made out of natural ingredients, drugs can be precisely delivered where they are needed, and can be programmed to release their contents at a given time, all of which promises to reduce the size of the dosage required.

‘These nano-engineered capsules are attracting much attention as drug carriers, as they have the potential to improve the delivery and effectiveness of drugs while reducing their side effects,’ Professor Caruso said.

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EUCALYPTUS FOREST WATER MANAGEMENT

Dr Melanie Zeppel, Macquarie University Schemes: Discovery Early Career Researcher Award, Discovery Projects

A Macquarie University researcher has made some remarkable findings about the way Eucalypts use water and the impact of extreme rainfall on plant growth. Dr Melanie Zeppel’s analysis of 21 Eucalypt species found that all Eucalypts measured across Australia use the same amount of water for a certain quantity of leaf material regardless of tree size. Combining this result with satellite imaging to gauge plant cover, she has been able to calculate the amount of water used by Australian Eucalyptus forests on a large scale. This result provides important data to balance forest water needs with other critical requirements.

Dr Zeppel has also been investigating how plants will respond to seasonal changes to precipitation, including more extreme rainfall. Fewer but more intense heavy rain events and changes in the timing of seasonal rain will change the soil water content. The study found this has consequences including delayed flowering, considerably reduced fruit production and smaller plant size depending on the current conditions in the region and the timing of rainfall shifts.

The results of Dr Zeppel’s research significantly improve both our understanding of the amount of water eucalyptus forests use—from single forest up to the continental scale—as well as the responses of plant and ecosystems to extreme rainfall and seasonal rainfall variations. These findings will provide invaluable assistance to a range of stakeholders engaged in the management of Australia’s water and vegetation resources in future changing climatic conditions.

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NANOSTRUCTURE OF MILKProfessor Benjamin Boyd, Monash University Scheme: Discovery Projects

Although there is considerable research into the nutritional value and composition of milk, little is known about the way in which milk—and specifically milk fats—are digested by the body. This includes understanding how babies digest breast milk, through to how adults process cow, goat and other milk products.

In 2013–14 researchers from Monash University made new discoveries that have furthered our knowledge of milk digestion and may lead to a range of novel applications. With funding from the Discovery Projects scheme and utilising specialist instruments at the Australian Synchrotron, Professor Benjamin Boyd and his team have documented the nanostructure of milk, and how its fats interact with the human digestive system.

By chemically recreating the human digestion of cow’s milk in laboratory conditions and using this material in the beamline at the Australian Synchrotron, the researchers were able to examine the simulated digestion in minute detail and accelerate their research. The team discovered that, at the nanoscale, milk has a highly geometrically ordered structure when being digested. This organised structure assists the delivery of milk components to a cell through the cell membrane.

By unlocking the detailed structure of milk, the research provides a framework for the development of new milk products, including: milks for premature babies and dairy products for people with intolerances; as well as milks with an increased nutritional value. It could even harness milk’s ability to act as a ‘carrier’ to develop new forms of drug delivery.

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IMPROVED DETECTION OF EXPLOSIVES Dr Georgios Tsiminis, The University of Adelaide Scheme: Super Science Fellowships

In the past, explosives identification has focused on detecting the metals encasing the explosive substances. However, improvised explosive devices are now more common and often contain no metal. There is, therefore, an urgent need to be able to detect the explosive material itself.

In 2013–14 a team of researchers from The University of Adelaide created a sensor that can detect tiny quantities of explosives with the use of light and special glass fibres. The technique uses a plastic material which emits red light when illuminated with green laser light. The amount of red light emitted is reduced by the presence of explosives providing an accurate indicator.

The project leader, Dr Georgios Tsiminis, was attracted to Australia to undertake this research and is funded through the Super Science Fellowships scheme. He has discovered that this technique is highly sensitive, is able to detect trace quantities of explosive and only takes a few minutes. Swabs can be taken from a variety of surfaces and produce a result that confirms the presence of explosives, in concentrations as low as 6.3 parts per million, in real time. These attributes—combined with the fact that it is inexpensive, quick and easy to use—could make it of significant benefit to forensics investigators worldwide.

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REVOLUTIONISING HEALTH CARE DIAGNOSTICSAssociate Professor Dayong Jin, Macquarie University Schemes: Discovery Projects, Future Fellowships

Researchers from Macquarie University have invented a new generation of nanocrystals called T-dots which have the potential to revolutionise health care diagnostics. The researchers have discovered a technique to control the length of time that light is emitted from florescent nanocrystals, which can be used to track pathogens or drugs in the body.

The addition of a time dimension in measuring nanocrystals significantly increases the number of combinations of T-dot codes that could be used as unique signatures for biomedical screening and diagnostics, creating vast libraries of nanotags. Tests using T-Dots would be able to quickly and precisely identify disease agents or detect cancers. T-Dots could also be used to manufacture unforgeable invisible marks on currency or pharmaceuticals as anti-counterfeit measures, and by layering T-Dots, improve data storage capacity.

This breakthrough received Discovery Projects scheme funding and was co-led by Associate Professor Dayong Jin, an ARC Future Fellowship recipient and a chief investigator of the recently funded ARC Centre of Excellence for Nanoscale BioPhotonics, who designed and manufactured the nanoparticles. Continuing their international partnership with colleagues from the United States and China, the research team have recently successfully detected trace amounts of multiple viruses’ DNAs within minutes using a single test. They were able to correctly read and recognise nanotags attached to DNA strands of HIV, Ebola and other viruses at high

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speeds. This technique is one of many applications that could save vital time in identifying diseases, enabling earlier and more cost effective medical interventions.

UNDERSTANDING PLANT RESISTANCEProfessor Bostjan Kobe, The University of Queensland Scheme: Discovery Projects

Agricultural biosecurity is a significant global issue with pre-harvest crop losses of up to 15 per cent due to plant disease. A research team led by Professor Bostjan Kobe from The University of Queensland has provided new insights into the immune system of plants and advanced our understanding of the plant resistance genes that help fight against common plant diseases.

This study investigated plant responses to two significant pathogens that cause diseases in kiwifruit, potato and tomato crops. They were able to identify the interaction of two proteins which are integral to the plant’s immune response. These two receptor molecules recognise the pathogenic bacteria attacking the plant, and this recognition and interaction activated an immune response. The researchers found when pathogen disease-causing molecules are recognised by these two receptor proteins, the immune system signal to the individual infected cell to die, stopping the spread of infection and providing immunity for the entire plant.

The internationally collaborative study included investigators from the United Kingdom, New Zealand as well as the CSIRO and utilised the beamlines at the Australian Synchrotron to examine the proteins in minute detail.

This discovery will assist researchers to develop resistant crop plants and will contribute positively to the global economic and environmental challenges of food security and sustainable fibre and

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biofuel production. With the similarities in the way humans and plants detect and respond to disease, there could also be implications from this research for understanding human health.

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IMPACT OF DEFORESTATION ON GLOBAL DIVERSITYProfessor William Laurance, James Cook University and Professor Corey Bradshaw, The University of Adelaide Schemes: Australian Laureate Fellowships, Future Fellowships

The findings of a long-term study of biodiversity in Thailand confirm that fragmentation of forests can have rapid and devastating effects on the animals living in the region. Professor William Laurance, a recipient of an Australian Laureate Fellowship from James Cook University and Professor Corey Bradshaw, a Future Fellowship recipient from The University of Adelaide, alongside an international research team from Thailand, Singapore, China, the United States and Canada, examined forest islands created by a large hydro-electric reservoir and the impact on native small mammals.

The researchers were seeking to understand what happened to creatures in forest separated into small patches and see if there was time for conservation mechanisms, such as wildlife corridors, to reduce the detrimental effects of forest isolation. What they discovered was almost complete extinction of native species within two decades in these forest fragments. When the forest was broken up, the native mammals were extremely vulnerable the impacts of population isolation and invasive species. The Malaysian field rat, normally located in agricultural land rather than pristine forest, invaded with drastic effects when the forests were disturbed.

The speed with which animals were lost surprised researchers and ‘could have frightening implications for biodiversity’ said Professor Laurance. With tropical forests continuing to be felled and fragmented into small ‘islands’ around the world, these findings underscore the real need to conserve large intact forest areas to preserve endangered wildlife. This research will have far-reaching effects on our understanding of global biodiversity and the impact of deforestation worldwide.

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ELECTORAL INTEGRITYProfessor Pippa Norris, The University of Sydney Scheme: Australian Laureate Fellowships

The gradual diffusion of elections to almost every country around the world has generated growing concern about their integrity—elections are commonly marred by problems; the regulation of campaign finance, political broadcasting, and online voting has generated new challenges; and even minor electoral irregularities have sometimes triggered instability.

In response to this issue, Professor Pippa Norris is working to advance our understanding of the impact of democratic governance upon prosperity, welfare and peace in countries around the world. In 2013–2014, the Electoral Integrity Project, led by Professor Norris, released Why Electoral Integrity Matters (Cambridge University Press May 2014) and launched The Year in Elections 2013—an annual series covering evaluations of 73 presidential and parliamentary elections held worldwide in 66 countries. Professor Norris also co-edited Advancing Electoral Integrity (Oxford University Press, June 2014), Comparing Democracies 4 (Sage, April 2014) and edited a symposium on electoral integrity in Electoral Studies (Oct 2013).

Professor Norris is an ARC Kathleen Fitzpatrick Australian Laureate Fellow and Professor of Government and International Relations at The University of Sydney, McGuire Lecturer in Comparative Politics at the John F. Kennedy School of Government, Harvard University, and Director of the Electoral Integrity Project. The Electoral Integrity Project, based at The University of Sydney, is supported by the Australian Research Council and other foundations.

In 2014 Professor Norris was recognised by the International Political Science Association as a prominent scholar engaged in the cross-disciplinary research when awarded the Karl Deutsch prize. As a Kathleen Fitzpatrick Laureate Fellow, she is an ambassador for women in research and is engaged in encouraging early-career women researchers to stay in academia, and research on gender equality in elected office.

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CENTRE FOSTERING TALENTED RESEARCHERSAssociate Professor Andrea Morello, ARC Centre of Excellence for Quantum Computation and Communication Technology Schemes: ARC Centres of Excellence, Discovery Projects

The race is on for the development of a scalable quantum computer that will revolutionise traditional computing, vastly speeding up the analysis of large amounts of data, and dramatically improving future calculating. This work depends on quantum physics, the field of science working at the level of elementary particles, atoms and molecules.

Associate Professor Andrea Morello is at the forefront of this ambitious research goal at the ARC Centre of Excellence for Quantum Computation and Communication Technology at The University of New South Wales. His research team has made a major breakthrough towards the achievement of quantum computing, the first in the world to demonstrate the complete quantum control of a single atom in silicon, making a fully functional quantum bit.

Receiving the 2013 Malcolm McIntosh Prize for Physical Scientist of the Year, Associate Professor Morello has gained international recognition for his role in developing the silicon components that will make quantum computing possible.

Within a few years Associate Professor Morello and his colleagues expect to have a small working prototype of a quantum computer. ‘We have created the intellectual base for the future of this technology. So this is a fantastic opportunity for Australia to get the lead in the world on a radically new technology that can revolutionise the way computations are made’, Associate Professor Morello said.

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SPECIAL RESEARCH INITIATIVES SCHEME BUILDING CAPACITYThe Special Research Initiatives (SRI) scheme provides funding for new and emerging fields of research and builds capacity in strategically important areas. In 2013–14 two initiatives funded under the SRI scheme—the Science of Learning Research Centre and the National Indigenous Research and Knowledges Network—were officially opened.

Science of Learning Research Centre

On 15 July 2013, the ARC CEO opened the Science of Learning Research Centre. The centre, which is administered by The University of Queensland, was awarded $16 million over four years (2013–2017) under the SRI scheme.

The centre is using a multidisciplinary approach to understanding the learning process and identifying new teaching practices that are based on solid scientific evidence. It has brought together education professionals and high quality researchers in education, neuroscience and cognitive psychology.

With 25 chief investigators across eight research collaborating organisations and nine partner organisations (including state education departments) the centre is well underway to building capacity in this important area of research and has commenced publishing outcomes of the research it is undertaking.

National Indigenous Research and Knowledges Network

On 27 November 2013, the ARC CEO attended the opening of the National Indigenous Research and Knowledges Network (NIRAKN). The Network, funded for $3.2 million over four years (2012–2015), is led by Professor Aileen Moreton-Robinson from the Queensland University of Technology.

NIRAKN describes itself as a ‘national, inclusive, multidisciplinary hub and spokes model network of Indigenous researchers at various stages of their careers’. The network is committed to facilitating and establishing Indigenous-led research.

– NIRAKN has commenced building research capacity by bringing together over 40 network members, representing over 50 Aboriginal nations. The network includes 21 collaborating universities, the Australian Institute of Aboriginal and Torres Strait Islander Studies and five partner organisations. Since its commencement NIKRAN has:

– established a Research Capacity Building Program to mentor, train, support and engage new and emerging researchers

– provided a platform for cross-institutional and multidisciplinary research designed to build the capacity of qualified Indigenous researchers.

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Photo: Launch of the Science of Learning Research Centre: (L to R) Professor Perry Bartlett (Director, Queensland Brain Institute), Professor Peter Høj (Vice Chancellor, The University of Queensland), Professor Aidan Byrne (Chief Executive Officer, Australian Research Council), The Hon Ian Walker (Queensland Minister for Science, Information Technology, Innovation and the Arts), Mr John Story (Chancellor, The University of Queensland), Professor Ottmar Lipp (former Director SLRC). Photo courtesy of Dee McGrath.

Photo: Launch of the National Indigenous Research and Knowledges Network. Photo courtesy of Associate Professor Wayne Quilliam.

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USING TRIPLE J TO STOP COLLISIONS IN SPACEProfessor Steven Tingay, ARC Centre of Excellence for All-sky Astrophysics Scheme: ARC Centres of Excellence

A combination of pop songs, talkback radio and cutting-edge science has enabled Australian astronomers to identify a way to prevent catastrophic, multi-billion dollar space junk collisions.

Team leader, Professor Steven Tingay from Curtin University says they can detect space junk by listening to the radio signals generated by FM radio station Triple J and other radio stations. The newly operational Murchison Widefield Array (MWA) has already been used to track radio waves from FM transmitters located near Perth and Geraldton bouncing off the International Space station as it passed over Western Australia, approximately 500 kilometres above the Earth’s surface.

‘We have shown that we are able to detect approximately 10 pieces of space junk simultaneously. Over time this means we are in a position to monitor a significant fraction of the space junk that is in orbit around the Earth,’ explains Professor Tingay.

‘Space debris is unpredictable and poses a significant collision risk to expensive space infrastructure, such as communication satellites. An early warning system has the potential to protect billions of dollars’ worth of vital infrastructure orbiting the Earth, but also prevent collisions that will result in more space debris being generated.’

The research is supported by the ARC Centre of Excellence for All-sky Astrophysics, administered through The University of Sydney. The Murchison Widefield Array is one of three precursor telescopes for the Square Kilometre Array project, the only low frequency precursor, and the first of the three to be fully operational.

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PRESERVING AUSTRALIAN INDIGENOUS HERITAGEProfessor Michael Christie, Charles Darwin University Scheme: Linkage Infrastructure, Equipment and Facilities

For thousands of years, traditional stories have been vehicles through which Indigenous Australians have passed knowledge and language from one generation to the next. Now the internet is providing an interface not only to help Indigenous people preserve some of these stories, but also to provide an educational and research resource for academics and the broader community.

Awarded a grant under the Linkage Infrastructure, Equipment and Facilities scheme, Professor Michael Christie and Associate Professor Brian Devlin from Charles Darwin University, along with Professor Jane Simpson of The Australian National University, and colleagues from the Northern Territory Department of Education, started setting up the web-based Living Archive of Aboriginal Languages in 2012. Launched in early 2014, the project involved collaborating with language-owning communities to digitise over 800 rare and vulnerable texts and recordings in over 20 Australian Indigenous languages.

‘As a living archive that will continue to grow, this resource will facilitate connections with knowledge and language owners, most often descendants or relatives of the original storytellers,’ says Professor Christie. ‘Australia’s languages have evolved over many thousands of years to enable and enact unique human relationships with the social, cultural, technical and natural worlds. This resource will make publically available a large archive of previously unavailable resources.’

The project was awarded another Linkage Infrastructure, Equipment and Facilities grant in 2013 (adding new partners Batchelor Institute of Indigenous Tertiary Education, Northern Territory (NT) Library and NT Catholic Education Office) to expand the archive to include previously unpublished materials, increasing the indigenous languages included in the archive to over 30, as well as engaging community members, academics and schools in using and enhancing the collection.

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MAKING OUR ROADS AND WORKPLACES SAFERProfessor Nico Voelcker, University of South Australia Scheme: Linkage Projects

Roadside drug testing is a fairly recent phenomenon in Australia; Victoria was the first state to introduce roadside drug testing in 2004. Now over 100 000 roadside drug tests are undertaken every year. Researchers from the University of South Australia have developed a quick and reliable tool for roadside and workplace testing for illicit drugs and explosives.

The test developed by Professor Nico Voelcker and his team from the University of South Australia uses non-invasive technology (such as saliva and fingerprint testing) and is faster and more reliable than current technologies.

‘The current drug test used by police on the roadside may detect something in the system, but the sample then has to go for further testing in a forensic lab,’ Professor Voelcker says. ‘Sending a sample away for analysis at a forensic lab can often mean long delays between a positive test and laying charges.’

‘The idea with our tool is that it is rapid, sensitive and provides on the spot confirmation of the presence of drugs,’ explains Professor Voelcker. ‘The technology could also be applied beyond roadside or workplace testing to areas such as testing of elite athletes, security screening, pharmacology, and the monitoring of compliance with methadone programs.’

PhD student Taryn Guinan is currently undertaking field testing of the technology. Industry partners on the project include the Australian Federal Police, South Australian Police, New South Wales Police Force and two forensic science organisations.

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LIVESTOCK VACCINE COULD SAVE BILLIONSProfessor Terry Spithill, La Trobe University Scheme: Linkage Projects

Liver fluke is an endemic flatworm parasite found mainly in sheep and cattle, but can affect pigs, goats, alpacas, deer and even humans. The problem is estimated to cost about $3 billion a year globally and $60-90 million a year in Australia in lost production, stock deaths and prevention costs.

Professor of Agricultural Science at La Trobe University Terry Spithill is leading a Linkage Projects grant to develop a new vaccine against liver fluke infection. ‘The problem with drugs is that it’s inevitable that parasites will develop resistance, so we think a more sustainable approach is to develop a vaccine,’ says Professor Spithill.

Previous research by the team with a breed of Indonesian sheep, which are highly resistant to liver fluke infection, helped identify an immune response which kills the fluke. ‘The sheep make antibodies which bind to the surface of the liver fluke parasites and also produce white blood cells which kill the parasite,’ explains Professor Spithill, ‘We’ve identified 229 potential protein molecules on the fluke’s surface and we’re now sifting through those molecules to find out which one or ones will induce the required immune response to kill the parasite when we vaccinate an animal.’

Virbac, a company focused on vaccine manufacture is collaborating on the project. ‘By working with a company like Virbac we can harness their experience with vaccine manufacturing and formulation. We’re providing the proteins that we think might be the best candidates; Virbac are providing the vaccine formulation experience and helping to fund the work.’

The work is being carried out at the new state-of-the-art AgriBio Centre at La Trobe University.

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SYNCHROTRON SOLVES CENTURIES-OLD MYSTERYAustralian Synchrotron Scheme: Special Research Initiatives

Australian Synchrotron scientists and conservators from the State Library of New South Wales are attempting to establish the origin and authorship of some of the earliest scientific drawings of Australian flora and fauna. The exquisitely-detailed drawings depicting Australian birds, plants and fish date from 1790 to 1792, the early days of European settlement in New South Wales and include intricate gold, silver and brass leaf work with water colours to create iridescent effects.

‘The use of intricate leaf work with watercolours raised doubts over where the drawings were produced,’ explains Kate Hughes, conservator at the State Library of New South Wales, where the drawings are held. ‘The lack of resources in the colony caused questions about the likelihood that gold would be available for the artists at the time. This led to the hypothesis that the works were produced as copies in India where the technique was common.’

The drawings themselves are very delicate and cannot be touched making analysis difficult. Using the x-ray fluorescence microscopy beamline at the Australian Synchrotron, Dr Daryl Howard was able to examine the very fine details of the drawings and map the metallic elements of the drawings to determine their chemical composition. Preliminary results reveal that the gold leaf used in the paintings is high quality with very few impurities. ‘This is a really strong indication that the gold was refined in the UK or Europe,’ says Ms Hughes.

The Australian Synchrotron is funded through the ARC SRI in Synchrotron Science in partnership with the Victorian State Government, the Science and Industry Endowment Fund, the New Zealand Synchrotron Group Limited and the Australian Nuclear Science and Technology Organisation.

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HUMAN RESISTANCE TO BACTERIAL DISEASES LINKED TO CORAL ANCESTRYProfessor David Miller, James Cook University Scheme: ARC Centres of Excellence

Researchers at the ARC Centre of Excellence for Coral Reef Studies have found three genes in staghorn corals which show a very fast, strong immune response to the presence of bacteria. The same genes also occur in mammals, including humans.

‘It is early days, but it certainly looks as if key aspects of our ability to resist bacteria are extremely ancient and may have been pioneered by the ancestor of corals,’ says team leader Professor David Miller. ‘We were quite surprised at how rapidly and strongly these three genes in particular reacted to the presence of bacterial proteins. It was spectacular.’

The main goal of the research is to better understand the mechanisms by which most corals resist attack by bacteria and viruses – an urgent task in view of the upsurge in coral diseases around the world, which researchers attribute to the impact of human activity on the oceans and coral reefs.

‘By better understanding the basis of coral immunity we may be able to understand what is causing the pandemic of coral diseases and how human activity is connected to it. This will hopefully lead us to better ways of managing our reefs, reduce the impact of disease, and give corals a better chance of survival during a period of major climatic and environmental change.’

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WEED STUDY PROVIDES INSIGHT INTO ALZHEIMER’SProfessor Jim Whelan, ARC Centre of Excellence for Plant Energy Biology Scheme: ARC Centres of Excellence

‘There’s a need to double food production in the next thirty to forty years, the problem is that all increases in plant productivity in the last twenty to thirty years have required a large input of resources, water and fertilizers. This approach is very costly and limiting, so we need to come up with a new way to make plants more efficient and increase yield’, states Professor Jim Whelan from La Trobe University, a Chief Investigator with the ARC Centre of Excellence for Plant Energy Biology (administered through The University of Western Australia).

Professor Whelan is looking at how plants might be grown more efficiently, particularly reducing stress and disease and therefore increasing production. As part of an international collaboration he has identified and characterized a new enzyme found in thale cress, a small garden weed. The enzyme destroys small proteins in the plant’s cells that would otherwise become toxic.

While the work on the new enzyme is furthering understanding of disease in plants, it could also assist our understanding of the equivalent enzyme in human cells. ‘Documenting the biological pathways which lead to enzymes breaking down proteins and peptides is essential to understanding disease in animals as well as plants,’ states Professor Whelan. ‘Alzheimer’s occurs because small proteins that would otherwise become toxic are no longer effectively or efficiently removed from brain cells.’

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BENEFITS OF EXCELLENCE IN RESEARCH FOR AUSTRALIAPrior to the introduction of ERA there was no mechanism to identify and assess research quality across the full spectrum of research activity at Australian higher education institutions. ERA has fulfilled this role and provided incentives for institutions to improve their research quality over time.

In 2013 the ARC commissioned ACIL Allen Consulting to undertake an independent benefits realisation review of ERA. The review explored the monetary and non-monetary benefits flowing from ERA. It found that ‘ERA helped to increase the social rate of return of research, generate cost savings, increase university revenue, enhance economic activity and improve accountability, transparency and policy-making’ (Benefits Realisation Review of ERA, Final report (September 2013)).

– The review identified three key areas where ERA is having a significant influence:– improved research performance– enhanced university planning strategy and operation– better accountability, transparency and policy making.

AREA INFLUENCE IMPACT

Research performance

Better research quality Increased social rate of return of university researchFocusing research effort

Enhancing collaboration

Improving resource allocation

Informing human resource decision making

University planning, strategy and operations

Improved coordination and management

Cost savings for universities

Enhanced strategic planning

Recognition and promotion Increased university revenue and economic activity

Accountability, transparency and policy-making

Accountability, transparency and monitoring

Increased accountability, transparency and more informed government policy-making

Better informed government policy

Source: ACIL Allen Consulting

The review report is published on the ARC website.

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CONTRIBUTION OF ERA TO MAPPING RESEARCH ACTIVITY IN AUSTRALIAERA data can be used as a tool to guide strategic planning, including aligning research strengths with industry, regional and national priorities to maximise the benefits of public investment in research.

The Australian Renewable Energy Agency (ARENA) is an independent statutory agency tasked with improving the competitiveness and supply of renewable energy in Australia. The study commissioned by ARENA is a collaboration by the ARC with the Commonwealth Scientific and Industrial Research Organisation (CSIRO) which provides ARENA with detailed analyses of the scope and focus of R&D activity by Australia’s universities in renewable energy technologies (RETs).

The study draws significantly on the ERA data set and the techniques which have been developed by the ARC for the measurement of research quality in ERA.

The study finds that research into RETs in Australia is primarily underpinned by a small number of Engineering disciplines (most notably Materials Engineering, and Electrical and Electronic Engineering). In all cases, the research activity in these disciplines is growing as indicated by the increasing numbers of publications reported between ERA 2010 and ERA 2012.

The overall quality of each discipline is also improving over time, with larger proportions of the universities that are active in these disciplines judged to be performing research at world standard or higher in ERA 2012 than in 2010. Within these underpinning disciplines, RETs research performs strongly on key citation indicators suggesting that while the total output is relatively focussed, RETs research is a pocket of national strength.

The study indicates a strong set of research disciplines underpinning Australian universities’ R&D into renewable energy technologies, and shows that over time this activity is increasing in terms of size and quality.

The study is published on the ARENA website at <www.arena.gov.au>.

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http://www.arena.gov.au/


RESEARCH WORKFORCE POLICYThe ARC is committed to supporting researchers at all career levels; growing research workforce participation; and building the capacity of Australia’s research workforce (through support for mobility, collaboration, broad skills and research training).

In 2013–14 the ARC commenced work on development of a statement that clearly articulated the agency’s support for the research workforce through the NCGP. This included researchers from all career levels and key groups such as women, Indigenous and international researchers.

To assist this process, the ARC invited Australian Laureate Fellows to participate in an external reference group to provide input into the process. The fellows completed a series of surveys covering gender and career balance, career stage and international issues. They provided feedback on their own experiences as well as their views on the role of the ARC in addressing these issues.

As a result of this process, in February 2014 the ARC released a Research Opportunity and Performance Evidence (ROPE) statement on its website to promote a clearer understanding of the ARC’s position on ROPE. The ARC first introduced ROPE under the Discovery Projects scheme of the NCGP for funding commencing in 2011 and subsequently under all other schemes. It replaced the selection criterion of ‘track record relative to opportunities’.

ROPE was introduced to help provide a more realistic consideration of a researcher’s capabilities and assist those who have had career interruptions for family and other reasons.

The statement aims to encourage consistent presentation and assessment of NCGP proposals by providing guidance to assessors and researchers on the application of ROPE.

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WORKING WITH OTHER RESEARCH AGENCIESThe ARC works closely with other research funding agencies on matters of mutual interest including, where appropriate, to develop consistent or complementary policies. – To respond to the increased interest in measuring the societal benefits from research and

coordinating better reporting and showcasing of research outcomes, in August 2012 a number of publicly funded research agencies established a working group. The working group is aiming to develop a common understanding of terminology, approaches, and reporting of research impact. The agencies that were active participants of the working group during 2013–14 included:

– Australian Institute of Aboriginal and Torres Strait Islanders Studies– Australian Institute of Marine Science– Australian Nuclear Science and Technology Organisation– Australian Research Council– Bureau of Meteorology– CSIRO– Defence Science and Technology Organisation– Geoscience Australia – National Health and Medical Research Council– National Measurement Institute.

In August 2013, the working group publicly released a document containing a definition of research impact, guiding principles and a glossary of common terms. This document is available on the ARC website. Work will continue in 2014–15 to identify existing and new data that can be used to verify the benefits of research.

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INTERNATIONAL STRATEGYThe ARC plays a significant role in supporting international collaboration, by maintaining a strong presence within the international research community and providing funding opportunities that bring together Australian and international researchers and organisations.

During 2013–14 the ARC reviewed its international strategy. The review considered the possibility of, and options for, strengthening international links, as well as improving the visibility and effectiveness of ARC support for international collaboration within NCGP funding schemes.

As a result of opportunities identified through the review the ARC established a new ‘International’ page on the ARC website. The page provides information and statistics on recent international collaborations through ARC funding; updates on the ARC’s international presence (including recent discussions with overseas agencies and participation in global forums); and information on funding opportunities for international collaboration.

– The ARC continued to strengthen its international links during 2013–14 by increasing its international engagement through discussions with overseas and domestic organisations. It also analysed options for improving the effectiveness of ARC support for international collaboration using:

– input from discussions with overseas agencies and domestic organisations– a survey on international collaboration.

In May 2014, the ARC Chief Executive Officer (CEO) participated in the 2014 Annual Meeting of the Global Research Council. The council involves approximately 70 counterpart science and research councils from around the world. Through participation in the council, the ARC is an active player in addressing international issues in research funding, including open access and sustainability of the research workforce.

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OPEN ACCESS POLICYDuring 2013–14 the ARC continued to roll-out an open access policy under the NCGP, including working with other research funding agencies to ensure consistency in implementation.– The ARC actively engaged with stakeholders on developments in this area and continued to

refine its advice and key messages to ensure consistency in the implementation of the policy across the sector. In particular, the ARC:

– worked closely with the National Health and Medical Research Council (NHMRC) as well as the Council of Australian University Librarians and the Australian Open Access Support Group

– participated in various seminars, workshops and forums across the country– participated in Open Access Week 2013—Professor Aidan Byrne and Professor Warwick

Anderson, CEO of the NHMRC promoted their agencies’ open access policies at the launch– participated in Queensland University of Technology’s Open Access and Research

Conference 2013—Professor Byrne gave the opening address.

In January 2014, the ARC surveyed Australian universities to gain a better understanding of institutional preparedness and capacity, as well as sector-wide consistency in approach, to managing the requirements under the policy. The results of this consultation will inform the development of further advice, and dissemination of good practice, to the sector.

In recognition of the truly global nature of open access, in 2013–14 the Global Research Council (GRC) deemed open access as a key issue relevant to the international funding landscape. Through ARC’s participation in the GRC, the agency has contributed to global efforts to maximise the progress and benefits of open access, and to minimise any barriers to international research collaboration.

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ACCESSIBLE DATATaking into account the wide variety of practices across disciplines for the generation, dissemination and storage of research data, the ARC is committed to ensuring that data generated through ARC-funded research is as accessible as possible.

The ARC is committed to maximising the benefits from ARC-funded research, including facilitating greater access to research data. In line with its responsibilities outlined in the Australian Code for the Responsible Conduct of Research (2007) and international best practice, since 2007 the ARC has encouraged researchers to deposit data arising from research projects in publicly accessible repositories.

The ARC considers researchers, in consultation with their institutions, to be responsible for considering the management and future potential of their research data. While the ARC is not mandating open data, researchers are strongly encouraged to consider the ways in which they can best manage, store, disseminate and reuse data generated through ARC-funded research, taking into account the differences that may exist between institutions, disciplines and research projects.

In January 2014, the ARC continued to foster a culture of good data management and practices by clarifying its data management expectations. A new requirement for researchers to outline how they plan to manage research data arising from ARC-funded research was added to the funding rules and supporting documentation of Discovery Program schemes for 2014 and 2015. The requirement forms part of the application process to receive funding. In developing and communicating its new data management requirements the ARC worked closely with the Australian National Data Service.

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CHAPTER 4 PROGRAM 1.1 DISCOVERY

Dr Sandra Tanz, The University of Western Australia, a Discovery Early Career Researcher Award recipient, is analysing plant samples. Photo courtesy of Matt Galligan.

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DESCRIPTIONThe Discovery Program supports the growth of Australia’s research and innovation capacity, which generates new knowledge resulting in the development of new technologies, products and ideas, the creation of jobs, economic growth and an enhanced quality of life in Australia.

– The objectives of the Discovery Program are to: – support excellent, internationally competitive research by individuals and teams that will

produce high quality outcomes– build Australia’s research capacity through supporting and facilitating research training and

career opportunities for excellent Australian and international researchers– support research in priority areas that will deliver national benefits– enhance research capacity and outcomes through support for international collaboration.– The program comprises the following funding schemes: – Australian Laureate Fellowships– Discovery Early Career Researcher Award– Discovery Indigenous– Discovery Projects – Future Fellowships.

Performance data for the Discovery Program, unless otherwise indicated, relates to funding commencing in the 2013–14 financial year (regardless of the date of announcement). Further information on the Discovery Program (including schemes, grant statistics and additional performance data) is provided in Part 5, Appendix 1.

Influences on performance in 2013–14– Key Discovery Program developments during 2013–14 included: – the announcement of ongoing funding for the Future Fellowships scheme– the ongoing focus on streamlining grant processes including the consolidation of the

Discovery Program funding rules into a single document.

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SUMMARY OF PERFORMANCE2013–14 performance is summarised in Table 4.1.

Table 4.1: Discovery Program, performance summary

PERFORMANCE PAGE

Deliverables

Number of grants awarded 1131 49

Number of researchers supported (investigators named in funded proposals)

2339 50

Amounts awarded to administering organisations $538 033 432 50

Policy advice relating to research and research training Achieved 50

Key performance indicators

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

2/2 targets met 52

ARC funding supports excellent researchers 2/2 targets met 53

ARC-supported research contributes significantly to high quality research training

2/2 targets met 54

ARC fellowship and award schemes attract high quality international applicants

1/1 target not met 55

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

2/2 targets met 56

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

1/1 target met 57

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DELIVERABLESThrough the Discovery Program schemes, the ARC delivers funding for individual research projects and research fellowships and awards. Funding is awarded to administering organisations on the basis of competitive peer review processes involving Australian and international experts.

Table 4.2: Discovery Program, deliverables

DELIVERABLE RESULT

Number of grants awarded 2013–14: 1131

2012–13: 1168

2011–12: 1306


2013–14: 2339

2012–13: 2340

2011–12: 2537

Amounts awarded to administering organisations 2013–14: $538 033 432

2012–13: $528 838 000

2011–12: $547 343 000

Policy advice relating to research and research training 2013–14: Achieved

2012–13: Achieved

2011–12: Achieved

Number of grants awarded– The ARC awarded 1131 new grants under the Discovery Program for funding commencing in

2013–14 comprising:– 17 Australian Laureate Fellowships– 200 Discovery Early Career Researcher Awards– 10 Discovery Indigenous grants– 703 Discovery Projects grants– 201 Future Fellowships.

The number of new grants awarded in 2013–14 is similar to that awarded in 2012–13 (see Figure 4.1). The higher number of grants awarded in 2011–12 reflects the larger number of Discovery Early Career Researcher Awards allocated in that year, the first year of the scheme’s operation, and the allocation of 50 Super Science Fellowships. The Super Science Fellowships scheme was a special initiative of the Australian Government which operated for funding commencing in 2010 and 2011.

Details of Discovery Program grants awarded for funding commencing in 2013–14 are provided on the ARC website.

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Number of researchers supported– The 1131 new grants awarded for commencement in 2013–14 involved 2339 named

researchers. The named researchers included 440 recipients of individual fellowships or awards (comprising Australian Laureate Fellowships, Discovery Early Career Researcher Awards, Discovery Indigenous Awards under the Discovery Indigenous scheme, Discovery Outstanding Researcher Awards under the Discovery Projects scheme, and Future Fellowships). Other named researchers included:

– chief investigators under the Discovery Indigenous scheme– chief investigators and partner investigators under the Discovery Projects scheme.

Amounts awarded to administering organisations– Total funding of $538.0 million was awarded by the ARC to the 1131 new grants under the

Discovery Program for funding commencing in 2013–14. The total funding awarded comprised:

– $47.4 million over five years for the Australian Laureate Fellowships scheme– $75.8 million over three years for the Discovery Early Career Researcher Award scheme– $4.9 million over three years for the Discovery Indigenous scheme– $257.6 million over three years for the Discovery Projects scheme– $152.3 million over four years for the Future Fellowships scheme.

The total amount of funding awarded in 2013–14 is similar to that awarded in 2012–13 and 2011–12 (see Figure 4.2).

Policy advice relating to research and research trainingIn 2013–14 the ARC provided advice and engaged in discussions on a range of policy matters relevant to the Discovery Program. During the year, for example, the ARC commenced development of a Research Workforce statement aimed at articulating clearly the ARC’s support for researchers. A case study in Chapter 3 (page 41) provides more information about this statement.

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Figure 4.1: Discovery Program, number of proposals funded by scheme, 2011–12 to 2013–14

Figure 4.2: Discovery Program, total funding awarded, 2011–12 to 2013–14

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

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OBJECTIVE—TO SUPPORT EXCELLENT RESEARCHDescriptionThrough the Discovery Program, the ARC aims to support Australia’s highest quality research conducted in higher education institutions and other eligible organisations. To ensure excellent research is funded, the ARC uses a rigorous assessment process involving academic peer review.

– In 2013–14 the ARC:– amended the application form asking researchers to provide a statement indicating the

contribution that their research could make to the Australian economy, society, culture, national security, public policy or services, health, the environment, or quality of life to better convey the benefits of publicly funded research.

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

MEASURE 1 EVIDENCE OF IMPACT OF ARC-FUNDED RESEARCH

Target Significantly exceeds benchmarks where available

Result 2013–14: Met TARGET MET

2012–13: Not measured


In 2013–14 the ARC used the ERA 2012 results as an indicative measure of the quality of ARC-funded research. The ERA results showed that 72.4 per cent of Category 1 research income was associated with assessed units of evaluation rated above or well above world standard. Category 1 research income includes all research income universities receive from Australian Competitive Grants. The funds awarded by the ARC and the National Health and Medical Research Council form the bulk of this income.

The ARC did not assess this measure in 2012–13 or 2011–12. Previously the ARC commissioned a bibliometric study to measure the citation impact of ARC-funded research relative to the Australian and world averages. The ARC released the last study in 2009 and used the results to report on performance in the ARC Annual Report 2009–10.

During 2013–14 the ARC continued to collect information on the outputs of ARC-funded research projects from final reports submitted to the agency. Under the Discovery Program, research projects and fellowships initially funded in 2009 produced on average 15.2 academic outputs per research project, and a total of 62 commercialisation outputs (see Table A1.3).

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MEASURE 2 OUTCOMES ARISING FROM ARC-FUNDED RESEARCH THAT PROVIDE SOCIAL, ECONOMIC, ENVIRONMENTAL AND CULTURAL BENEFITS

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


2012–13: Met

2011–12: Met

The research case studies in Chapter 3 provide examples of the diverse outcomes produced by ARC-funded research in 2013–14. The case studies document the social, economic, environmental and cultural benefits generated by ARC-funded research.

Key Performance Indicator 2: ARC funding supports excellent researchers (KPI 1.2 in ARC strategic plan)

MEASURE 3 EXTERNAL RECOGNITION OF THE ACHIEVEMENTS OF ARC-FUNDED RESEARCHERS

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


2012–13: Met

2011–12: Met

In 2013–14 ARC-funded researchers were the recipients of national and international prizes and awards for their research (see Part 5, Appendix 3 for listing of examples). Researchers at all career levels were recognised for their research excellence.

MEASURE 4 EVIDENCE OF IMPACT OF RESEARCH CONDUCTED BY ARC-FUNDED FELLOWS

Target Exceeds benchmarks where available




Examples of outcomes arising from research conducted by ARC-funded fellows are provided in the case studies in Chapter 3.

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OBJECTIVE—TO SUPPORT RESEARCH TRAINING AND CAREER OPPORTUNITIESDescription– The ARC provides support for researchers at all career stages through fellowship and

awards administered under the Discovery Program. In addition:– the Australian Laureate Fellowship scheme provides support for research training with

funding provided for up to two Postdoctoral Research Associates and two Postgraduate Researchers

– allowable budget items under the Discovery Projects scheme include salaries for Higher Degree by Research students and postdoctoral researchers.

– In 2013–14:– the ARC commenced work on a statement about its support for the research workforce.

Following consultations with the sector undertaken as part of this process, the ARC published a Research Opportunity and Performance Evidence statement in February 2014. Further information is provided in the case study on page 41.

PerformanceKey Performance Indicator 3: ARC-supported research contributes significantly to high quality research training (KPI 1.3 in ARC strategic plan)

MEASURE 5 PROPORTION OF ARC-FUNDED RESEARCHERS WHO ARE EARLY CAREER RESEARCHERS (WITHIN FIVE YEARS OF COMPLETION OF THEIR PHD)

Target Greater than 20 per cent

Result 2013–14: 22.3 per cent TARGET MET

2012–13: 21.2 per cent

2011–12: 22.0 per cent

Under the Discovery Program funding schemes, early career researchers comprised 22.3 per cent of researchers funded in 2013–14. This includes the 201 researchers supported through the ARC’s dedicated funding scheme for early career researchers—the Discovery Early Career Researcher Award scheme—and Chief Investigators funded under other schemes that are within five years of completion of their PhD. This proportion has remained relatively constant in recent years.

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MEASURE 6 NUMBER OF RESEARCH STUDENTS SUPPORTED THROUGH ARC FUNDING

Target An average of three per grant (Discovery Projects)

Result* 2013–14: 4.2 TARGET MET

* A new measure in 2013–14

Through the Discovery Program funding schemes, ARC-funded research supports high-quality research training. Indicative data collected from final reports submitted to the ARC showed that each Discovery Projects grant initially funded in 2009 provided support for an average of 4.2 research students. This includes both domestic and international postgraduates (see Part 5, Appendix 1, Table A1.4)

Key Performance Indicator 4: ARC fellowship and award schemes attract high quality international applicants (KPI 1.4 in ARC strategic plan)

MEASURE 7 PROPORTION OF FELLOWSHIPS AND AWARDS THAT ARE AWARDED TO INTERNATIONAL APPLICANTS (FOREIGN NATIONALS AND RETURNING AUSTRALIANS)


Result* 2013–14: 26.8 per cent TARGET NOT MET

2012–13: 24.4 per cent

* Not measured in 2011–12

In 2013–14 international applicants (including returning Australians and foreign nationals) were the recipients of 26.8 per cent of Discovery Program fellowships and awards. The result is below the target of 28 per cent which was set based on the results achieved in 2011–12. The 2011–12 financial year included the inaugural selection round of the Discovery Early Career Researcher Award scheme under which 277 awards were made (compared to the approximately 200 awards made under subsequent selection rounds).

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OBJECTIVE—TO SUPPORT RESEARCH IN PRIORITY AREASDescriptionUnder the Discovery Program funding schemes researchers are invited to indicate whether their research addresses an area of Government priority. In addition, under the Future Fellowships scheme proposals are encouraged in targeted priority areas.

In 2013–14:

– the Australian Government identified new Strategic Research Priorities (SRPs) for government-funded research (replacing the National Research Priorities (NRPs)). The year 2013–14 was identified as a year of transition facilitating final reporting against the NRPs and the establishment of arrangements to report against the new SRPs

– the targeted research areas of national significance identified for the 2013 Future Fellowships selection round were: bioinformatics; computer system security; Indigenous health and wellbeing; managing innovation, renewable energy and green technology; pattern recognition and data mining; safeguarding Australia (especially electronic security, surveillance and detection); understanding culture and communities.

PerformanceKey Performance Indicator 5: ARC-funded research makes a significant contribution to research activity and capability in areas of national need (KPI 1.5 in ARC strategic plan)

MEASURE 8 PROPORTION OF FUNDED PROPOSALS THAT ADDRESS NATIONAL RESEARCH PRIORITIES



2012–13: 92.0 per cent

2011–12: 91.1 per cent

Of the new proposals funded under the Discovery Program in 2013–14, 91.5 per cent indicated that they involved research relevant to one of the Australian Government’s National Research Priorities. Research projects within the National Research Priority area of ‘Frontier technologies for building and transforming Australian industries’ made up the largest proportion of funded proposals at 41.8 per cent.

MEASURE 9 EVIDENCE OF IMPACT IN NATIONAL RESEARCH PRIORITY AREAS

Target Examples of impact in NRP areas


2012–13: Met

2011–12: Met

Examples of outcomes arising from ARC-funded research in National Research Priority areas are provided in the case studies in Chapter 3.

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OBJECTIVE—TO SUPPORT INTERNATIONAL COLLABORATIONDescription– Under the Discovery Program, the ARC provides support for international collaboration

through a number of mechanisms including:– International Collaboration Awards under the Discovery Projects scheme to increase

opportunities for collaboration between researchers, research teams and/or research centres in Australia and overseas

– funding up to a specified limit for overseas travel by chief investigators, fellows and other project personnel and by partner investigators based overseas to travel to Australia.

– During 2013–14:– the ARC improved the visibility of the international aspects of its funding schemes by

improving the accessibility and depth of information about international collaboration opportunities on its website and through international engagement activities. The case study on page 43 provides further information about the ARC’s international strategy.

PerformanceKey Performance Indicator 6: There is a high level of collaboration between ARC-funded researchers and those within other components of the national and international innovation systems (KPI 1.6 in ARC strategic plan)

MEASURE 10 PROPORTION OF PROJECTS INVOLVING INTERNATIONAL COLLABORATION



2012–13: 65.0 per cent

2011–12: 67.6 per cent

A total of 65.3 per cent of the 1131 new projects funded in 2013–14 under the Discovery Program funding schemes involved international collaboration. The proportion varied across the individual funding schemes with the Future Fellowships scheme recording the highest levels of international engagement. In total the new projects nominated 1617 instances of international collaboration with over 120 countries.

In the Discovery Projects selection round for funding commencing in 2014, 91 proposals were awarded one or more International Collaboration Awards.

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DISCOVERY RESEARCH COMMENCING IN 2013–14 THE MANGROVE CARBON PUMPDr Isaac R Santos, Southern Cross University Discovery Early Career Researcher Award scheme

Mangrove forests are highly productive coastal ecosystems which play a key role in the marine carbon cycle. Many of these forests are under threat from drainage and deforestation to make room for urban development and aquaculture as well as increasing stress from pollution. Globally, mangroves are considered important carbon sinks (natural reservoirs that accumulate and store carbon). While scientists know how much carbon is being absorbed by the mangrove trees, the quantity of carbon that is subsequently lost to the ocean and how this occurs is unclear.

Associate Professor Isaac Santos, from Southern Cross University, has been awarded funding under the Discovery Early Career Researcher Award scheme for an innovative project investigating carbon pathways in mangroves, using a combination of new experimental and modelling approaches.

His project will test the hypothesis that carbon is transferred into the soil around mangroves, then into the groundwater via crab burrows before seeping into the ocean. It aims to investigate carbon and greenhouse gas cycling in six Australian mangrove tidal creeks and determine whether underground respiration can close imbalanced mangrove carbon budgets. This research will contribute to closing a significant gap in our understanding of the coastal carbon cycle and the ways in which mangroves influence nearby coastal ecosystems.

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DISCOVERY RESEARCH COMMENCING IN 2013–14 HISTORY OF AUSTRALIAN MININGDr Clare Wright, La Trobe University Future Fellowships scheme

Though Australia’s past economic prosperity was said to be riding on the sheep’s back, mining has been a vital industry for Australia’s economic progress. The recent resources boom—and slowdown—has once again centred mining in the Australian economy and consciousness. Yet there has not been an updated national history of mining for fifty years.

Dr Clare Wright from La Trobe University, with funding provided through the Future Fellowships scheme, will redress this deficit by compiling a new history of Australian mining that examines key events in Australia’s past through the social and cultural settings of mining communities, environments and industries.

The story of mineral exploration and exploitation will receive a fresh assessment of its social, cultural and political impact in Australia. By examining records and narrative descriptions of past encounters around mining sites and communities, this research will explore the complex interactions of people, land and governments. It will provide an innovative new narrative of the multiple and diverse historical protagonists and processes created by Australia’s geological wealth.

Dr Wright was recently awarded the 2014 Stella Prize for her book, The Forgotten Rebels of Eureka, based on her ARC-funded postdoctoral research into the role of women at the Eureka Stockade.

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DISCOVERY RESEARCH COMMENCING IN 2013–14 GEOLOGICAL PROCESSES AND LANDSCAPE EVOLUTIONDr Joanne Whittaker, University of Tasmania Discovery Early Career Researcher Award scheme

From deep within the Earth, plumes of molten rock can rise up and produce enormous eruptions on the surface of the planet. Despite the size of these plumes and their role in global mass extinctions, how these molten rocks drive continental movement is not well understood.

Building on her previous work for which she was awarded a 2013 L’Oreal Women in Science Fellowship, Dr Joanne Whittaker from the Institute for Marine and Antarctic Studies at the University of Tasmania aims to further our knowledge of how the internal workings of the Earth influence and interact with geological processes on the surface. As part of her Discovery Early Career Researcher Award, she will use global and Australian geological and geophysical data combined with modelling systems to investigate the impact of plumes on determining continental and marine landscapes through geological time.

Understanding how these fundamental processes shaped Earth’s surface in the past is key to predicting how these processes shape the environmentally important, and resources rich, continental margins and ocean basins. The Australian case studies areas in the Eastern Indian Ocean and Southwest Pacific are of economic interest to Australia, for their natural reserves and this research will enable efficient exploration and discovery of deep Earth resources to the benefit of the Australian economy.

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DISCOVERY RESEARCH COMMENCING IN 2013–14 UNDERSTANDING THE BEHAVIOUR OF BUSHFIRESAssociate Professor Jason Sharples, The University of New South Wales Scheme: Discovery Indigenous scheme

While bushfires have always been an inherent feature of the Australian environment, in recent years there has been an increase in the number and severity of bushfires. These bushfires have resulted in loss of life and substantial property damage, with significant social, economic and ecological follow-on effects.

Associate Professor Jason Sharples, a Discovery Indigenous scheme recipient, is investigating eruptive bushfire behaviour, an extremely dangerous form of fire activity with a sudden and unexpected increase in intensity and the rate of spread, also known as fire blow up. While eruptive bushfires are a global phenomenon, a lack of understanding of dynamic fire behaviour and the effects of terrain limits the ability to predict the onset of eruptive fire events, which can pose major threats to firefighter safety and hamper bushfire suppression.

Based at The University of New South Wales Canberra, Associate Professor Sharples is examining the key physical mechanisms that cause this type of fire behaviour, using laboratory experiments and mathematical modelling to analyse the role the geometry of the terrain plays in triggering eruptive bushfire. The aim of his research is to provide better advice to bushfire authorities and improve the safety and effectiveness of firefighting efforts.

Associate Professor Sharples was a finalist in the 2013 Eureka Prizes for his ground-breaking work on extreme fire behaviour.

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CHAPTER 5 PROGRAM 1.2 LINKAGE

Dr Kerry Wilkinson, The University of Adelaide,is a member of the Industrial Transformation Training Centre for Innovative Wine Production. Photo courtesy of The University of Adelaide.

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DESCRIPTION The Linkage Program supports research partnerships within Australia and internationally to encourage the exchange and transfer of knowledge, ideas and skills as a basis for building capacity to deliver high quality research outcomes and secure commercial and other benefits of research.

– The objectives of the Linkage Program are to: – support excellent collaborative research initiatives involving partnerships between higher

education organisations and with other sectors, in Australia and internationally– foster research training and career opportunities that enable excellent Australian and

international researchers and research students to gain experience working in industry settings

– support collaborative research in priority areas that will deliver national benefits– enhance capacity to deliver national benefits by investing in large-scale collaborative

research programs.– The program comprises the following schemes: – ARC Centres of Excellence – Industrial Transformation Research Hubs – Industrial Transformation Training Centres– Linkage Infrastructure, Equipment and Facilities – Linkage Learned Academies Special Projects – Linkage Projects – Special Research Initiatives.

The ARC also supports co-funded research centres under the Linkage Program. Performance data for the Linkage Program, unless otherwise indicated, relates to funding commencing in the 2013–14 financial year (regardless of the date of announcement). Further information on the Linkage Program (including schemes, grant statistics and additional performance data) is provided in Part 5, Appendix 2.

Influences on performance in 2013–14– Key Linkage Program developments during 2013–14 included: – the announcement of a new cohort of ARC Centres of Excellence for funding commencing

in 2014– the announcement of a number of new initiatives aimed in building research capability in

areas of Government priority– continued demand for support under the Industrial Transformation Research Program.

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SUMMARY OF PERFORMANCE 2013–14 performance is summarised in Table 5.1.

Table 5.1: Linkage Program, performance summary

PERFORMANCE PAGE

Deliverables

Number of grants awarded 402 65


1874 66

Amounts awarded to administering organisations $546 911 900 66

Policy advice relating to encouraging research collaboration Achieved 66


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

4/4 targets met 68

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

2/2 targets met 71

ARC-supported research contributes significantly to high quality research training

2/2 targets met 72

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

2/2 targets met 74

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DELIVERABLES Through the Linkage Program schemes, the ARC delivers funding for individual research projects, hubs and centres. Funding is awarded to administering organisations on the basis of competitive peer review processes involving Australian and international experts.

Table 5.2: Linkage Program, deliverables

DELIVERABLE RESULT

Number of grants awarded 2013–14: 402

2012–13: 267

2011–12: 454


2013–14: 1874

2012–13: 1650

2011–12: 2098

Amounts awarded to administering organisations 2013–14: $546 911 900

2012–13: $130 428 000

2011–12: $194 483 000

Policy advice relating to encouraging research collaboration

2013–14: Achieved

2012–13: Achieved

2011–12: Achieved

Number of grants awarded– The ARC awarded 402 grants for funding commencing in 2013–14 under the Linkage

Program:– 12 ARC Centres of Excellence– 10 Industrial Transformation Research Hubs– 7 Industrial Transformation Training Centres– 63 Linkage Infrastructure, Equipment and Facilities projects – 2 Linkage Learned Academies Special Projects– 306 Linkage Projects– 2 Special Research Initiatives.– The significant increase in the number of grants awarded in 2013–14, compared to the

2012–13 (see also Figure 5.1), can be attributed to the following:– In 2012 the ARC restructured the Linkage Projects scheme to complement the introduction of

the Industrial Transformation Research Program—which supports fewer grants of a larger scale. All three schemes were conducted in full for the first time in 2013–14.

– A selection round under the ARC Centres of Excellence scheme was conducted for funding commencing in 2014. New grants have not been awarded under this scheme since 2010–11, as selection rounds are only conducted periodically.

Details of Linkage Program grants awarded for funding commencing in 2013–14 are provided on the ARC website.

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Number of researchers supportedThe 402 new grants awarded for funding commencing in 2013–14 under the Linkage Program involved 1874 researchers. Researchers, in this instance, are defined as named participants on successful funding proposals, that is chief investigators and partner investigators under the Linkage Projects; Linkage Infrastructure, Equipment and Facilities; Industrial Transformation Research Hubs; Industrial Transformation Training Centres; ARC Centres of Excellence; Linkage Learned Academies Special Projects; and Special Research Initiatives schemes.

The total number of researchers supported on new projects in 2013–14 is higher than the number recorded in 2012–13 due to the 2014 round of ARC Centres of Excellence (as indicated on page 65, this scheme is only run periodically). There was also a significant drop in 2012–13 as it was a transition year for the Linkage Projects scheme (reducing from two selection rounds to one selection round each year).

Amounts awarded to administering organisations– The ARC awarded $546.9 million in total funding for 402 new grants in 2013–14 under the

Linkage Program schemes. The funding awarded comprised:– $285.0 million over five years for the ARC Centres of Excellence scheme– $34.6 million over five years for the Industrial Transformation Research Hubs scheme– $15.7 million over three years for the Industrial Transformation Training Centres scheme– $32.0 million for the Linkage Infrastructure, Equipment and Facilities scheme (predominantly

one year grants)– $0.8 million for over three years for the Linkage Learned Academies Special Projects

scheme– $101.8 million over three years for the Linkage Projects scheme– $77.0 million over four and five years for the Special Research Initiatives scheme.– The total funding fluctuates each year depending on the selection rounds conducted.

The increase in total funding awarded in 2013–14 is due to:– the ARC Centres of Excellence selection round which is conducted periodically– the conduct of a full selection round of the Linkage Projects scheme. The funding awarded in

2012–13 only included Linkage Projects for funding commencing in 2012 round 2.

Policy adviceIn 2013–14 the ARC provided advice and engaged in discussion on a range of policy matters relevant to the Linkage Program. Policy issues relevant to both the Linkage and Discovery Programs are included in the case studies in Chapter 3, pages 41–45.

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Figure 5.1: Linkage Program, number of proposals funded by scheme, 2011–12 to 2013–14

Figure 5.2: Linkage Program, total funding awarded, 2011–12 to 2013–14

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

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OBJECTIVE—TO SUPPORT COLLABORATION IN AUSTRALIA AND INTERNATIONALLYDescription– The Linkage Program aims to improve research outcomes and the use of those outcomes by

other sectors within the Australian economy and abroad by fostering long-term strategic alliances between higher education organisations and a range of end-user organisations, including industry, government and those in the community sector. The Program facilitates the development of alliances through:

– requirements for involvement of partner organisations making cash and in-kind contribution– eligibility of partner organisations extended to overseas organisations.

PerformanceKey Performance Indicator 1: There is a high level of collaboration between ARC-supported researchers and those within other components of the national and international innovation systems (KPI 2.1 in ARC strategic plan)

MEASURE 1 FINANCIAL COMMITMENT (CASH AND IN-KIND) FROM PARTNER ORGANISATIONS FOR EVERY DOLLAR CONTRIBUTED BY THE ARC (LINKAGE PROJECTS AND INDUSTRIAL TRANSFORMATION RESEARCH HUBS)

Target Linkage Projects (LP): Greater than $1.90

Industrial Transformation Research Hubs (IH): Greater than $1.50

Result 2013–14: LP: $1.90 IH: $1.61 TARGET MET

2012–13: LP: $1.87

2011–12: LP: $2.05

The Linkage Projects scheme and Industrial Transformation Research Hubs both require universities and partnering organisations to make a financial commitment to the project equal to or greater than the amount of funding requested from the ARC. Both schemes achieved their targets for average financial commitment per dollar contributed by the ARC in 2013–14.

Under the Linkage Projects scheme the ARC awarded $101.8 million in funding to 306 new research projects involving collaborations with federal, state and local government agencies (26.1 per cent of funding awarded), industry bodies and companies (57.9 per cent of funding awarded), and community and not-for-profit agencies (10.5 per cent of funding awarded). Just over five per cent of ARC funding was awarded to projects collaborating with international government, universities and other sectors. Financial contributions from partner organisations to the 306 projects funded under the Linkage Projects scheme for funding commencing in 2013 are depicted in Figure 5.3.

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Figure 5.3: Linkage Projects scheme, partner organisation contributions by type of organisation, 2013–14

MEASURE 2 PROPORTION OF PARTNER ORGANISATIONS THAT INDICATE THAT THEIR INVOLVEMENT IN PROJECTS WAS BENEFICIAL OR VERY BENEFICIAL (LINKAGE PROJECTS SCHEME)


Result 2013–14: 98.1 per cent (based on 2009 projects) TARGET MET

2012–13: 94.8 per cent (based on 2008 projects)

2011–12: 96.4 per cent (based on 2007 projects)

Under the Linkage Projects scheme, 98.1 per cent of partner organisations involved in grants commencing in 2009 indicated that their involvement in the research project was beneficial or very beneficial. This information is drawn from final reports submitted by applicants following completion of the research projects.

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MEASURE 3 PROPORTION OF PROJECTS INVOLVING INTERNATIONAL COLLABORATION



2012–13: 44.6 per cent

2011–12: 40.7 per cent (LP and LIEF only)

A total of 45.5 per cent of new projects funded under the Linkage Program in 2013–14 involved international collaboration. This figure is marginally higher than last year due to the inclusion of the 2014 Centres of Excellence. The proportion of Centres of Excellence involving international collaboration is usually higher than other schemes funded under the Linkage Program. This is reflected in the fact that all of the newly funded Centres of Excellence involve international collaboration. There were 431 instances of intended international collaboration reported on the 402 successful proposals funded under the Linkage Program in 2013–14.

In addition, the ARC provided $3.6 million to support Australian membership of the International Ocean Discovery Program (IODP) over the next two years. The IODP is the largest collaborative research program in earth and ocean sciences and aims to address fundamental questions about Earth’s history and processes. Other major international collaborative projects the ARC continued to fund in 2013–14 were Australian membership of the Atomic Clock Ensemble in Space mission and access for Australian researchers to the NANTEN2 sub-millimetre telescope facility in Chile.

MEASURE 4 AVERAGE NUMBER OF ORGANISATIONS INVOLVED IN PROJECTS FUNDED (LINKAGE INFRASTRUCTURE, EQUIPMENT AND FACILITIES)

Target Greater than 3.5

Result 2013–14: 5.2 TARGET MET

2012–13: 4.3

2011–12: 3.9

The ARC awarded $32.0 million to 63 new research infrastructure, facilities and equipment projects in 2013–14. Over 90 per cent of these projects involved collaborations between Australian universities.

Linkage Infrastructure, Equipment and Facilities projects funded in 2013–14 involved an average of 5.2 collaborating organisations per project, almost one and half times the target. The increase in collaboration recorded since 2011–12 suggest that it is becoming more common for organisations to pool their resources to purchase important research infrastructure, equipment and facilities.

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OBJECTIVE—TO SUPPORT EXCELLENT RESEARCHDescriptionThrough the Linkage Program, the ARC aims to support Australia’s highest quality research conducted in higher education institutions and other eligible organisations in partnership with end-user organisations. To ensure excellent research is funded, the ARC uses a rigorous assessment process involving academic peer review.

In 2013–14 the ARC amended the application form asking researchers to provide a statement indicating the contribution that their research could make to the Australian economy, society, culture, national security, public policy or services, health, the environment, or quality of life to better convey the benefits of publicly funded research.

PerformanceKey Performance Indicator 2: Outputs and outcomes arising from ARC-supported research are of a high quality and produce national benefits (KPI 2.2 in ARC strategic plan)

MEASURE 5 EVIDENCE OF IMPACT ARC-FUNDED RESEARCH

Target Significantly exceeds benchmarks where available




Information on assessment of this measure is provided under the similar measure for the Discovery Program (page 52). During 2013–14 the ARC continued to collect information on the outputs of ARC-funded research projects from final reports submitted to the agency. Under the Linkage Program, projects initially funded in 2009 produced an average of 10.1 academic outputs per research project, and a total of 40 commercialisation outputs. In 2013, ARC Centres of Excellence (initially funded in 2005, 2007 and 2011) produced an average of 249.8 academic outputs and a total of 45 patent-related outputs.

MEASURE 6 OUTCOMES ARISING FROM ARC-FUNDED RESEARCH THAT PROVIDE SOCIAL, ECONOMIC, ENVIRONMENTAL AND CULTURAL BENEFITS

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


2012–13: Met

2011–12: Met

The research case studies in Chapter 3 provide examples of the diverse outcomes produced by ARC-funded research in 2013–14. The case studies document the social, economic, environmental and cultural benefits generated by ARC-funded research.

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OBJECTIVE—TO SUPPORT RESEARCH TRAINING AND CAREER DEVELOPMENTDescriptionThe ARC supports research training and career opportunities through stipends and project funds. ARC Centres of Excellence and Linkage Projects schemes allow eligible researchers and research teams to apply for project support for themselves, research assistants, research technicians and postgraduate students (further details on personnel supported under the Linkage Program can be found in Part 5, Appendix 2). Postgraduate and postdoctoral stipends are awarded under the Industrial Transformation Research Hubs and Centres schemes.

PerformanceKey Performance Indicator 3: ARC-supported research contributes significantly to high quality research training (KPI 2.3 in ARC strategic plan)*

MEASURE 7 PROPORTION OF ARC-FUNDED RESEARCHERS WHO ARE EARLY CAREER RESEARCHERS (WITHIN FIVE YEARS OF COMPLETION OF THEIR PHD) (LINKAGE PROJECTS)



2012–13: 13.2 per cent

2011–12: 14.2 per cent

* See Appendix 9 –Correction of Errors regarding discrepancies between these statistics and those reported in previous Annual Reports.

In 2013–14, 12.7 per cent of researchers named on successful proposals under the Linkage Projects scheme were early career researchers. While this appears to indicate that the number of early career researchers supported by the scheme is trending downwards, this is not believed to be the case because the number of early career researchers supported under the Linkage Projects scheme as reported at the end of the project (see Part 5, Appendix 2, Table A2.5) has been increasing over the last four years. It seems that early career researchers are being supported by the Linkage Projects scheme, but they are not being named in the original funding proposals. The ARC is considering new methods for measuring this KPI.

Data on the proportion of early career researchers supported under other Linkage Program schemes is not reported here as the postgraduates, postdoctoral and other early career researchers are not named in the application, but are recruited once the project is successful.

Further information on the number of early career researchers supported by the Centres of Excellence can be found in Part 5, Appendix 2, Table A2.4.

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MEASURE 8 SUPPORT FOR RESEARCH TRAINING IN AREAS OF STRATEGIC IMPORTANCE TO AUSTRALIAN INDUSTRIES

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


2012–13 Met

* Not measured in 2011–12 as the Industrial Transformation Training Centres scheme was first conducted in 2013.

In 2013–14 the ARC funded seven new Industrial Transformation Training Centres. The new training centres will support 73 higher degree by research candidates and 20 postdoctoral fellows in research projects in eight industrial priority areas: defence manufacturing, manufacturing techniques, product design and development, product opportunities, food manufacturing capabilities, food processing, future food storage and other food-related research. More information on the training centres is provided on pages 77–78.

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OBJECTIVE—TO SUPPORT RESEARCH IN PRIORITY AREASDescriptionUnder the Linkage Program researchers are invited to indicate whether their research addresses an area of Government priority. Proposals submitted under the Industrial Transformation Research Program must also address one of the Industrial Transformation Priorities identified for each funding round. In addition, the ARC provides scope for particular priorities or projects of national importance through Special Research Initiatives and the Linkage Learned Academies Special Projects scheme.

– In 2013–14:– as noted on page 56, the Australian Government identified new Strategic Research Priorities

(SRPs) for government-funded research (replacing previous National Research Priorities).– priorities were announced for the Industrial Transformation Research Program:

manufacturing, food and agriculture, oil and gas, including petroleum, mining and mining services, and medical devices and biotechnology.

PerformanceKey Performance Indicator 4: ARC-supported research makes a significant contribution to research activity and capability in areas of national need (KPI 2.4 in ARC strategic plan)

MEASURE 9 PROPORTION OF FUNDED PROPOSALS THAT ADDRESS THE NATIONAL RESEARCH PRIORITIES (NRPS)



2012–13: 98.1 per cent

2011–12: 97.1 per cent

Almost 98 per cent of new proposals funded under the Linkage Program in 2013–14 indicated that their research was relevant to at least one of the Australian Government’s four national research priority areas. The proportion of funded proposals indicating that the research is relevant to at least one national research priority area has remained steady over the last four years.

Over 40 per cent of new projects funded in 2013–14 addressed the National Research Priority— frontier technologies for building and transforming Australian industries—including two-thirds of the new ARC Centres of Excellence. Approximately one fifth, one quarter and one tenth of new projects funded in 2013–14 respectively address the Environment, Health and Security National Research Priorities. Less than 2.5 per cent of projects did not address one of the National Research Priorities.

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MEASURE 10 EVIDENCE OF IMPACT IN NATIONAL RESEARCH PRIORITY AREAS

Target Examples of impact in NRP areas


2012–13: Met

2011–12: Met

Support provided by the ARC in past years has contributed to new knowledge and outcomes for the community in each of the four priority areas nominated by the government. Examples of these contributions are highlighted in the case studies in Chapter 3.

Professor Aidan Byrne, ARC CEO, and The Hon Christopher Pyne MP, Minister for Education, with the Juvenile Diabetes Research Foundation youth advocates at the funding outcomes announcement for the Special Research Initiative for Type 1 Juvenile Diabetes.

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OBJECTIVE—TO SUPPORT LARGE-SCALE COLLABORATIVE INITIATIVESDescriptionUnder the Linkage Program, the ARC funds large scale collaborative research programs including centres, hubs and networks.

– In 2013–14 the ARC finalised the outcomes of:– the ARC Centres of Excellence selection round for funding commencing in 2013–14– three selection rounds conducted under the Industrial Transformation Research Program– funding under two new special research initiatives announced in the 2014–15 budget.

Performance

New research projects commencing in 2013–14

ARC Centres of Excellence

In 2013–14 the ARC completed a selection round for ARC Centres of Excellence for funding commencing in 2014. Through the ARC, the Australian Government awarded $285.0 million over seven years to 12 new ARC Centres of Excellence. The 12 Centres of Excellence will support at least 176 researchers across 18 Australian universities and will collaborate internationally as well as with local industry, government and community groups.

– ARC Centre of Excellence for Children and Families over the Life Course, The University of Queensland

– ARC Centre of Excellence in Convergent Bio-Nano Science and Technology, Monash University

– ARC Centre of Excellence for the Dynamics of Language, The Australian National University– ARC Centre of Excellence for Electromaterials Science, University of Wollongong– ARC Centre of Excellence for Integrated Coral Reef Studies, James Cook University– ARC Centre of Excellence for Integrative Brain Function, Monash University– ARC Centre of Excellence for Mathematical and Statistical Frontiers of Big Data, Big Models,

New Insights, The University of Melbourne– ARC Centre of Excellence for Nanoscale BioPhotonics, The University of Adelaide– ARC Centre of Excellence in Plant Energy Biology, The University of Western Australia– ARC Centre of Excellence for Robotic Vision, Queensland University of Technology– ARC Centre of Excellence for Translational Photosynthesis, The Australian National

University

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Industrial Transformation Research Program

The first round under the Industrial Transformation Research Hubs scheme in 2013–14 funded three hubs in research areas that will advance Australia’s manufacturing industries. The second round funded seven new hubs to underpin Australia’s future in manufacturing, food and agriculture, oil and gas (including petroleum), mining and mining services, and medical devices and biotechnology. Together the ten hubs will support 117 researchers and involve collaborations between 16 Australian universities and 43 industry partner organisations. Total funding for the hubs from the ARC is $34.6 million over five years, with industry partners contributing a further $55.7 million in cash and in-kind financial support.

Round 1– ARC Research Hub for Australian Steel Manufacturing, University of Wollongong – ARC Research Hub for Bioprocessing Advanced Manufacturing, Monash University– ARC Research Hub for Transforming Australia’s Manufacturing Industry through High Value

Additive Manufacturing, Monash University

Round 2– ARC Research Hub for Advanced Breeding to Transform Prawn Aquaculture, James Cook

University– ARC Research Hub for Advanced Technologies for Australian Iron Ore, The University of

Newcastle– ARC Research Hub for Australian Copper-Uranium, The University of Adelaide– ARC Research Hub for Basin GEodyNamics and Evolution of SedImentary Systems

(GENESIS), The University of Sydney– ARC Research Hub for Genetic Diversity and Molecular Breeding for Wheat in a Hot and Dry

Climate, The University of Adelaide– ARC Research Hub for Transforming the Mining Value Chain, University of Tasmania– ARC Research Hub for Transforming Waste Directly in Cost-Effective Green Manufacturing,

The University of New South Wales

The 2014 round of Industrial Transformation Training Centres awarded $15.7 million over three years to seven training centres that will address research areas vital to the future of Australia’s food and manufacturing industries. The centres will also encourage close partnerships between university researchers and industry, with eight Australian universities collaborating with over 40 industry partner organisations.

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– ARC Training Centre for the Australian Food Processing Industry in the 21st Century; The University of Sydney

– ARC Training Centre in Biodevices; Swinburne University of Technology– ARC Training Centre for Food and Beverage Supply Chain Optimisation; The University of

Newcastle– ARC Training Centre for Functional Grains; Charles Sturt University– ARC Training Centre for Innovative Horticultural Products; University of Tasmania– ARC Training Centre for Portable Analytical Separation Technologies; University of

Tasmania– ARC Training Centre for Transforming Australia’s Naval Manufacturing Industry; University of

Tasmania

Special Research Initiatives

Two new initiatives were funded under the Special Research Initiative scheme–the Special Research Initiative for Tropical Health and Medicine and the Special Research Initiative for Type 1 Juvenile Diabetes.

The Special Research Initiative for Tropical Health and Medicine provided $42 million of funding over four years to build Australia’s research capacity in tropical health and biomedical sciences. The initiative represents the Government’s electoral commitment for ‘Boosting Front Line Healthcare and Research’ by funding the Institute of Tropical Health and Medicine at James Cook University. The successful Initiative, led by the Administering Organisation and involving researchers with track records in quality research outcomes and coordinating team-based cross-disciplinary projects, will ensure that our citizens have the best possible treatments for tropical health matters.

The Special Research Initiative for Type 1 Juvenile Diabetes provided $35 million for the creation of national collaborative research network to with a core function of significant progress towards finding a cure for Type 1 Juvenile Diabetes. The Program will be a national collaborative network, led by the Administering Organisation, the Juvenile Diabetes Research Foundation (JDRF) and involve researchers with track records in quality research outcomes and coordinating team-based cross-disciplinary projects. The network’s core function will include significant progress towards finding a cure for Type 1 Juvenile Diabetes, which affects many Australian children.

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Research projects receiving ongoing funding in 2013–14

Special Research Initiatives scheme

In 2010 the ARC awarded $50 million to two Australian research teams to develop a bionic eye under the ARC’s Research in Bionic Vision Science and Technology Initiative. Following an independent review in 2013 that found both research teams had made exceptional advances, the ARC awarded an additional $10 million to the research teams to continue their ground-breaking work into 2014. The two teams are working on different methods to develop bionic vision, each focusing on a different type of blindness. The Monash Vision Group is developing a device to implant on the visual cortex of the brain, providing treatment for progressive blindness. Bionic Vision Australia is developing technology that implants a device in the rear of the eye to enable vision to blind patients suffering from degenerative retinal conditions.

Stem Cells Australia was awarded $21 million over seven years in July 2011 to build Australia’s capacity to conduct stem cell research. In 2013–14 Stem Cells Australia made technological advances producing new insights into bone repair and remodelling. They also continued to be involved in international collaborations using stem cells to create new ways to understand diseases and test new drugs.

The ARC awarded $25 million under the Special Research Initiative in Synchrotron Science in 2012 to support access to the Australian Synchrotron over four years. The Australian Synchrotron is the largest stand-alone piece of scientific infrastructure in the southern hemisphere and can be used by almost any industry across a wide-range of research fields to study the most precise nature of any biological or industrial material. Research highlights in 2013–14 include contributing to the research that led to the 2013 Nobel Prize for Physics being awarded for the theoretical predication of the Higgs boson, and a young synchrotron researcher developing the first 4D lung x-ray. Case studies highlighting Australian Synchrotron research can be found in Chapter 3, pages 23 and 36.

The National Indigenous Research and Knowledges Network (NIRAKN) was awarded $3.2 million over four years under the Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network in 2012. The Network brings together 44 Aboriginal and Torres Strait Islander researchers from 21 Australian universities and across many research disciplines to facilitate collaborative and innovative approaches to research and research training, and to build the capacity of indigenous Australian researchers to undertake and lead high quality research at all career stages. Further information on the activities of NIRAKN in 2013–14 can be found in the case study on page 30.

In May 2013 the ARC awarded $16 million over four years to establish a new Science of Learning Research Centre at the University of Queensland and involving six other Australian universities, nine partner organisations and the Australian Council for Educational Research. Further information on the activities of Science of Learning Research Centre in 2013–14 can be found in the case study on page 30.

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Co-funded research centres– The ARC and the Grains Research and Development Corporation jointly committed

$47.8 million to fund the Australian Centre for Plant Functional Genomics (ACPFG) from 2002 until the end of 2014. ACPFG has four nodes located around Australia at The University of Adelaide, The University of Melbourne, The University of Queensland and the University of South Australia. In 2013–14 researchers at the centre continued to investigate and develop techniques to improve the resistance of wheat, barley and other crops to hostile environmental conditions such as drought salinity and mineral deficiencies or toxicities. The centre also announced their involvement in a number of international projects to assist global food security, health and production including:

– the European EURoot research project which aims to enhance the performance of cereal plants under stress conditions

– a partnership with the United States Agency for International Development and India-based Vibha Agrotech to develop new climate-resilient varieties of rice and wheat

– a project with World Vision Australia and the International Food Policy Research Institute to produce high value and micronutrient-enriched rice grain.

– The National Centre for Groundwater Research and Training (NCGRT) was established in June 2009 as a joint funding initiative between the ARC and the National Water Commission (NWC). The ARC and the NWC committed up to $29.5 million to the centre over five years. In 2013–14 the centre contributed to the development of Australia’s new National Groundwater Strategy and released a report on the economic value of groundwater in Australia. International collaboration activities undertaken by the centre in 2013–14 included:

– hosting a number of international meetings and conferences, including the International Association of Hydrogeologists Congress in Perth and the 20th International Congress on Modelling and Simulation in Adelaide

– contributing to the UNESCO-led discussions on a Global Framework for Action to protect the Earth’s imperilled groundwater resources

– cementing a partnership with the Australian Water Association and the US National Ground Water Association to deliver training and courses in conjunction.

National ICT Australia (NICTA) is jointly funded by the ARC and the Department of Communications, providing a total of $606.5 million in funding over 15 years (2002–16). NICTA was established in 2002 to build capacity and strengthen investment in strategic information and communications technology research in Australia and is currently Australia’s largest organisation dedicated to ICT research. In 2013–14 NICTA researchers developed a new approach to optimising bus operations in Canberra, reducing travel times by one third and costing less than the current system, and developed the first truly scalable and accurate evacuation planning and scheduling system. A number of NICTA researchers also won awards for their research.

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LINKAGE RESEARCH COMMENCING IN 2013–14, INDUSTRIAL TRANSFORMATION RESEARCH HUBSIndustrial Transformation Research Hubs support Australia’s best researchers to engage in cutting edge research on new technologies and economic and social transformation. The scheme supports collaborative research initiatives between the Australian higher education sector and industry to achieve strategic outcomes. The ten hubs funded in 2013–14 addressed research in the areas of manufacturing, food and agriculture, oil and gas (including petroleum), mining and mining services, and medical devices and biotechnology. Two hubs are highlighted below.

ARC Research Hub for Advanced Technologies for Australian Iron Ore

The ARC Research Hub for Advanced Technologies for Australian Iron Ore will be based at The University of Newcastle and will bring together three areas of research strength at the University—beneficiation, raw materials handling and iron ore utilisation. The collaboration aims to address the complex issues that arise from different iron ore types that have emerged in recent years and, if successful, the outcomes should benefit the entire industry.

The Hub will engage with mining organisations, companies and equipment manufacturers with the aim of establishing new Australian iron ore separation and handling techniques and supporting the use of Australian ores.

ARC Research Hub for Genetic Diversity and Molecular Breeding for Wheat in a Hot and Dry Climate

Wheat production is worth over $5 billion annually to the Australian economy and wheat is one of the most important sources of protein and carbohydrate in the human diet. The Hub, which will be established at The University of Adelaide, will bring together the Australian Centre for Plant Functional Genomics (ACPFG) and the Grains Research and Development Corporation as well as wheat breeding companies to deliver advanced technologies, breeding material and information to produce new varieties of wheat that are tolerant to stressful environments.

Hub Director, Associate Professor Sigrid Heuer says the Hub has been awarded at an ideal time to take advantage of a decade of work by ACPFG. ‘This is really wrapping up many years of research and trying to put it into practice now. A lot of work went into developing heat and drought tolerance, and we feel we have a lot to pass on to the breeders already.’

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Photo: Professor Kevin Galvin, Director of the Hub for Advanced Technologies for Australian Iron Ore with a Reflux Gravitron for beneficiating fine particles.

Photo: The Executive members of the ARC Centre of Excellence for Children and Families over the Life Course, July 2014: (L to R) Professor Janeen Baxter, Professor Mark Western, Professor Deborah Cobb-Clark and Professor Stephen Zubrick.

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LINKAGE RESEARCH COMMENCING IN 2013–14, ARC CENTRES OF EXCELLENCEARC Centres of Excellence are prestigious foci of expertise through which high-quality researchers collaboratively maintain and develop Australia’s international standing in research areas of national priority. The centres involve significant collaboration which allows the complementary research resources of universities, publicly funded research organisations, other research bodies, governments and businesses to be concentrated and support outstanding research.

ARC Centre of Excellence for Children and Families over the Life Course

Family background plays a central role in determining the adult outcomes of young people in Australia. Social disadvantage concentrates in low income communities and specific subgroups of the population, and is highly likely to reproduce in families across generations. The growing divide between high and low income earners has become a crucial factor determining life chances, and is one of the top risks facing Australia over the next few decades, as social disadvantage has far-reaching human, social and economic costs.

It is in this context that the new ARC Centre of Excellence for Children and Families over the Life Course (Life Course Centre) has emerged. Centre Director Professor Janeen Baxter states ‘It is essential that we understand how such disadvantage is produced and reproduced in contemporary Australia. The Life Course Centre aims to further existing knowledge about the mechanisms driving social disadvantage in Australia and gather necessary research evidence to guide and inform future policies aimed at preventing its emergence and transmission.’

ARC Centre of Excellence for Robotic Vision

Robots cannot currently understand their environment using the sense of vision and it is this missing capability that currently prevents robots from performing useful tasks in the complex, unstructured and dynamically changing environments in which we live and work. The ARC Centre of Excellence for Robotic Vision will deliver the breakthrough science and technologies to create a new generation of robots that can visually sense and understand complex and unstructured real-world environments. Robotic automation has transformed manufacturing, household cleaning and will soon transform the car. The work of this Centre will increase the application of technology in agriculture, smart manufacturing, construction and remote inspection and monitoring.

Professor Peter Corke, the Centre Director explains, ‘The technology to build the mechanical vehicles and robotic devices for these applications is available. The remaining technological roadblock is the ability to perceive and thereby adapt to the environment, and to seamlessly integrate perception with action.’

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CHAPTER 6 EXCELLENCE IN RESEARCH FOR AUSTRALIA

Stephanie Villeneuve, a research associate at the National Centre for Groundwater Research and Training, is measuring water quality.

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DESCRIPTION Excellence in Research for Australia (ERA) evaluates the quality of the research conducted at Australian universities in all research disciplines (including medical and health sciences).

– ERA 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. Specifically, 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

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

ERA is an ongoing Australian Government program. The ARC conducted a trial in 2009 and has now completed two full rounds of evaluation in 2010 and 2012. In December 2012, the previous government announced a further round of ERA would be conducted in 2015.

Influences on performance in 2013–14– Key ERA Program developments during 2013–14 included: – the ongoing program of consultation with relevant stakeholders, primarily universities– the continued focus on improving ERA processes for ERA 2015.

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SUMMARY OF PERFORMANCE 2013–14 performance is summarised in Table 6.1.

Table 6.1: Excellence in Research for Australia, performance summary

PERFORMANCE PAGE

Deliverables

Preparation for the ERA 2015 evaluation Achieved 87

Provide ongoing policy advice on broader research matters related to the measurement of research quality

Achieved 87


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

Target met 89

ERA results continue to inform other higher education research policy initiatives

Target met 90

Universities continue to engage with the ARC about changes to ERA for the next evaluation

Target met 90

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DELIVERABLES Through ERA the ARC delivers a national evaluation of the quality of research undertaken in Australia’s universities. As ERA evaluations are conducted periodically, deliverables are specific to each year. The 2013–14 deliverables reflect the preparatory phase for the 2015 round of ERA.

Table 6.2: Excellence in Research for Australia, deliverables

DELIVERABLE RESULT

Preparation for the ERA 2015 evaluation Preparations for ERA 2015 are well advanced and key milestones have been met.

Provide ongoing policy advice on broader research matters related to the measurement of research quality

The ARC has provided ongoing policy advice to a range of government stakeholders on issues related to the ERA process and outcomes.

Preparation for the ERA 2015 evaluation– In 2013–14 the ARC undertook an extensive review of ERA 2012 and consulted with the

university sector to prepare for ERA 2015. Two major public consultations were undertaken in 2013–14 on the:

– draft ERA 2015 Submission Documentation, including an outline of key proposed changes for ERA 2015.

– draft ERA 2015 Journal and Conference Lists, defining which outlets are scholarly, peer reviewed, publish original research and are eligible for ERA 2015 submissions.

No ERA Research Evaluation Committees were convened in 2013–14, but preparations for the recruitment of committee members for ERA 2015 commenced.

Policy adviceDuring 2013–14 the ARC used ERA information to provide ongoing policy advice to government, including to the Department of Education, the Department of Industry, the Chief Scientist and other government stakeholders.

The results from ERA 2010 and ERA 2012 provide detailed information about the research landscape in the Australian university sector. Data on research outputs (including books, journal articles, conference papers and other non-traditional research outputs) submitted for ERA cover a six year reference period.

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OBJECTIVE—TO IMPROVE RESEARCH OUTCOMES BY IDENTIFYING UNIVERSITIES AND DISCIPLINES THAT ARE INTERNATIONALLY COMPETITIVEDescriptionERA collects a wide variety of indicators for evaluating research quality, research application and esteem measures. Outcomes of each ERA round are published in a national report. In addition to the national report, the ARC uses data collected through ERA to analyse research activity relating to specific areas of research.

The evaluations are conducted by ERA Research Evaluation Committees. The committees comprise distinguished and internationally-recognised researchers with expertise in research evaluation. Their judgements are informed by a range of indicators as well as more traditional measures of quality, such as citation analysis and peer review.

Committees are responsible for determining the rating given for each discipline in Australia’s higher education institutions. Committees use the ERA information to determine ratings for a unit of evaluation (UoE). A UoE is a discipline area within a university.

– The ERA rating scale is from 1 to 5, where:– a rating of 1 is for research that is well below world standard– a rating of 2 is for research that is below world standard– a rating of 3 is for research that is at world standard– a rating of 4 is for research that is above world standard– a rating of 5 is for research that is well above world standard.

ERA methodology requires universities to submit comprehensive information about their research activities, including: information about staff; research publications; awards; grants; patents; and commercial income. Using the information provided, committees of internationally recognised experts make judgements about the quality of Australian research relative to world standards. Reports of previous ERA rounds have provided assurance about the quality of Australian university research against world benchmarks.

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PerformanceKey Performance Indicator 1: Contribution to best practice evaluation of Australia’s research investment in universities (KPI 3.1 in ARC strategic plan)

MEASURE 1 EVIDENCE OF CONTRIBUTION TO BEST PRACTICE EVALUATION OF RESEARCH INVESTMENT

Target Examples of contribution to best practice

Result Achieved TARGET MET

To ensure that ERA 2015 is conducted as a best practice evaluation of university research, during 2013–14 the ARC undertook extensive preparation and consultations with the sector.

The previous ERA rounds, conducted by the ARC in 2010 and 2012, used sophisticated methodology to determine ratings given to the Unit of Evaluation in each university. As outlined in the description, committees of internationally recognised experts used information derived from citation analysis or peer review to make their judgements. The robustness of the ERA methodology used in ERA 2010 and ERA 2012 has been recognised internationally. An Organisation for Economic Cooperation and Development (OECD) report noted that ERA’s use of expert review informed by metrics to evaluate quality and promote excellence in research was ‘state of the art’ (Performance-based Funding for Public Research in Tertiary Education Institutions, OECD 2010).

– To prepare for ERA 2015, the ARC built on the methods used in ERA 2010 and ERA 2012. Preparations undertaken by the ARC in 2013–14 were aimed at ensuring the ERA framework continues to be consistently applied. For example, to allow for comparison of 2015 results to previous rounds, the ARC has ensured:

– the length of the reference periods applied to research outputs and other indicators will be consistent with ERA 2012 and ERA 2010

– key data and evaluation methodologies will be consistently applied across ERA rounds. – In addition, the ARC identified possible improvements following further internal analysis and

sector consultation. Possible improvements canvased included:– reintroducing conference list (no ranking) – introducing a book publisher list (for data streamlining and collection only) – including a new research output type: Research Report for an External Body – requesting gender data (not for evaluation) – Open access repository (not for evaluation) – requiring that peer review research outputs must be in an ERA repository – changing staff eligibility to 0.4 full-time equivalent (FTE) or less (publication association

required) – conducting a conference citation trial (for selected fields of research only) – providing a peer review dashboard to participating organisations.

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Key Performance Indicator 2: ERA results continue to inform other higher education research policy initiatives (KPI 3.2 in ARC strategic plan)

MEASURE 2 EVIDENCE OF IMPACT OF POLICY ADVICE IN HIGHER EDUCATION INSTITUTIONS AND ACROSS GOVERNMENT

Target Examples of impact of policy advice and an improved capacity for the ARC to contribute to the national innovation agenda


In 2013–14 ERA information was used to provide advice to the government on a range of university research related issues and inform higher education research funding.

For example, ERA 2012 results were used by the Sustainable Research Excellence in Universities (SRE) scheme to moderate the SRE Threshold 2 funding to universities for 2014. The SRE scheme, administered by the Department of Education, provides block grants on a calendar year basis to eligible higher education providers to assist with the indirect cost of research activities. More information about the SRE scheme is available on the Department of Education website.

Key Performance Indicator 3: Universities continue to engage with the ARC about changes to ERA for the next evaluation (KPI 3.3 in ARC strategic plan)

MEASURE 3 SECTOR CONSULTATION CONTRIBUTES TOWARDS FUTURE DEVELOPMENT OF ERA PROCESSES AND POLICY FOR ERA 2015

Target Improved process and policy for ERA 2015


During 2013–14 the ARC received extensive input from stakeholders during public consultations on draft documentation for ERA 2015.

The ARC invited comment on the draft ERA 2015 Submission Documentation, which included an outline of key proposed changes for ERA 2015. The draft Submission Documentation underwent public consultation from 10 January to 14 February 2014. The ARC received 72 responses to the draft ERA 2015 Submission Documentation consultation. A range of stakeholders provided responses including: universities; peak bodies; discipline groups; other organisations and individuals. Of the 72 responses, 35 were from the universities who participate in ERA, representing the majority of the university sector (35 out of 41 ERA eligible institutions).

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Between 3 February and 21 March 2014 the ARC invited comment on the Draft ERA 2015 Journal List and Conference List. The journal and conference lists form an integral part of the ERA submission process, defining outlets that are scholarly; peer-reviewed; publish original research; and which are eligible for ERA 2015 submissions. For the Draft ERA 2015 Journal List and the Draft ERA 2015 Conference List consultations, the ARC received: 6557 journal comments; 2896 new journal recommendations; 813 conference comments; and 1501 new conference series recommendations.

Additional consultation with university sector stakeholders was undertaken by the ARC to determine which journals and conferences met the eligibility criteria for inclusion in ERA 2015 lists.

Universities, individual academics, discipline groups and peak bodies provided a range of feedback and suggestions during the two consultations. More than 3000 users registered to provide feedback on the journal and conference lists.

The ARC’s strong commitment to consult with stakeholders to inform the ERA 2015 evaluation process constructively engaged stakeholders with proposed changes to submission requirements and resulted in the ARC receiving extensive and on-going input to the draft documentation.

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Professor Peter Taylor (L) and Professor Lloyd Hollenberg (R), Australian Laureate Fellows at The University of Melbourne.Photo courtesy of Peter Casamento.

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PART 3 MANAGEMENT AND ACCOUNTABILITYCHAPTER 7: CORPORATE GOVERNANCE 94

A statement of the structures and processes the ARC has in place to implement the principles and objectives of corporate governance

CHAPTER 8: EXTERNAL SCRUTINY 113Information on developments in external scrutiny and other mandatory reporting requirements

CHAPTER 9: PEOPLE MANAGEMENT 118An assessment of the ARC’s effectiveness in managing and developing its staff to achieve its objectives

CHAPTER 10: PURCHASING, CONSULTANTS AND ASSET MANAGEMENT 125An assessment of the ARC’s performance in relation to purchasing, use of consultants and assets management

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CHAPTER 7 CORPORATE GOVERNANCE

Professor Vaughan Macefield (L) and Professor Kenny Kwok (R), University of Western Sydney, are investigating human comfort and performance in tall buildings. Photo courtesy of Sally Tsoutas.

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DESCRIPTION– In 2013–14 the ARC continued to maintain a robust corporate government framework to

support delivery of its program. Key elements of the framework included:– a well defined governance structure– comprehensive planning and reporting arrangements– well development arrangements for monitoring financial and service delivery– sound risk management practices– strong framework of standards for ethical conduct– commitment to engage stakeholders where appropriate– monitoring of performance against service charter and complaints.

GOVERNANCE STRUCTUREPortfolioUnder the amended Administrative Arrangements Order issued by the Governor-General on 18 September 2013, the ARC was appointed to the Education portfolio. The Hon Christopher Pyne MP (the Minister) was appointed Minister for Education. Prior to the amendment, the ARC was part of the Industry portfolio.

Legislation The ARC is established as an independent body under the Australian Research Council Act 2001 (ARC Act). In 2013–14 the ARC was also a prescribed agency under the Financial Management and Accountability Act 1997 and subject to the Public Service Act 1999.

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

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

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

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

There were no Ministerial directions issued to the ARC during 2013–14. The Minister wrote to the CEO in April 2014 about his expectations of the ARC in relation to the Government’s deregulation agenda. Information about the ARC’s contribution to the Government’s deregulation agenda is provided on the page 97.

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Public Governance, Performance and Accountability Act 2013

The Public Governance, Performance and Accountability Act 2013 (PGPA Act) received Royal Assent on 29 June 2013 and came into effect on 1 July 2014. The PGPA Act aims to establish a coherent approach to the use and management of public resources and support greater efficiencies for Commonwealth entities.

– It is based on the following principles:– government should operate as a coherent whole– a uniform set of duties should apply to all resources handled by Commonwealth entities– performance of the public sector is more than financial– engaging with risk is a necessary step in improving performance.

From 1 July 2014 Financial Management and Accountability Act 1997 (FMA Act) agencies and Commonwealth Authorities and Companies Act 1997 (CAC Act) bodies will be governed by the PGPA Act. Consequent changes required of agencies, include: updating the sources of authority in internal controls and financial delegations; ensuring risks are actively managed through effective internal systems and controls; and complying with general duties that apply to all officials. The PGPA Act will be supported by rules and guidance to assist Commonwealth entities to manage public resources. Some rules and guidelines, such as the property framework and financial reporting, will not change immediately but others, such as the procurement framework, the Commonwealth Procurement Rules and the Commonwealth Grants Rules and Guidelines changed in early July 2014.

– In 2013–14 the ARC commenced preparations for the transition from the FMA Act to the PGPA Act by:

– attending Whole of Australian Government meetings and forums on the implementation of the PGPA Act and keeping abreast of the information on the Public Management Reform Agenda website

– reviewing and identifying changes required to terminology, internal controls and documentation, including the Audit Committee Charter, Financial Delegations, Chief Executive’s Instructions (CEIs) and the ARC’s standard contract templates, as well as policies and procedures regarding risk management, fraud control, travel, hospitality, the use of corporate credit cards and conflict of interest

– promoting awareness of the changes to staff including via regular updates in all staff communications and in the ARC’s internal newsletter, an intranet page dedicated to the introduction, the display of PGPA Act implementation posters throughout the ARC.

The ARC will continue to review and update internal controls and its policy and procedure documents in 2014–15 in line with the approval and release of the final set of PGPA Rules and Model Accountable Authority Instructions and any further guidance, as it becomes available.

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ARC contribution to the government’s deregulation agenda The Government’s deregulation agenda aims to reduce unnecessary red tape costs on individuals, businesses and community organisations. It applies to any mandatory obligations imposed by legislation, regulations, or quasi regulations. This includes statutory instruments, standards, codes of practice, or any other aspect of regulator behaviour that has a measurable cost burden on business or individuals.

– Elements of the Government’s Deregulation Agenda include: – a committment to cutting the burden of red and green tape by a net $1 billion a year– the establishment of Deregulation Units in each portfolio to implement the deregulation

agenda– the conduct of audits of the regulatory footprint within each portfolio.

Implementation of the Government’s deregulation agenda across the whole of government is coordinated by the Office of Deregulation, within the Department of the Prime Minister and Cabinet.

Letter of expectations

The Minister wrote to the CEO in April 2014 about his expectations of the ARC in relation to the Government’s deregulation agenda. These were that the ARC would actively minimise the regulatory burden on the research sector by: being transparent and accountable in decision making, maximising clarity and transparency in approaches, processes and communication, and taking a risk based approach to compliance where appropriate.

Government-wide stocktake and audit of regulations

The ARC is contributing to the government-wide stocktake and audit of regulations. In 2013–14, as part of Phase 1 of this process, the ARC identified all regulations administered under its programs, their estimated compliance requirements and opportunities for reform. The overall regulatory burden of these programs was assessed independently as being medium.

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Senior staff responsibilities

Executive staff

Professor Aidan Byrne, Chief Executive Officer

The CEO has the following functions under the ARC Act: to make recommendations to the Minister on which proposals should be approved for funding; to administer the financial assistance for research provided through the NCGP; to provide advice to the Minister on research matters; any other functions conferred on the CEO by this or any other Act. Professor Byrne also has statutory responsibilities for managing and leading the agency in accordance with the requirements of relevant legislation.

Ms Leanne Harvey, Executive General Manager

The Executive General Manager (EGM) is responsible for the Research Excellence Branch and the Corporate Services Branch. The Research Excellence Branch comprises three sections: Program Evaluation; Research Analysis; and Research Evaluation. The branch administers Excellence in Research for Australia (ERA) and undertakes program evaluation. The Corporate Services Branch comprises four sections: Finance; Legal Services; People and Services; and Stakeholder Relations and Parliamentary. The branch undertakes finance and legal functions; people management; property and facilities management; delivery of corporate communications, media relations and publications activities; and ministerial and parliamentary liaison.

Dr Terry Bowditch, BRANCH Manager, Strategy Branch

The Branch Manager, Strategy Branch is responsible for the Policy and Governance and Policy and Integrity sections of the ARC. The Strategy Branch undertakes policy development and advice; coordinates the agency’s strategic and operational planning and performance reporting; NCGP data analysis; secretariat support to the ARC Advisory Council, Australian Research Integrity Committee and ARC Audit Committee; and coordination of ARC’s risk management and internal audit activities.

Dr Fiona Cameron, Executive Director, Biological Sciences and Biotechnology

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

Professor Denise Meredyth, Executive Director, Humanities and Creative Arts

Professor Meredyth is responsible for oversight of the Australian Laureate Fellowships funding scheme. In addition she has particular responsibility for discipline activities in the humanities and creative arts.

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Professor Marian Simms, Executive Director, Social, Behavioural and Economic Sciences

Professor Simms is responsible for oversight of the Discovery Indigenous and Discovery Projects funding schemes. In addition she has particular responsibility for discipline activities in the social, behavioural and economic sciences.

Professor Brian Yates, Executive Director, Engineering, Mathematics and Information Sciences

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

Senior staff

Dr Laura Dan, Chief Program Officer

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

Ms Julija Deleva, Chief Financial Officer

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

Ms Trish Leahey, Chief Information Officer

The Chief Information Officer is responsible for the two sections of the Information and Communications Technology (ICT) Services Branch: Applications and Operations. The ICT Services Branch is responsible for the development and ongoing maintenance of in-house ICT applications supporting delivery of the NCGP and ERA, as well as other ICT functions.

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Committees The ARC has a number of governance committees and a number of committees that assist with the delivery of the NCGP and ERA. Committee membership information is provided in Part 5, Appendix 4.

Governance

ARC Advisory Council

Under section 4 of the ARC Act, the Minister may establish a committee or committees to assist in carrying out the functions of the CEO. The ARC Advisory Council is the ARC’s only designated committee. It is established to provide advice to the Chief Executive Officer (CEO) about strategic issues relating to the mission of the ARC, including: strategic planning; policy matters relating to innovation, research and research training; and matters relating to the evaluation of the quality and outcomes of research and research training in an international context.

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

During 2013–14 the council met on three occasions. The members discussed and provided advice on a range of issues, including: development of the ARC strategic plan; NCGP requirements; ERA processes; and ARC policies (for example, open access).

ARC Advisory Council members: (Back L to R) Professor Peter Buckskin, Professor Aidan Byrne, Professor Suzanne Miller, Professor Attila Brungs, Professor Stephen Garton. (Front L to R) Dr Leigh Farrell, Professor Sandra Harding, Professor Sue Thomas, Professor Paul Johnson.

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Audit Committee

The ARC Audit Committee provides the CEO with independent assurance on the risk, control and compliance framework of the ARC under the FMA Act and undertakes financial statement responsibilities. It also provides a forum for communication between the CEO, senior staff and the Auditor-General. During 2013–14 the committee met five times.

Senior Management Group

The Senior Management Group (SMG) provides advice and direction on strategic and operational issues and coordinates activities across the agency. SMG comprises the CEO; EGM; Branch Manager, Strategy; Chief Financial Officer, Chief Information Officer and Chief Program Officer. SMG meetings are scheduled fortnightly. Observers may be invited to assist the committee on matters under consideration.

Other committees– Other governance committees in place as at 30 June 2014 included:– ARC Security Committee– Business Continuity Plan Committee– DELTA Project Board– ICT Change Control Committee– ICT Governance Committee– People Management and Development Committee – Salary Review Committee– Work Health and Safety Committee.

National Competitive Grants Program

ARC College of Experts

The ARC College of Experts plays a fundamental role in identifying research excellence, moderating external assessments and recommending fundable proposals. Members also help recruit and assign assessors, and implement peer review reforms in established and emerging disciplines as well as interdisciplinary areas. The members are appointed by the CEO across five discipline groups for up to three years.

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

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In November 2013, following a competitive selection process, the ARC appointed 51 new members to the ARC College of Experts to participate in deliberations for 2014 onwards. When appointing new members, the ARC considered the expanding research areas of grant proposals, gender balance, institutional affiliations and state/territory representation.

The 2014 ARC College of Experts comprises 158 experts of international standing drawn from the Australian research community—from higher education, industry and public sector research organisations.

Appeals Committee

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

In 2013–14 the committee met twice to consider nine appeals received by the ARC in relation to NCGP proposals across the Discovery Projects, Linkage Infrastructure, Equipment and Facilities and Linkage Projects schemes. Of these, one appeal was upheld.

Scrutiny Committee

The ARC Scrutiny Committee scrutinises the probity of ARC assessment processes in relation to funding proposals involving members of the ARC College of Experts and/or ARC staff. On completion of the process, the committee reports its findings and recommendations to the CEO. The committee consists of external members appointed by the CEO annually. The committee met once during 2013–14.

Selection Advisory Committees

The ARC convenes Selection Advisory Committees (SACs), comprising a group of experts appointed to assist the ARC to evaluate proposals and provide recommendations for funding, under some ARC schemes. In 2013–14 SACs assessed proposals for funding under the Australian Laureate Fellowships; ARC Centres of Excellence; Special Research Initiatives, Learned Academies Special Projects and Industrial Transformation Research Program schemes.

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Excellence in Research for Australia

The ARC establishes ERA Research Evaluation Committees (RECs) to evaluate research at Australian higher education institutions by discipline. The committees comprise distinguished and internationally-recognised researchers with expertise in research evaluation. No ERA RECs were convened in 2013–14 as it was not an evaluation year.

Australian Research Integrity Committee

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

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

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

In 2013–14 members of the ARIC were jointly reappointed by the CEO’s of the ARC and NHMRC for a second three-year term. Members included: Mr Ron Brent (Chair); Dr Kerry Breen; Ms Julie Hamblin; and Emeritus Professor Sheila Shaver.

During 2013–14 the ARC received two requests for review to be undertaken by ARIC. ARIC provides findings and, where relevant, recommendations to the CEO of the ARC. Annual, de-identified reports are also provided to the CEO on all activities of the committee. Details of ARIC investigations are not made publicly available.

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PLANNING AND REPORTING ARRANGEMENTSStrategic plan The ARC Act requires the CEO to prepare a strategic plan each year that sets out the goals, priorities, policies and strategies to be adopted by the ARC to achieve its objectives. The strategic plan includes performance indicators which will be used to evaluate the ARC’s performance in meeting its objectives in the following year.

The ARC Strategic Plan for 2013–14 to 2015–16 was tabled in The Parliament of Australia on 25 June 2013. The plan comprised three program goals based on the Discovery, Linkage and Excellence in Research for Australia programs; and included four enabling goals based on the provision of high quality advice to the Australian Government, effective engagement with national and international stakeholders, efficient and effective program delivery and improving organisational capability.

Operational planEvery year the ARC prepares an internal operational plan to support the strategic plan. The ARC Operational Plan 2013–14 details the actions undertaken by the ARC to address the objectives and priorities outlined in the strategic plan. Each section of the ARC provides input into the operational plan and a progress report is produced quarterly to monitor progress of the actions, and provided to SMG for endorsement.

Portfolio Budget StatementsThe Portfolio Budget Statements (PBS) are used to inform Senators and Members of Parliament of the proposed allocation of resources to Australian Government outcomes by agencies within the portfolio. In 2013–14 the ARC was included as a separate agency within the Portfolio Budget Statements 2013–14, Budget Related Paper No. 1.12, Industry, Innovation, Climate Change, Science, Research and Tertiary Education Portfolio.

Annual report The annual report is the main instrument through which the ARC reports to the Parliament of Australia (Parliament). In accordance with the ARC Act, at the end of each financial year the CEO prepares an annual report. The annual report provides an overview of the ARC’s activities and performance against the performance indicators in the strategic plan and the PBS for that year.

The annual report must meet the requirements set out in the Requirements for Annual Reports, and be tabled in Parliament in accordance with the Guidelines for the Presentation of documents to the Parliament, each published by the Department of Prime Minister and Cabinet. The ARC Annual Report 2012–13 was tabled in Parliament on 24 October 2013.

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ARRANGEMENTS FOR MONITORING FINANCIAL AND SERVICE DELIVERYInternal audit– Internal audit is an integral part of the ARC’s corporate governance framework. The internal

audit function provides an independent and objective review and advisory service to: – provide assurance to the CEO that the ARC’s financial and operational controls (designed to

manage the organisation’s risks and achieve the ARC’s objectives) are operating in an efficient, effective, economical and ethical manner

– assist management in improving the ARC’s business performance.

The Head, Internal Audit is responsible for providing the CEO with the assurance that the ARC’s internal audit functions are efficient and effective. In 2013–14 the Branch Manager, Strategy Branch was the Head, Internal Audit and KPMG was the ARC’s internal auditor. The internal auditor reports to the Audit Committee through the Head, Internal Audit.

The internal auditor developed the Annual Internal Audit Work Plan 2013–14 in consultation with the Head, Internal Audit, ARC Executive and senior staff, the Audit Committee and the CEO. In accordance with the plan, the internal auditor completed audits on the ARC’s risk management framework, protective security policy framework and Discovery Early Career Researcher Award scheme. The auditor also carried out a business disruption health check. A planned audit to review the CEIs and FMA compliance was postponed until 2014–15 to accommodate changes from the Public Governance, Performance and Accountability Act 2013. The Audit Committee monitored the implementation of agreed recommendations from the audits.

Institutional reviews During 2013–14 the ARC undertook two institutional reviews. The objective of the reviews was to monitor and evaluate universities’ compliance with ARC funding agreement requirements. As part of the reviews, discussions were held with key stakeholders and analysis and testing was performed on the universities’ internal accounting and research grant administration frameworks.

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SOUND RISK MANAGEMENT PRACTICESRisk management framework – The ARC manages risk in accordance with the Australian/New Zealand Standard for Risk

Management (AS/NZS ISO 31000: 2009). The ARC risk management framework is designed to minimise the possibility of loss or damage to operations, staff, property, reputation and assets, while recognising opportunities to meet the stated objectives of the organisation within a good corporate governance framework. Key components of the ARC’s risk management framework include:

– a risk management policy– risk management plan and toolkit– annual reviews of strategic risks and six-monthly reviews of operational risks– a network of risk champions.

The ARC participated in the 2014 Comcover Risk Management Benchmarking Program and recorded an improvement on its previous years overall score. Results from the survey indicated that the ARC’s risk management framework had made improvements in the areas of integration, positive risk culture, and risk management policies and objectives.

During 2013–14 the ARC’s internal auditor reviewed the ARC’s risk management framework. The auditors found the framework to be consistent with better practice and noted that the ARC had a positive risk culture with a relatively mature risk environment. This review, along with the ARC’s results in the Comcover Risk Management Benchmarking Program, informed the development of an updated risk management policy and plan in June 2014.

Fraud control During 2013–14 the ARC reviewed and updated its Fraud Risk Assessment Summary and its Fraud Control Plan. 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 recoveryThe ARC reviewed and updated its Business Continuity Plan on May 2014 taking into account recommendations arising from an internal audit conducted during the year. The ARC tested its preparedness to respond to a business interruption event through two actual events: a planned interruption of ICT services for a cabling relocation of the Intra Government Communications Network (ICON); and an unplanned event resulting in a failover event. These events were sufficient to evaluate business continuity and disaster recovery plans—they provided the ARC with assurance of both the impact of disaster scenarios and the procedures required to re-establish services.

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INFORMED AND APPROPRIATE RISK TAKINGDuring 2013–14 the ARC continued to foster informed and appropriate risk taking through a clear framework of accountability and responsibility.

Throughout 2013–14 the ARC adhered to its risk management framework and made further improvements to its risk management capabilities. The ARC undertook regular reviews to monitor the agency’s risks and continued to raise awareness and understanding of risk management across the agency. The ARC’s actions provided the CEO with assurance that the ARC is following best practice in minimising the potential for loss or damage.

– ARC risk management activities included identification, review and implementation of risk treatments for:

– operational risks—conducted by all business groups in July 2013 and January 2014– agency strategic risks—conducted by senior management in May 2014.

Following an internal audit of the ARC’s Risk Management Framework in January 2014, the ARC updated its Risk Management Plan to include greater guidance to staff on risk treatment strategies, and revised risk appetite levels to be more practical.

The ARC’s ongoing commitment to improving its risk management practices was reflected in the improved overall score achieved by the ARC in the 2014 Comcover Risk Management Benchmarking Program. Improvements made to the ARC’s risk management processes in 2013–14 included increased alignment of planning and risk activities, as well as the measurement of risks at the inherent level.

In 2013–14 the ARC continued to foster a positive attitude to the management of risk across the agency by encouraging staff to attend risk management training courses, communicating risk management requirements on the ARC’s intranet, and including risk management as part of induction training. The agency’s positive risk management culture was recognised by an internal audit, which provided validation and recognition of the work done during 2013–14.

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STANDARDS FOR ETHICAL CONDUCTStaff – ARC Executive and senior staff are committed to high ethical standards. This commitment is

promoted through: – the ARC Strategic Plan for 2013–14 to 2015–16 which includes among its guiding principles:

‘accountability through adherence to ethical standards’– the incorporation of ethical standards into ARC governance policies and guidelines– the incorporation of the ARC values into performance agreements– an ARC intranet site to promote ethical behaviour and the Australian Public Service

Commission (APSC) Ethics Advisory Service– an ARC Ethics Contact Officer.

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

The State of the Service Report 2012–2013, published by the APSC in December 2013, reported 84 per cent of ARC staff believed that ARC senior executives act in accordance with the APS values, compared to 69 per cent APS wide.

ARC-funded researchers

ARC funding rules and funding agreements– The NCGP funding rules clearly state the ethical compliance requirements for ARC-funded

researchers. All ARC-funded research projects must conform to the principles outlined in the Australian Code for the Responsible Conduct of Research (2007). Where applicable, ARC-funded research projects must also conform with the:

– National Principles of Intellectual Property Management for Publicly Funded Research (published on the ARC website)

– National Statement on Ethical Conduct in Human Research (2007)– NHMRC Values and Ethics: Guidelines for Ethical Conduct in Aboriginal and Torres Strait

Islander Health Research (2003)– Australian Institute of Aboriginal and Torres Strait Islander Studies Guidelines for Ethical

Research in Australian Indigenous Studies (2011)– Australian Code for the care and use of animals for scientific purposes (2013).

Funding agreements between the ARC and any organisation in receipt of ARC funding also require institutions to comply with the provisions of any relevant statutes, regulations, by-laws, and requirements of any Commonwealth, State, Territory or local authority; and acknowledge that Chapter 7 of the Criminal Code provides for offences which attract substantial penalties, including theft of Commonwealth property and other property offences, obtaining property or financial advantage by deception, offences involving fraudulent conduct, bribery, forgery and falsification of documents.

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Australian code for the care and use of animals for scientific purposes (2013)

In July 2013, the NHMRC released the new edition of the Australian Code for the care and use of animals for scientific purposes. The Code is endorsed by the ARC, Commonwealth Scientific Industrial Research Organisation and Universities Australia. The new edition of the Code provides information on the ethical, humane and responsible care and use of animals for scientific purposes. It outlines the governing principles and ethical framework to guide the decisions and actions of researchers and teachers involved and in all situations where animals are used.

Research misconduct

The ARC Complaints Handling Policy and Procedures (2013) includes a formal process for handling research misconduct allegations related to scientific fraud, ethical breaches and research misconduct that is external to the ARC, but associated with research funded by the ARC. If the ARC reasonably considers there is fraud, misleading or deceptive conduct on the part of an organisation, or any specified personnel, associated with ARC funding, the ARC may terminate a funding agreement and recover any or all funding associated with the breach. The ARC may also consider imposing other sanctions.

The ARC Complaints Handling Policy and Procedures (2013) also outlines reporting processes for ARC College members and assessors who discover a possible case of research misconduct during the peer review of a proposal.

The ARC has a Research Misconduct Officer responsible for maintaining a register and managing the investigation process for research misconduct allegations. Further information about research misconduct allegations reported to the ARC is provided on page 112. The Research Misconduct Officer may recommend that an allegation of research misconduct be referred to ARIC if the case falls within the scope of ARIC. Further information about ARIC is provided earlier in this chapter (see page 103).

ARC committee members and assessors As a public research funding body, the ARC is required to maintain a high standard of professionalism and ethical conduct in its operations. The ARC is committed to preserving public confidence in the integrity, legitimacy, impartiality and fairness of its business, and in particular its peer review process.

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Conflict of Interest– All people carrying out ARC business, including ARC committee members and assessors,

are bound by the ARC Conflict of Interest and Confidentiality Policy (December 2013) which requires that they:

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

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

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ENGAGEMENT OF STAKEHOLDERS– In delivering its programs, the ARC engages with a diverse group of stakeholders with

differing expectations and interests. The ARC’s primary stakeholders are:– the Australian Parliament– institutions and researchers within the higher education sector – partner organisations—industry, government (international, Australian, state and local), not-

for-profit organisations and international organisations– departments and agencies of the Australian Government – the Australian community.

Consultations – The ARC undertook a number of stakeholder consultations during 2013–14 in relation to:– submission requirements for the Excellence in Research for Australia (ERA) 2015 – streamlining NCGP application processes– ARC support for the research workforce.

In May and June 2014 ARC staff conducted a roadshow as part of the ARC’s project to redevelop its ICT systems. The roadshow provided the opportunity for the ARC and the sector to exchange ideas and experiences of the present system and identify possible areas of improvement. The sessions were attended by Research office staff representing 29 universities.

Provision of information

ARC/NHMRC Research Administrators’ Seminar

The ARC, together with Australasian Research Management Society (ARMS) and the National Health and Medical Research Council (NHMRC), holds an annual research administrators’ seminar. The ARC held the 2013 seminar on 25–26 November 2013 in Canberra. Approximately 300 people from 70 institutions attended the event. This event is important in providing information to the sector about changes to NCGP funding schemes, ERA and a range of other policy and program matters.

ARC Centre Directors’ Forum

The ARC hosted the Centre Directors’ Forum in Sydney, a one-day information and networking event for Centre leaders and chief operations officers or delegates of ARC Centres of Excellence; Industrial Transformation Research Hubs and Training Centres; Special Research Initiatives; and Co-funded Centres. Eighty-eight delegates attended from across Australia.

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MONITORING PERFORMANCE AGAINST SERVICE CHARTER AND COMPLAINTSClient Service CharterThe ARC Client Service Charter, sets out the standards of service clients and stakeholders should expect from the ARC and provides guidance for the process clients and stakeholders can follow if they are dissatisfied with the level of service they have received. The charter is available on the ARC website.

In 2013–14 the ARC received no complaints in relation to the client service charter mechanism. Part 5, Appendix 5 provides details of the ARC’s performance against the service standards in the charter.

Complaints handling– The ARC Complaints Handling Policy and Procedures is published on the ARC website. This

policy aims to assist clients and stakeholders if they have: – a general complaint about the ARC – an appeal about the administrative processes of the National Competitive Grants Program

(NCGP) – research misconduct allegations relating to scientific fraud, ethical breaches and research

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

A report on appeals, general complaints and research misconduct allegation is provided to the Senior Management Group every six months. In 2013–14 nine appeals about NCGP administrative processes, one general complaint and five research misconduct allegations were submitted to the ARC. Information about the outcomes of appeals submitted to the ARC is provided on page 102.

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CHAPTER 8 EXTERNAL SCRUTINY

Dr Ross Smith, University of South Australia, is demonstrating his invention—the US Patented Digital Foam Sensor.

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DESCRIPTIONAs an agency of the Australian Government, the ARC is subject to external scrutiny by Parliamentary Committees, the Australian National Audit Office and a number of other external bodies. It is also subject to a range of reporting requirements through legislation and other government policies. The mandatory reporting requirements which must be dealt with in annual reports are addressed in this chapter.

PARLIAMENTARY COMMITTEES The ARC appeared before the Senate Economics Legislation Committee at estimates hearings held in October 2013, February 2014 and June 2014.

The ARC responded to 32 Questions on Notice arising from these hearings. It also provided input to 117 Questions on Notice directed to the ARC’s portfolio departments during 2013–14 —the Department of Education and the Department of Industry, Innovation, Climate Change, Science, Research and Tertiary Education.

On 19 March 2014 the Senate Education and Employment Legislation Committee released its report on annual reports for the agencies for which it is responsible (Annual reports—No. 1 of 2014). The committee reported that the ARC Annual Report 2012–13 was well presented and easily navigated. The committee considered that the report fulfilled all requirements (as specified under section 63 of the Public Service Act 1999, the Financial Management and Accountability Act 1997 and the Australian Research Council Act 2001).

AUSTRALIAN NATIONAL AUDIT OFFICE The Australian National Audit Office (ANAO) audited the ARC’s annual financial statements for the year ended 30 June 2014. The report for this audit can be found in Part 4, Chapter 12.

In 2013–14 the ARC provided input into phase one and two of the cross-agency audit Managing Conflicts of Interests in FMA Agencies Audit Report No. 47 which was tabled by the ANAO on 23 June 2014. The ARC agreed to the one recommendation made by the report, that is, that APS agencies as part of their normal enterprise wide risk reviews, should give specific attention to conflicts of interest matters.

– The ARC also reviewed, and considered the recommendations made within a number of relevant ANAO audit reports released during 2013–14, including:

– Confidentiality in Government Contracts: Senate Order for Departmental and Agency Contracts (Calendar Year 2012 Compliance), Audit Report No. 4 tabled on 26 September 2013

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– Audits of the Financial Statements of Australian Government Entities (for the Period Ended 30 June 2013), Audit Report No. 13 tabled on 18 December 2013

– Management of Complaints and Other Feedback, Audit Report No. 19 tabled on 12 February 2014

– Pilot Project to Audit Key Performance Indicators, Audit Report No. 21 tabled on 27 February 2014

– Indigenous Employment in Australian Government Entities, Audit Report No. 33 tabled on 29 May 2014

– Implementation of ANAO Performance Audit Recommendations, Audit Report No. 34 tabled on 29 May 2014

– Interim Phase of the Audits of the Financial Statements of Major General Government Sector Agencies for the year ending 30 June 2014, Audit Report No. 44 tabled on19 June 2014

– The Management of Physical Security, Audit Report No. 49 tabled on 24 June 2014– Cyber Attacks: Securing Agencies’ ICT Systems, Audit Report No. 50 tabled on 24 June

2014– Establishment and Use of Multi Use Lists, Audit Report No. 54 tabled on 26 June 2014.– In 2013–14 the ANAO released two Better Practice Guides relevant to the ARC’s activities:– Implementation of Better Practice Grant Administration (December 2013)– Public Sector Governance: Strengthening performance through good governance

(June 2014).

OTHER EXTERNAL BODIES – During 2013–14: – 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– the ARC received no claims under the Compensation for Detriment for Defective

Administration scheme (which allows people adversely affected by the maladministration of an Australian Government agency to receive compensation when they have no legal redress)

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

There was one judicial decision involving the ARC under the Administrative Decisions (Judicial Review) Act 1977 (which provides for judicial review of most administrative decisions made under the Commonwealth enactments on grounds relating to legality, rather than merits, of decisions). This matter did not result in any findings that have had, or may have a significant effect on the agency’s operations.

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MANDATORY REPORTING IN ANNUAL REPORTSLegislative requirements – In accordance with specific legislative requirements, annual reports must include matters in

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

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

Appendices 6, 7 and 8 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 (PS Act) that is responsible for the development, implementation, provision of evaluation of policies, programs or services directed to carers or the persons for whom they care.

Other requirements

Grant programs

The ARC administers a number of research funding schemes under the NCGP. A full list of these schemes is in Part 5, Appendices 1 and 2. Further information on the grants awarded by the ARC during the period 1 July 2013 to 30 June 2014 is available on the ARC website.

Disability reporting

Since 1994, Commonwealth departments and agencies have reported on their performance as policy adviser, purchaser, employer, regulator and provider under the Commonwealth Disability Strategy. In 2007–08, reporting on the employer role was transferred to the Australian Public Service Commission’s (APSC) State of the Service Report and the APS Statistical Bulletin. These reports are available on the APSC website <www.apsc.gov.au>. From 2010–11, departments and agencies have no longer been required to report on these functions.

The Commonwealth Disability Strategy has been overtaken by the National Disability Strategy 2010–2020, which sets out a ten year national policy framework to improve the lives of people with disability, promote participation and create a more inclusive society. A high level two-yearly report will track progress against each of the six outcome areas of the Strategy and present a picture of how people with disability are faring. The first of these reports will be available in late 2014 on the Department of Social Services website <www.dss.gov.au>.

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Information Publication Scheme

Agencies subject to the Freedom of Information Act 1982 (FOI Act) are required to publish information to the public as part of the Information Publication Scheme (IPS). This requirement is in Part II of the FOI Act and has replaced the former requirement 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. ARC information relating to the IPS and the FOI disclosure log is published on the ARC website.

Correction of errors

Errors or omissions of fact that were identified in the ARC Annual Report 2012–13 are detailed in Part 5, Appendix 9.

OTHER REPORTING – The Annual Report guidelines note that reporting and analysis in an annual report, as a

document of record, is complementary to the ongoing availability of information through the internet. A range of information on the ARC website is published in accordance with formal reporting requirements including details of:

– all grants awarded– freedom of information requests– agency contracts.

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CHAPTER 9 PEOPLE MANAGEMENT

Future Fellow, Dr Tariq Ezaz, University of Canberra, is holding a central bearded dragon. Photo courtesy of Michelle McAulay.

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DESCRIPTIONIn 2013–14 the ARC effectively managed and developed staff to achieve its objectives. Strategies employed to assist in retaining skilled staff included:

– workforce planning– flexible conditions of employment– access to training and development opportunities– safe and healthy work environment– development of supportive workplace culture (including good communication and rewards

and recognition).

STAFF STATISTICSAt 30 June 2014 (including the CEO):

– the ARC had 119 staff—this has reduced from 125 in 2012–13– the largest number of staff were at Executive Level 1 – 96.6 per cent of total staff were ongoing employees – 66 per cent of staff were female with the largest number of females employed at the APS 4–5

(ARC Level 2)– 95.8 per cent of employees were employed under the Enterprise Agreement.

The ARC had less staff turnover in 2013–14, with 16 separations compared to 20 separations in 2012–13.

– Detailed staff statistics are provided in Part 5, Appendix 10, including:– ARC employees by classification level, full-time/part-time status, gender and employment

arrangements– staff separations by classification level and employment category.

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WORKFORCE PLANNING The ARC undertakes a workforce planning exercise each year as part of internal budget deliberations. In 2013–14 the priorities for 2014–15 and the resources required to meet those priorities were determined using this process. In addition, various committees provided input to ensure the needs of the organisation and its individuals were met. Being a small agency, workforce planning at the ARC also includes staff rotations within the organisation, training, knowledge management and succession planning.

EMPLOYMENT CONDITIONS During 2013–14 the ARC employed staff under a range of different arrangements including the ARC Enterprise Agreement 2011–14, Australian Workplace Agreements, Individual Flexibility Arrangements and Common Law Contracts.

Workplace arrangements

Non-SES staff

Enterprise agreement

The current ARC Enterprise Agreement expired on 30 June 2014. The Australian Government Public Sector Workplace Bargaining Policy was released in March 2014. Consultation with staff is currently underway in preparation for a new Enterprise Agreement.

Australian Workplace Agreements

At 30 June 2014, five non-Senior Executive Service (SES) staff continued to be covered by Australian Workplace Agreements (AWAs). These AWAs were in place prior to the changes to the Workplace Relations Act 1996, which stipulated that no new AWA may be entered into on or after 13 February 2008.

Individual flexibility arrangements

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

Section 24(1) determinations

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

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SES staff

Common law contracts

Employee arrangements under common law contracts set the terms and conditions for SES staff. As at 30 June 2014 there were four Common Law Contracts in place for SES staff.

Remuneration

Non-SES staff

Salary ranges for non-SES staff reflect various workplace arrangements. The salary ranges for 2013–14 are provided in Table 9.1 below, they include salaries under all workplace arrangements outlined above.

Table 9.1: Salary ranges of non-SES staff by classification (at 30 June 2014)

CLASSIFICATION SALARY RANGE

Executive Level 2 $114 414–$166 794

Executive Level 1 $95 355–$120 420

APS 6 $74 657–$86 711

APS 5 $67 431–$72 685

APS 4 $62 069–$65 592

APS 3 $55 212–$58 345

APS 2 $49 437–$53 706

APS 1 $45 730–$46 900

SES staff

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

At 30 June 2014 the notional salary range for SES Band 1 and Band 2 officers was between $170 000 and $285 000. In the Financial Statements, Note 14 provides additional information on executive remuneration in 2013–14 (see Part 4).

Performance pay

The ARC does not provide access to performance pay.

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Non-salary benefits – Non-salary benefits offered included:– flu vaccinations– health allowance– access to salary packaging arrangements.

TRAINING AND DEVELOPMENT – During the year all new employees were required to attend three induction programs:

Introduction to the ARC; Introduction to the APS; and Introduction to Administrative Law. The ARC also provided in-house training to staff on:

– mental health – preventing bullying and harassment– performance management – project management– minute taking– transition to Executive Level 1.

The ARC spent a total of $132 403 on learning and development activities including formal training programs in 2013–14 (Table 9.2). On average the ARC spent $1112 per person (based on 119 employees) on training and development—with an average attendance of 2.5 days per person. The ARC spent a total of $12 860 on studies assistance for seven staff members to undertake studies approved under the ARC Studies Assistance Guidelines during 2013–14.

Table 9.2: Training and development by classification, 2013–14

CLASSIFICATION STAFF

(NO.)

DAYS USED

(NO.)

EXPENDITURE

($)

CEO and SES 6 4 3 318

Executive Level 1–2 53 156 59 268

APS 1–6 60 179 69 817

Total 119 298 132 403

SAFE AND HEALTHY WORK ENVIRONMENT Part 5, Appendix 6 provides information on the ARC’s work health and safety performance, as required under the Work Health and Safety Act 2011 (Cth).

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AGENCY MULTICULTURAL PLANUnder the Australian Government’s Multicultural Access and Equity Policy all government departments are required to develop and implement a biennial Agency Multicultural Plan from 1 July 2013.

The ARC’s vision for the Agency Multicultural Plan (AMP) 2013–2015 is to ‘enhance knowledge and capacities in matters relating to culturally and linguistically diverse employees, indirect stakeholders and the community’. By strengthening the availability of data, evidence, analysis and research, the ARC aims to better inform the programs, policies and services developed in other agencies for people from a culturally and linguistically diverse background.

Actions to date– In July 2013 Senior Management Group appointed the Executive General Manager as the

Multicultural Champion and tasked the People and Services section with monitoring implementation of the plan. A Multicultural Access and Equity Action Group (MAEAG) was also established to discuss and promote the AMP obligations.

– The AMP was published on the ARC website and made available to employees on the intranet. The ARC promoted awareness of the multicultural access and equity obligations to employees.

– Where relevant the ARC’s procurement guidelines, contracts and Memoranda of Understanding were reviewed to incorporate whole-of-government multicultural access and equity requirements.

– A skills register is being developed to capture employee’s diversity and language capacity that will be circulated to our Portfolio Department and Agencies in an effort to utilise the skills of all employees more widely.

Next steps– In July 2014 the MAEAG will commence the development of a Multicultural Access and

Equity Policy and the AMP external communication plan.– A mechanism is being explored to: identify ways to enhance program data collection to meet

multicultural access and equity reporting requirements; and to help ensure effective and well informed policy and program development for the future.

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STATE OF THE SERVICE CENSUS RESULTSEach year the Australian Public Service Commission publishes a State of the Service report. The report draws on a range of information sources including a survey sent to all Australian Public Service (APS) agencies employing 20 or more staff under the Public Service Act 1999 and the results of an APS employee survey.

The results of the 2013 census highlighted the ARC’s strengths and weaknesses compared to other APS Agencies. The profile of staff, together with the results of the survey, provided the ARC with a valuable resource to assist in staff planning.

Seventy-three per cent of ARC staff participated in the 2013 State of the Service census. At the time the survey was conducted 79 per cent of staff indicated that their job gave them a feeling of personal accomplishment (compared to an APS-wide percentage of 65).

Strengths– The ARC performed more strongly than the overall APS in all areas, but particularly in the

following:– recognition for doing a good job (79 per cent compared to the APS average of 55 per cent)– effective communication between senior leaders and other employees (65 per cent

compared to the APS average of 38 per cent)– employees feel valued for their contribution (82 per cent compared to the APS average of

50 per cent)– leadership is of a high quality (79 per cent compared to the APS average of 46 per cent).

Improved performance

The 2012 State of the Survey census highlighted a weakness for the ARC in the area of providing access to effective learning and development. As a result, emphasis was placed on this area in 2013. The success of this strategy is reflected in the 2013 census results (76 per cent for the 2013 year compared to 61 per cent for the ARC 2012 result, and 60 per cent for the 2013 APS average).

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CHAPTER 10 PURCHASING, CONSULTANTS AND ASSET MANAGEMENT

Professor Vadim Kamenetsky, University of Tasmania, is holding a pyrite-encrusted carbonate concretion.

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DESCRIPTIONThis chapter provides details of the ARC’s approach to purchasing, its use of consultants and details of assets management.

PURCHASING The ARC’s approach to purchasing is consistent with the Commonwealth Procurement Rules and is set out in the ARC’s Chief Executive’s Instructions (CEIs), the ARC Procurement Manual and other specific policy and procedure guides (such as those for travel and use of Commonwealth credit cards), all of which are updated periodically.

– The Commonwealth Procurement Rules represent the Government’s policy framework under which agencies govern and undertake procurement. The key rules are:

– value for money– encouraging competition– efficient, effective, economical and ethical procurement– accountability and transparency in procurement– procurement risk– procurement method.

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

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

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

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

Details of contracts for services are available from the Austender website.

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ExpenditureDuring 2013–14 the ARC entered into 63 new consultancy contracts involving total actual expenditure of $2 874 246. In addition, 132 ongoing consultancy contracts were active during the 2013–14 year, involving total actual expenditure of $7 600 852. The majority of the new consultancy contracts in 2013–14 were for services relating to membership of ARC committees, primarily the ARC College of Experts and various Selection Advisory Committees.

– Over the past three years the ARC’s expenditure on consultancy contracts was: – $1 722 263 in 2013–14– $2 929 267 in 2012–13– $1 081 686 in 2011–12.

Annual reports contain information about actual expenditure on contracts for consultancies. Information on the value of individual contracts and consultancies is available on the AusTender website.

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

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

ASSET MANAGEMENTAsset management is not a significant part of the ARC’s strategic business. The ARC’s assets include office fit out, furniture, IT software and ‘portable and attractive’ equipment held at the ARC office. The ARC reviews its asset holdings annually to ensure cost effectiveness and whole-of-life asset utilisation. In 2013–14 the annual stocktake was conducted in March 2014.

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Associate Professor Michael J. Biercuk,v a Chief Investigator in the ARC Centre of Excellence for Engineered Quantum Systems. Photo courtesy of The University of Sydney.

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PART 4 FINANCIAL PERFORMANCECHAPTER 11: FINANCIAL OVERVIEW 130

Discussion and analysis of the ARC’s financial performance for the year

CHAPTER 12: FINANCIAL STATEMENTS 133A copy of the audited financial statements

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CHAPTER 11 FINANCIAL OVERVIEW

Professor Kamal Alameh, Edith Cowan University, is examining advanced glass.

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INTRODUCTION – This chapter provides a summary of the ARC’s 2013–14 financial performance. The

Parliament of Australia provides the ARC with two types of funding, administered and departmental, where:

– administered funding is managed by agencies on behalf of government, including for example, grants, subsidies and benefits

– departmental items are assets, liabilities, revenues and expenses that are controlled by the agency in providing its outputs, including for example, employees expenses, supplier expenses, and other operational expenses.

ANALYSIS OF PERFORMANCE – The ARC’s total annual appropriated resources for 2013–14 were $910.0 million. This

comprised: – $887.1 million for the administered appropriation ($883.9 million special appropriation for the

National Competitive Grants Program and $3.1 million for the annual administered appropriation)

– $22.6 million for the departmental appropriation ($19.8 million for operating expenses, $0.9 million for the Departmental Capital Budget and $1.9 million for an equity injection).

In 2013–14 the ARC disclosed an operating deficit of $1.676 million due to the removal of depreciation funding as part of the Operation Sunlight net cash appropriations framework.

A resource summary of the ARC’s departmental and administered expenses is provided in Part 5, Appendix 11. Actual expenses at year-end varied from budgeted expenses in the following area:

The 2013-14 departmental operating expenses are $1 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.

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ARC SIGNIFICANT MEASURES IN THE 2014–15 BUDGETThe 2014–15 budget announced in May 2014 contained a number of significant measures for the ARC.

The Budget highlighted a number of significant new measures that the ARC will administer, including:

– Special Research Initiative for Type 1 Juvenile Diabetes—ARC funding $35 millionThis initiative will fund a national collaborative network to coordinate team-based cross-disciplinary research projects.

– Special Research Initiative for Tropical Health and Medicine—ARC funding $42 millionThis initiative will support the expansion of the Australian Institute of Tropical Health and Medicine at James Cook University.

– Special Research Initiative for an Antarctic Gateway—ARC funding $24 million This initiative will facilitate scientific collaboration between the University of Tasmania, CSIRO and the Australian Antarctic Division and improve the partnerships which provide observations of land, sea and ice in the Antarctic.

– Boosting Dementia Research—ARC funding $26 millionThis proposal, in consultation with the National Health and Medical Research Council (NHMRC), is to ensure that dementia research takes into account the social, economic and cultural impacts and complex consequences of dementia. Research supported under this initiative will translate into better treatments, care and services to dementia sufferers, carers and their communities. A dedicated research effort is needed to help accelerate progress towards finding a cure for dementia as it is a multi-dimensional problem not just confined to the health of the dementia patients. All calls for applications will be made through the NHMRC in close collaboration with the ARC.

The Government will achieve savings of $74.9 million over three years from 2015–16 by applying a one-off 3.25 per cent efficiency dividend in 2015–16 to the ARC’s administered funding.

The budget also contained an ongoing funding commitment for the Future Fellowships scheme enabling the award of 100 fellowships per year in the forward estimates. The Future Fellowships scheme supports Australia’s best and brightest mid-career researchers to undertake research in areas of critical national importance. The Government has committed $139.5 million over four years for the continuation of the Future Fellowships scheme.

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CHAPTER 12 FINANCIAL STATEMENTS

Dr Julia Bryant alongside a new instrument called SAMI at the Anglo-Australian Telescope.

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INTRODUCTIONThe following pages provide the financial statements for the ARC for the financial period ended 30 June 2014.

CONTENTS PAGE

Audit Report 135

Statement by the Chief Executive and Chief Financial Officer 137

Statement of Comprehensive Income 138

Statement of Financial Position 139

Statement of Changes in Equity 140

Cash Flow Statement 141

Schedule of Commitments 142

Administered Schedule of Comprehensive Income for not-for-profit Reporting Entities

144

Administered Schedule of Assets and Liabilities 145

Administered Reconciliation Schedule 146

Administered Cash Flows 147

Schedule of Administered Commitments 148

Notes of the Financial Statements 149

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Future Fellow, Associate Professor Damien Keating, The Flinders University of South Australia, is analysing protein samples collected from neurons.

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PART 5 APPENDICESAPPENDIX 1: NCGP, DISCOVERY PROGRAM 206APPENDIX 2: NCGP, LINKAGE PROGRAM 210APPENDIX 3: PRIZES AND AWARDS 216APPENDIX 4: MEMBERSHIP OF COMMITTEES 220APPENDIX 5: CLIENT SERVICE CHARTER 230APPENDIX 6: WORK HEALTH AND SAFETY 232APPENDIX 7: ADVERTISING AND MARKET RESEARCH 233APPENDIX 8: ECOLOGICALLY SUSTAINABLE DEVELOPMENT 234APPENDIX 9: CORRECTION OF ERRORS 238APPENDIX 10: STAFF STATISTICS 239APPENDIX 11: AGENCY RESOURCE STATEMENTS 242

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APPENDIX 1: NATIONAL COMPETITIVE GRANTS PROGRAM, DISCOVERY PROGRAMThis appendix provides additional information to support the performance data for the Discovery Program provided in Chapter 4.

DISCOVERY PROGRAM, FUNDING SCHEMES Table A1.1: Discovery Program, funding schemes

DESCRIPTIONAustralian Laureate FellowshipsFirst 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 fellows with project funding in addition to a salary supplement and salary-related (on-cost) support.

Discovery Early Career Researcher AwardFirst selection round Funding commencing in 2012

Frequency Annual

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

Discovery IndigenousFirst selection round Funding commencing in 2002 (Discovery Indigenous Researchers

Development); funding commencing in 2012 (Discovery Indigenous)

Frequency Annual

Description The Discovery Indigenous scheme supports the development of Indigenous researchers’ skills and expertise.

Discovery ProjectsFirst selection round Funding commencing in 2002

Frequency Annual

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

Future FellowshipsFirst selection round Funding commencing in 2009

Frequency Annual

Description The Future Fellowships scheme is aimed at supporting mid-career researchers.

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DISCOVERY PROGRAM, GRANT STATISTICS Table A1.2: Discovery Program, funding commencing in 2011–12 to 2013–14

2011–12 2012–13 2013–14Australian Laureate Fellowships 2011 2012 2013Number of proposals 139 108 112

Number of awards 17 17 17

Total funding ($) 44 516 902 46 654 655 47 432 835

Success rate (%) 12.2 15.7 15.2

Discovery Early Career Researcher Award 2012 2013 2014Number of proposals 2 159 1 281 1 468


Total funding ($) 103 875 000 72 321 876 75 789 232

Success rate (%) 12.8 15.6 13.6

Discovery Indigenous 2012 2013 2014Number of proposals 29 32 26


Total funding ($) 3 850 751 4 320 000 4 886 142

Success rate (%) 34.5 31.3 38.5

Discovery Projects 2012 2013 2014Number of proposals 3 544 3 425 3 534


Total funding ($) 236 837 254 253 982 000 257 632 541

Success rate (%) 22.0 21.4 19.9

Future Fellowships 2011 2012 2013Number of proposals 661 603 1 234


Total funding ($) 144 342 673 151 559 267 152 292 682

Success rate (%) 30.7 34.7 16.3

Super Science Fellowships 2011 2012 2014Number of proposals 124 n/a n/a

Number of awards 50 n/a n/a

Total funding ($) 13 920 000 n/a n/a

Success rate (%) 40.3 n/a n/a

Note

n/a not applicable

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DISCOVERY PROGRAM, ADDITIONAL PERFORMANCE DATA Table A1.3: Discovery Program, number of research outputs, funding commencing in 2007 to 2009*

2007 2008 2009

Academic outputs

Books and book chapters 1 791 1 170 864

Journal articles 8 177 6 874 4 696

Conference publications 6 348 5 084 2 539

Other 1 281 854 351

Total 17 597 13 982 8 450

Commercialisation outputs

Invention disclosures 58 33 9

Licences executed 5 5 2

Patents filed 63 58 34

Patents pending 32 18 11

Plant breeder rights – – 3

Start-up companies 10 4 3

Total 168 118 62

Number of final reports 765 724 557

Note

* Outputs arising from research projects funded under the Discovery Program for which final reports had been submitted to the ARC as at 30 June 2014.

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Table A1.4: Discovery Projects scheme, number of research personnel outputs, funding commencing in 2009*

TYPE OF PERSONNEL NUMBER

Research

PhD students receiving stipends and research support 207

Masters students receiving stipends and research support 24

PhD students receiving research support but not stipends 715

Masters students receiving research support but not stipends 149

Honours students receiving research support but not stipends 667

Overseas PhD students involved in the project 325

Overseas research Masters students involved in the project 93

Overseas Honours students involved in the project 86

Early career researchers (excluding those named in the application) 457

Other employed personnel

Research associates/assistants funded (full-time) 261

Research associates/assistants funded (part-time) 676

Professional and/or technical officers 182

Industry partner employees 17

Other personnel involved 270

Number of final reports 537

Total number of research projects awarded funding 845

Note

* Research personnel on projects funded under the Discovery Projects scheme for which final reports had been submitted to the ARC as at 30 June 2014.

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APPENDIX 2: NATIONAL COMPETITIVE GRANTS PROGRAM, LINKAGE PROGRAMThis appendix provides additional information to support the performance data for the Linkage Program provided in Chapter 5.

LINKAGE PROGRAM, FUNDING SCHEMESTable A2.1: 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 priority. Funding of between $1 million and $4 million per annum for up to seven years may be awarded for each ARC Centre of Excellence.

Industrial Transformation Research Hubs


Frequency Periodic

Description The Industrial Transformation Research Hubs scheme supports collaborative research activity between the Australian higher education sector and industry.

Industrial Transformation Training Centres


Frequency Annual

Description The Industrial Transformation Training Centres scheme fosters close partnerships between university-based researchers and other research end-users to provide innovative Higher Degree by Research and postdoctoral training for the end-user focused research industries vital to Australia’s future.

Linkage Infrastructure, Equipment and Facilities


Frequency Annual

Description The Linkage Infrastructure, Equipment and Facilities scheme

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DESCRIPTION

encourages institutions to develop collaborative organisational arrangements to develop research infrastructure.

Table A2.1: (continued)

DESCRIPTION

Linkage Learned Academies Special Projects


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 projects.

Linkage Projects


Frequency Annual (previously twice per year until 2012)

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

Special Research Initiatives


Frequency As required

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).

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LINKAGE PROGRAM, GRANT STATISTICS Table A2.2: Linkage Program, funding commencing in 2011–12 to 2013–14

2011–12 2012–13 2013–14

ARC Centres of Excellence1 2012 2013 2014

Number of proposals n/a n/a 103

Number of awards n/a n/a 12

Total funding ($) n/a n/a 284 999 996

Success rate (%) n/a n/a 11.7

Industrial Transformation Research Hubs 2011 2012 2013

Number of proposals n/a 12 21

Number of awards n/a 4 10

Total funding ($) n/a 14 500 000 34 619 005

Success rate (%) n/a 33.3 47.6

Industrial Transformation Training Centres 2012 2013 2014

Number of proposals n/a 13 13

Number of awards n/a 4 7

Total funding ($) n/a 9 300 204 15 667 347

Success rate (%) n/a 30.8 54.0

Linkage Infrastructure, Equipment and Facilities

2012 2013 2014

Number of proposals 170 169 148


Total funding ($) 28 300 078 29 025 000 31 982 047

Success rate (%) 45.3 42.6 42.6

Linkage Learned Academies Special Projects 2012 2013 2014

Number of proposals 6 n/a 5

Number of awards 6 n/a 2

Total funding ($) 10 000 000 n/a 834 160

Success rate (%) 100 n/a 40.0

Linkage Projects² 2011–12 2012 (rd 2 only) 2013



Total funding ($) 110 182 704 58 404 739 101 809 345

Success rate (%) 38.8 36.7 39.0

Special Research Initiatives3 2011–12 2012–13 2013–14



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2011–12 2012–13 2013–14

Total funding ($) 46 000 000 19 198 392 77 000 000

Notesn/a not applicable

1. The ARC Centres of Excellence scheme includes a preliminary expression of interest (EOI) stage. The number of proposals recorded in Table A2.2 is the number of EOIs received for consideration in each selection round.

2. The Linkage Projects scheme was restructured in 2012 following the introduction of the Industrial Transformation Research Program and now has only one selection round each year (for funding commencing on 1 July). Prior to and including 2012, two selection rounds were conducted each year under the Linkage Projects scheme. As a result the 2010–11 and 2011–12 calendar years include two selection rounds; 2012–13 only includes Linkage Projects for funding commencing in 2012 (round 2); and 2013 is the first year in which only one selection round was conducted.

3. Special Research Initiatives includes the Special Research Initiative in Stem Cell Science (funding commencing in July 2011); the Special Research Initiative in Synchrotron Science (funding commencing in January 2012); the Special Research Initiative for an Aboriginal and Torres Strait Islander Researchers’ Network (funding commencing in July 2012); the Special Research Initiative for a Science of Learning Research Centre (funding commencing in December 2012); the Special Research Initiative for Tropical Health and Medicine (funding commencing in 2014); and the Special Research Initiative for Type 1 Juvenile Diabetes (funding commencing in 2014).

LINKAGE PROGRAM, ADDITIONAL PERFORMANCE DATATable A2.3: Linkage Program, number of research outputs, funding commencing in 2007 to 2009*

2007 2008 2009Academic outputsBooks and book chapters 555 307 208

Journal articles 2 685 2 225 1 349

Conference publications 2 643 1 799 1 054

Other 797 1 457 188

Total 6 680 5 788 2 799Commercialisation outputsInvention disclosures 20 14 8

Licences executed 8 36 1

Patents filed 36 19 19

Patents pending 9 9 7

Patents unknown 1 1 –

Plant breeder rights – 4 1

Start-up companies 3 9 4

Total 77 92 40Number of final reports 461 386 278

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Note

* Outputs arising from research projects funded under the Linkage Program for which final reports had been submitted to the ARC as at 30 June 2014.

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Table A2.4: ARC Centres of Excellence, number of research outputs, 2013TYPE OF OUTPUT 2005

CENTRES2007 CENTRES

2011 CENTRES

Research

Books 26 12 20

Book chapters 103 38 110

Journal articles (articles in scholarly refereed journal) 1 271 101 1 537

Journal articles (other) 7 8 255

Unpublished reports 111 7 81

Major reviews 11 - 6

Conference publications 876 101 1 420

Audio-visual recording 1 - 67

Computer software 4 - 29

Patents filed 17 - 12

Patents pending - - 16

Creative works 1 - 36

Exhibition curatorship - 1 4

Collaboration

Number of national collaborating institutions (average per centre)

16 13 26

Number of international collaborating institutions (average per centre)

66 6 52

Number of countries involved in collaboration (average per centre)

19 6 24

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

12 5 21

Number of international visitors (average per centre) 19 19 18

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

54 71 86

Training

Number of PhD graduated 113 4 99

Number of Masters students graduated 30 2 40

Number of Honours students graduated 59 2 110

Number of PhD students enrolled 490 63 638

Number of Masters students enrolled 104 2 64

Number of Honours students enrolled 67 4 126

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

168 15 368

Training programs/teaching packages conducted 167 16 198

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TYPE OF OUTPUT 2005 CENTRES

2007 CENTRES

2011 CENTRES

Number of Centres 11 1 13

Table A2.5: Linkage Projects scheme, number of research personnel outputs, funding commencing in 2009*

TYPE OF PERSONNEL 2009

Research

PhD students receiving stipends and research support 115

Masters students receiving stipends and research support 10

PhD students receiving research support but not stipends 122

Masters students receiving research support but not stipends 52

Honours students receiving research support but not stipends 160

Overseas PhD students involved in the project 68

Overseas research Masters students involved in the project 48

Overseas Honours students involved in the project 25

Early career researchers (excluding those named in the application) 135

Other employed personnel

Research associates/assistants funded (full-time) 103

Research associates/assistants funded (part-time) 225

Professional and/or technical officers 84

Industry partner employees 172

Other personnel involved 159

Number of final reports 186

Total number of research projects awarded funding 457

Note

* Research personnel on projects funded under the Linkage Projects scheme for which final reports had been submitted to the ARC as at 30 June 2014.

Page 216


APPENDIX 3: PRIZES AND AWARDSThis appendix supports the performance report provided for Measure 3 under the Discovery Program, that is, external recognition of the achievements of ARC-funded researchers (Part 2, Chapter 3). Prizes awarded to ARC-funded researchers in 2013–14 included those listed in the table below.

Table A3.1: Prizes and awards, ARC-funded researchers, 2013–14RESEARCHER, INSTITUTION ARC SUPPORT2013 Prime Minister’s Science PrizesProfessor Terry Speed, Walter and Eliza Hall Institute of Medical Research 2013 (Prime Minister’s Prize for Science)

Chief Investigator

Professor Angela Moles, The University of New South Wales (2013 Frank Fenner Prize for Life Scientist of the Year)

Queen Elizabeth II Fellow (Discovery Projects)

Associate Professor Andrea Morello, The University of New South Wales (2013 Malcolm McIntosh Prize for Physical Scientist of the Year)

Chief Investigator

2013 Australian Museum Eureka PrizesProfessor Frank Caruso, The University of Melbourne (2013 CSIRO Eureka Prize for Leadership in Science)

Australian Laureate Fellow

Dr Kerrie Wilson, The University of Queensland (2013 Macquarie University Eureka Prize for Outstanding Young Researcher)

Future Fellow

Professor Jamie Rossjohn, Monash University (The University of New South Wales Eureka Prize for Scientific Research (joint winner))

Federation Fellow

Professor Lloyd Hollenberg, Quantum Bio-probes, The University of Melbourne (2013 University of New South Wales Eureka Prize for Excellence in Interdisciplinary Scientific Research)


Professor Rob Brooks, The University of New South Wales (Australian Government Eureka Prize for Promoting Understanding of Australian Science Research)

Australian Professorial Fellow (Discovery Projects)

Professor Rick Shine AM FAA, The University of Sydney (University of Technology, Sydney Eureka Prize for Outstanding Mentor of Young Researchers)


2014 Australian Academy of Science AwardsDr Gavin Young, The Australian National University (Mawson Medal and Lecture for Outstanding contributions to Earth Sciences)

Chief Investigator

Professor Min Gu FAA, Swinburne University of Technology (Ian William Wark Medal and Lecture)


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RESEARCHER, INSTITUTION ARC SUPPORTAssociate Professor David Warton, The University of New South Wales (Christopher Heyde Medal for research in probability theory, statistical methodology and their applications)

Future Fellow

Professor Christian Turney, The University of New South Wales (Frederick White Prize)


Dr Maria Seton, The University of Sydney (Dorothy Hill Award for female researchers in the Earth sciences including reef science, ocean drilling, marine science and taxonomy in marine systems)

Future Fellow

Associate Professor Richard Payne, The University of Sydney (Le Fèvre Memorial Prize for outstanding basic research in chemistry)

Future Fellow

Professor Geoffrey Pryde, Griffith University (Pawsey Medal for outstanding research in physics)

Future Fellow

Professor Katherine Belov, The University of Sydney (Fenner Medal for research in biology (excluding the biomedical sciences))

Future Fellow

Associate Professor Kieran Harvey, Peter MacCallum Cancer Centre (Gottschalk Medal for outstanding research in the medical sciences)

Chief Investigator

Winthrop Professor Ryan Lister, The University of Western Australia (Ruth Stephens Gani Medal for distinguished research in human genetics)

Future Fellow

Professor Mark Burgman, The University of Melbourne (2013 Royal Society of Victoria Medal for Excellence in Scientific Research)

Chief Investigator

Professor Emma Johnston, The University of New South Wales (Inaugural Nancy Millis Medal for Women in Science)

Chief Investigator

Academy of Technological Sciences and Engineering Clunies Ross AwardsProfessor Kevin Galvin, ARC Research Hub for Advanced Technologies for Australian Iron Ore, The University of Newcastle

Hub Director

Winthrop Professors Eugene Ivanov and Michael Tobar, The University of Western Australia

Chief Investigator; Australian Laureate Fellow

2014 Australian Academy of the Humanities Max Crawford MedalDr Tom Murray, Macquarie University Discovery Early Career

Researcher Award (DECRA)

2013 Young Tall Poppy Science AwardsDr Alexander Argyros, The University of Sydney Australian Research

Fellow (Discovery Projects)

Dr Julian Berengut, The University of New South Wales DECRA

Associate Professor Nick Birbilis, Monash University Australian Research Fellow (Discovery Projects)

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RESEARCHER, INSTITUTION ARC SUPPORTDr Norman Do, Monash University DECRA

Dr Cara Doherty, CSIRO DECRA

Dr Drew Evans, University of South Australia Chief Investigator

Dr Jessica Grisham, The University of New South Wales Chief Investigator

Associate Professor Baohua Jia, Swinburne University of Technology

DECRA

Professor Ryan Lister, The University of Western Australia Future Fellow

Dr Carol Maher, University of South Australia Chief Investigator

Dr Peter Macreadie, University of Technology, Sydney DECRA

Dr Paul Medwell, The University of Adelaide DECRA

Dr James Miller-Jones, Curtin University of Technology Chief Investigator

Dr Sarah Perkins, The University of New South Wales DECRA

Dr Jose Polo, Monash University Chief Investigator

Dr Dennis Stello, The University of Sydney DECRA

Dr Adam Vogel, The University of Melbourne Chief Investigator

2013 Scopus Young Researcher AwardsDr Zenobia Jacobs, The University of Western Australia Queen Elizabeth II Fellow

(Discovery Projects)

Professor Bryan Gaensler, ARC Centre of Excellence for All-sky Astrophysics, The University of Sydney

Australian Laureate Fellow and Centre Director

Dr Da-Wei Wang, ARC Centre of Excellence for Functional Nanomaterials, The University of New South Wales

Chief Investigator

Professor Barry Brook, The University of Adelaide Future Fellow

2013 State Scientists of the yearNSW: Professor Graeme Jameson, The University of Newcastle Discovery Outstanding

Researcher Award (DORA) (Discovery Projects)

WA: Professor Mark Randolph, The University of Western Australia

Federation Fellow, DORA (Discovery Projects)

Other Australian awardsDr Jose Polo, Monash University (Metcalf Prize for Stem Cell Research)

Chief Investigator

Dr Joanne Whittaker, University of Tasmania (L’Oreal For Women in Science Fellowship)

DECRA

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RESEARCHER, INSTITUTION ARC SUPPORTInternational awardsProfessor Pippa Norris, The University of Sydney (Karl Deutsch Award for 2014 (International Political Science Association))


Professor John Grundy, Swinburne University of Technology (2014 Institute of Electrical and Electronics Engineers Technical Council on Software Engineering Distinguished Education Award)

Chief Investigator

Professor Geoff Fincher, ARC Centre of Excellence in Plant Cell Walls, The University of Adelaide (Thomas Burr Osborne Medal (AACC International))

Centre Director

Ms Emma Gray, Macquarie University (2014 UNESCO—L’Oreal for Women in Science International Fellowship)

PhD student

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APPENDIX 4: MEMBERSHIP OF COMMITTEES

GOVERNANCETable A4.1: ARC Advisory Council, 2013–14MEMBER, INSTITUTION DATE OF

APPOINTMENTEXPIRY OF APPOINTMENT

Professor A Byrne, Australian Research Council (Chair)

23/07/2012 23/07/2017

Professor A Brungs, University of Technology, Sydney

01/01/2013 31/12/2014

Professor P Buckskin, University of South Australia 01/01/2011 31/12/2014

Dr L Farrell, d3 Medicine LLC 01/01/2013 31/12/2014

Professor S Garton, The University of Sydney 01/01/2011 31/12/2014

Professor S Harding, James Cook University 01/01/2013 31/12/2014

Professor P Johnson, The University of Western Australia

01/01/2011 31/12/2014

Professor S Miller, Queensland Museum Network 01/01/2013 31/12/2014

Professor S Thomas, Charles Sturt University 01/01/2013 31/12/2014

Table A4.2: ARC Audit Committee, 2013–14 MEMBER DATE OF


Dr E Arthur, External 01/11/2013 31/10/2015

Mr C Gammon, Australian Research Council 01/01/2014 31/12/2015

Mr P Kennedy, External (Chair) 01/01/2010 30/09/2014

Ms T Leahy, Australian Research Council 10/04/2012 10/12/2013

Mr G Rankin, External 01/11/2013 31/10/2015

Ms E Visher, Australian Research Council 01/11/2012 30/09/2014

Table A4.3: ARC Senior Management Group, 2013–14 COMMITTEE MEMBERSHIPSenior Management Group

Six members comprising the Chief Executive Officer (Chair); Executive General Manager; Chief Information Officer; Branch Manager, Strategy; Chief Financial Officer; and Chief Program Officer. Observers may be invited to assist the committee on matters under consideration.

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NATIONAL COMPETITIVE GRANTS PROGRAMARC Appeals Committee

Table A4.4: ARC Appeals Committee, 2013–14MEMBER YEAR OF


Ms K Campbell PSM 2014 31/12/2014

Professor A Lawson 2014 31/12/2014

Emeritus Professor R MacDonald 2008 31/12/2013

Emeritus Professor M Poole 2011 31/12/2013

Emeritus Professor P Sheehan AO (Chair 2011–14) 2008 31/12/2014

ARC College of Experts

Table A4.5: ARC College of Experts, 2013–14PANEL; MEMBER; INSTITUTION YEAR OF


Biological Sciences and BiotechnologyProfessor A Ammit, The University of Sydney 2014 31/12/2016

Professor A Ball, RMIT University 2014 31/12/2016

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

Professor K Belov, The University of Sydney 2011 31/12/2013

Professor D Bowman, University of Tasmania 2013 31/12/2015

Professor J Boyages, Macquarie University 2013 31/12/2015

Professor J Buckley, University of South Australia 2014 31/12/2016

Professor H Chan, The University of Sydney 2013 31/12/2015

Professor C Dickman, The University of Sydney (Chair, 2013)

2011 31/12/2013

Professor A Dulhunty, The Australian National University

2012 31/12/2014

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

Professor M Elgar, The University of Melbourne 2013 31/12/2015

Professor G Fincher, The University of Adelaide 2014 31/12/2016

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

Professor L Griffiths, Queensland University of Technology

2012 31/12/2014

Professor C Grof, The University of Newcastle 2013 31/12/2015

Professor G Hardy, Murdoch University 2013 31/12/2015

Professor G Halliday, The University of New South Wales

2014 31/03/2014

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PANEL; MEMBER; INSTITUTION YEAR OF APPOINTMENT

EXPIRY OF APPOINTMENT

Professor A Hill, The University of Melbourne 2013 31/12/2015

Professor M Hindell, University of Tasmania 2013 31/12/2015

Professor T Huber, The Australian National University 2014 31/12/2016

Associate Professor H Irving, Monash University 2013 31/12/2015

Winthrop Professor G Kendrick, The University of Western Australia

2014 31/12/2016

Professor B Kobe, The University of Queensland 2013 31/12/2015

Professor D Lambert, Griffith University 2013 31/12/2015

Professor M Leishman, Macquarie University (Chair, 2014)

from 9/03/2012 31/12/2014

Dr J Luck, Plant Biosecurity Cooperative Research Centre

2011 31/12/2013

Professor E McLaughlin, The University of Newcastle 2013 31/12/2015

Professor S Meikle, The University of Sydney 2013 31/12/2015

Professor D Miller, James Cook University 2014 31/12/2016

Professor J Mitchell, The Flinders University of South Australia

2012 31/12/2014

Professor P Newsholme, Curtin University of Technology

from 19/03/2012 31/12/2015

Professor B Nowak, University of Tasmania 2014 31/12/2016

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

Professor D Raftos, Macquarie University 2013 31/12/2015

Winthrop Professor Z Rengel, The University of Western Australia

2013 31/12/2015

Professor S Robinson, The University of Wollongong 2014 31/12/2016

Professor C Saint, University of South Australia 2014 31/12/2016

Professor M Sleeman, Monash University 2012 31/12/2014

Professor W Stock, Edith Cowan University 2013 31/12/2015

Associate Professor D Traini, The University of Sydney 2013 31/12/2015

Professor A Ward, Deakin University 2014 31/12/2016

Associate Professor P Young, The University of Sydney 2013 31/12/2015

Engineering, Mathematics and InformaticsProfessor H Abbass, The University of New South Wales

2013 31/12/2015

Professor S Armfield, The University of Sydney 2012 31/12/2014

Professor J Armstrong, Monash University 2012 31/12/2014

Professor J Bell, Queensland University of Technology (Chair, 2013)

2012 31/12/2014

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Winthrop Professor M Bennamoun, The University of Western Australia

2013 31/12/2015

Professor M Blumenstein, Griffith University 2013 31/12/2015

Professor N Boland, The University of Newcastle 2013 31/12/2015

Professor P Bouwknegt, The Australian National University

2014 31/12/2016

Winthrop Professor M Cassidy, The University of Western Australia

2011 31/12/2013

Professor Y Chen, Deakin University 2013 31/12/2014

Professor Y Du, The University of New England 2014 31/12/2016

Professor G Evans, The University of Newcastle 2013 31/12/2015

Professor J Filar, The Flinders University of South Australia

2013 31/12/2015

Professor K Galvin, The University of Newcastle 2013 31/12/2015

Professor A Grant, University of South Australia 2014 31/12/2016

Dr A Grisogono, Defence Science and Technology Organisation

2014 31/12/2016

Professor H Hao, Curtin University of Technology 2013 31/12/2015

Professor J Keller, The University of Queensland 2011 31/12/2013

Professor B Kirk, Curtin University of Technology 2013 31/12/2015

Professor S Kitipornchai, The University of Queensland 2013 31/12/2015

Professor D Lewis, The Flinders University of South Australia

2014 31/12/2016

Professor C Lim, The University of Melbourne 2014 31/12/2016

Professor J Lloyd, The Australian National University 2011 31/12/2013

Professor A Lucey, Curtin University of Technology (Chair, 2014)

2012 31/12/2014

Professor R Mahony, The Australian National University 2013 31/12/2015

Professor B Mans, Macquarie University 2014 31/12/2016

Professor R Middleton, The University of Newcastle 2014 31/12/2016

Professor M Miller, The University of Newcastle 2014 31/12/2016

Professor B Ninness, The University of Newcastle 2011 31/12/2013

Professor P Pollett, The University of Queensland 2013 31/12/2015

Winthrop Professor C Praeger, The University of Western Australia (Chair, 2013)

2011 31/12/2013

Professor S Qiao, The University of Adelaide 2014 31/12/2016

Professor R Ramer, The University of New South Wales

2014 31/12/2016

Professor K Rasmussen, The University of Sydney 2013 31/12/2015

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Professor T Robertson, University of Technology, Sydney

2014 31/12/2016

Scientia Professor V Sahajwalla, The University of New South Wales (Chair, 2013)

2011 31/12/2013

Professor M Sanderson, RMIT University 2012 31/12/2014

Professor A Sharma, The University of New South Wales

2013 31/12/2015

Professor D Sheng, The University of Newcastle 2013 31/12/2015

Professor P Shi, The University of Adelaide 2014 31/12/2016

Professor C Standing, Edith Cowan University 2011 31/12/2013

Professor L Sterling, Swinburne University of Technology

2012 31/12/2014

Professor M Tade, Curtin University of Technology 2014 31/12/2016

Professor V Varadharajan, Macquarie University 2011 31/12/2013

Professor C Wang, RMIT University 2013 31/12/2015

Professor H Wang, Monash University 2013 31/12/2015

Professor A Whittaker, The University of Queensland 2013 31/12/2015

Professor C Zhang, University of Technology, Sydney 2012 31/12/2014

Professor J Zhu, The University of Queensland 2014 31/12/2016

Humanities and Creative ArtsProfessor L Barwick, The University of Sydney 2014 31/12/2016

Professor D Carter, The University of Queensland 2014 31/12/2016

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

Professor D Del Favero, The University of New South Wales

2014 31/12/2016

Professor K Demuth, Macquarie University 2014 31/12/2016

Dr P Edmonds, University of Tasmania 2013 31/12/2015

Professor T Flew, Queensland University of Technology 2013 31/12/2015

Professor J Hartley, Curtin University of Technology 2011 31/12/2013

Associate Professor H James, The Australian National University

2014 31/12/2016

Professor J Macarthur, The University of Queensland 2014 31/12/2016

Associate Professor M Macintyre, The University of Melbourne

2012 31/12/2014

Professor G Mackenzie, Bond University (Chair, 2013 & 2014)

2012 31/12/2014

Associate Professor K Message, The Australian National University

2014 31/12/2016

Dr J Moss, The University of Melbourne 2014 31/12/2016

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Professor Pauline Nestor, Monash University 2012 14/12/2013

Professor S O’Connor, The Australian National University

2012 31/12/2014

Professor B Opeskin, Macquarie University 2013 31/12/2015

Professor P Patton, The University of New South Wales 2013 31/12/2015

Professor L Ryan, The University of Newcastle 2013 31/12/2015

Professor E Scheer, The University of New South Wales

2013 31/12/2015

Professor B Sherman, Griffith University 2014 31/12/2016

Dr C Smith, La Trobe University 2013 31/12/2015

Professor J Tompkins, The University of Queensland 2011 31/12/2013

Associate Professor S Ulm, James Cook University 2013 31/12/2015

Professor S Ware, RMIT University 2013 31/12/2015

Professor G Wigglesworth, The University of Melbourne 2011 31/12/2013

Professor J Willis, The University of Melbourne 2013 31/12/2015

Physics, Chemistry and Earth SciencesProfessor A Abell, The University of Adelaide 2011 31/12/2013

Professor J Aitchison, The University of Sydney 2013 31/12/2015

Professor N Barnett, Deakin University 2013 31/12/2015

Professor P Bernhardt, The University of Queensland (Chair, 2013)

2011 31/12/2013

Professor M Coffin, University of Tasmania 2013 31/12/2015

Professor M Coote, The Australian National University 2013 31/12/2015

Professor M de Sterke, The University of Sydney 2013 31/12/2015

Professor S Dou, University of Wollongong 2012 31/12/2014

Professor C Easton, The Australian National University 2013 31/12/2015

Professor J Foden, The University of Adelaide 2013 31/12/2015

Professor J Gale, Curtin University of Technology 2013 31/12/2015

Professor K Glazebrook, Swinburne University of Technology

2013 31/12/2015

Professor D Jamieson, The University of Melbourne 2012 31/12/2014

Professor S Kable, The University of New South Wales 2013 31/12/2015

Professor G Lewis, The University of Sydney 2013 31/12/2015

Dr D Mallants, Commonwealth Scientific and Industrial Research Organisation (CSIRO)

2014 31/12/2016

Professor P Marriott, Monash University 2013 31/12/2015

Professor D McClelland, The Australian National University

2013 31/12/2015

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Professor N McClure-Griffiths, CSIRO 2012 31/12/2014

Professor G Metternicht, The University of New South Wales

2014 31/12/2016

Professor L Morawska, Queensland University of Technology

2014 31/12/2016

Professor L Moresi, The University of Melbourne 2012 31/12/2014

Professor S Perrier, Monash University 2011 31/12/2013

Professor W Price, University of Wollongong 2013 31/12/2015

Associate Professor L Rendina, The University of Sydney

2014 31/12/2016

Professor F Separovic, The University of Melbourne 2014 31/12/2016

Professor L Staveley-Smith, The University of Western Australia

2013 31/12/2015

Professor M Stenzel, The University of New South Wales

2013 31/12/2015

Professor A Stuchbery, The Australian National University

2013 31/12/2015

Professor L Sullivan, Southern Cross University 2012 31/12/2014

Professor A Williams, The University of Adelaide (Chair, 2014)

2012 31/12/2014

Professor H Wiseman, Griffith University 2012 31/12/2014

Dr E Wolanski, James Cook University 2014 31/12/2016

Social, Behavioural and Economic SciencesProfessor L Adkins, The University of Newcastle 2011 31/12/2013

Professor J Baxter, The University of Queensland 2012 31/12/2014

Professor A Beer, The University of Adelaide 2012 31/12/2014

Professor P Bordia, The Australian National University 2013 31/12/2015

Professor K Cornish, Monash University 2013 31/12/2015

Professor P Creed, Griffith University 2013 31/12/2015

Professor M Drew, Griffith University 2014 31/12/2016

Professor M Dungey, University of Tasmania 2011 31/12/2013

Professor P Fairbrother, RMIT University 2011 31/12/2013

Professor D Fiebig, The University of New South Wales 2014 31/12/2016

Professor L Given, Charles Sturt University 2012 31/12/2014

Professor B Gleeson, The University of Melbourne 2014 31/12/2016

Professor N Haslam, The University of Melbourne 2013 31/12/2015

Professor B Hayes, The University of New South Wales 2013 31/12/2015

Professor B Head, The University of Queensland 2012 31/12/2014

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Professor A Holbrook, The University of Newcastle 2014 31/12/2016

Professor J Jetten, The University of Queensland 2013 31/12/2015

Associate Professor M Kelaher, The University of Melbourne

2013 31/12/2015

Professor L Lockyer, Macquarie University (Chair, 2013)

2011 31/12/2013

Professor T Lowrie, University of Canberra from 01/07/2011 31/12/2014

Professor G Marston, Queensland University of Technology

2014 31/12/2016

Professor C McGarty, Murdoch University 2013 31/12/2015

Professor P Miller, Curtin University of Technology 2013 12/12/2013

Professor A Neal, The University of Queensland 2013 31/12/2015

Professor S Roach Anleu, The Flinders University of South Australia

2013 31/12/2015

Professor J Roberts, The University of New South Wales

2013 31/12/2015

Professor D Schofield, The University of Sydney 2012 31/12/2014

Professor J Sharman, Griffith University 2014 31/12/2016

Professor L Taksa, Macquarie University 2014 31/12/2016

Professor C Tilbury, Griffith University 2014 31/12/2016

Professor G Venville, The University of Western Australia

2012 31/12/2014

Professor S Ville, University of Wollongong 2014 31/12/2016

Professor E Wertheim, La Trobe University 2013 31/12/2015

ARC Scrutiny Committee

Table A4.6: ARC Scrutiny Committee, 2013–14MEMBER YEAR OF


Professor W Couch, Australian Astronomical Observatory 2013 31/12/2013

Professor R Fitzgerald, University of Canberra 2012 31/12/2013

Professor S Hemelryk Donald, The University of New South Wales (Chair, 2012–13)

2011 31/12/2013

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ARC Selection Advisory Committees

Table A4.7: ARC Selection Advisory Committees, 2013–14

MEMBER; INSTITUTION

Professor M Adams, University of Western Sydney

Dr I Appelqvist, CSIRO

Mr B Biddington, self employed

Professor M Boland, Massey University, New Zealand

Professor J Carver, The Australian National University

Professor M Cassidy, The University of Western Australia

Professor M Corballis, University of Auckland, New Zealand

Emeritus Professor I Dawes, The University of New South Wales

Professor D Day, The Flinders University of South Australia

Professor K Demuth, Macquarie University

Professor M Finnane, Griffith University

Dr R H Frater AO, ResMed Ltd

Professor S Golding, The University of Queensland

Professor P Grimshaw, The University of Melbourne

Prof H Hao, Curtin University of Technology

Dr V Haritos, CSIRO

Mr M Heard, META

Dr J Herrman, National Measurement Institute

Dr A Hill, CSIRO

Dr D Hudson, self employed

Professor A Johnston, The University of Sydney

Professor L Johnson, Australian Academy of the Humanities (Chair)

Dr J Keniry (Chair), self employed

Professor W Laurance, James Cook University

Mr J Law, CSIRO

Professor P Lay, The University of Sydney

Dr J Luck, Plant Biosecurity Cooperative Research Centre

Professor C Mackenzie, Macquarie University

Page 229


MEMBER; INSTITUTION

Professor E McLaughlin, The University of Newcastle

Professor T Monro, The University of Adelaide

Professor L Padgham, RMIT University

Professor J Piggott, The University of New South Wales

Professor J Ramagge, University of Wollongong (Chair)

Winthrop Professor M Randolph, The University of Western Australia

Professor M Reeder, Monash University

Professor K Reynolds, The Flinders University of South Australia

Professor J Roddick, The Flinders University of South Australia

Dr J Ryan, self employed

Scientia Professor V Sahajwalla, The University of New South Wales

Mr P Schutz, self employed

Scientia Professor M Simmons, The University of New South Wales

Professor P Taylor, The University of Melbourne

Mrs D Tompson, self employed

Professor J Ward, Curtin University of Technology

Professor J Walter, Monash University

Professor A Wee, National University of Singapore

Dr J West, Australian National Botanic Gardens

Mr R Wilkinson, self employed

OTHERAustralian Research Integrity Committee

Table A4.8: Australia Research Integrity Committee, 2013–14

MEMBER YEAR OF APPOINTMENT EXPIRY OF APPOINTMENT

Dr K Breen 2011 31/12/2016

Mr R Brent (Chair) 2011 31/12/2016

Ms J Hamblin 2011 31/12/2016

Emeritus Professor S Shaver

2011 31/12/2016

Page 230


APPENDIX 5: CLIENT SERVICE CHARTERTable A5.1: Summary of performance against the ARC client service charter, 2013–14 STANDARD 2013–14 PERFORMANCECommunicationIn our dealings with you we will be courteous; treat you fairly and professionally; provide timely advice that is clear, concise, accurate and complete; and keep any confidential information provided to us as in confidence, except where disclosure is required by law.

The ARC did not receive any general complaints in relation to the communication standards set out in the client service charter.

If you phone us we will answer phone calls promptly during normal business hours and identify ourselves; and aim to resolve your enquiry during the call, or if we can’t, take your details and arrange for the appropriate person to return your call as soon as possible.

The ARC did not receive any general complaints in relation to answering and/or resolving phone call queries.

If you write to us we will, for simple requests, aim to respond to you within ten working days; or for more complex enquiries, 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 NCGPWe will make available on our website accurate advice and information about our funding schemes.

The ARC website contains extensive information about NCGP funding schemes including information about application processes and funding outcomes.

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. Details of the number of appeals received in 2013–14 are provided in Chapter 7.

We will, when reviewing funding schemes and scheme funding rules, consult widely and provide reasonable timeframes for consultation with interested parties.

In 2013–14 the ARC consulted relevant stakeholders when reviewing and developing NCGP schemes. Further information on the consultations undertaken is provided in Chapter 7.

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STANDARD 2013–14 PERFORMANCEAdministration of ERAWe will make available on our website accurate advice and information about the initiative.

The ARC website contains extensive information about the ERA initiative. In 2013–14 all invitations to provide comments on the ERA 2015 draft documentation were posted on the website.

We will act fairly in accordance with our published guidelines.

An ERA evaluation was not conducted during 2013–14. 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.

ERA consultations were undertaken in 2013– 14 with feedback informing the development of the rules and documentation for ERA 2015. Further information on the consultations undertaken is provided in Chapter 6.

Policy adviceWe 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. NCGP analyses conducted in 2013–14, for example, included trends in international collaboration and researcher participation.

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 servicesWe will aim to have the ARC website accessible at least 98 per cent of the time. There may be times when it is not accessible due to technical upgrades or scheduled maintenance. The ARC will endeavour to keep ‘down times’ to a minimum.

The ARC website was available greater than 99.93 per cent of the time during 2013–14.

PrivacyWe will respect the confidentiality of your personal information and use it only in

The ARC has clearly defined procedures for dealing with personal information

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STANDARD 2013–14 PERFORMANCEaccordance with the law. We will give you access to your personal information if you request it.

gathered as part of the agency’s responsibilities for the NCGP and ERA.

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APPENDIX 6: WORK HEALTH AND SAFETY Under the Work Health and Safety Act 2011 (WHS Act), agencies are required to report in their 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

e) such other matters as are required by the guidelines approved on behalf of the Parliament by the Joint Committee of Public Accounts and Audit.

HEALTH AND SAFETY INITIATIVES – 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– workstation assessments– mental health awareness training and health checks.

HEALTH AND SAFETY OUTCOMES Four incidents were reported to the Director, People and Services, in accordance with the department’s incident notification and reporting procedures.

NOTIFIABLE INCIDENTS Under the WHS Act, a notifiable incident is one involving death of a person, serious injury or illness of a person, or a dangerous incident. The ARC had no notifiable incidents during 2013–14.

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 2013–14.

ANY OTHER MATTERSThere are no other matters required by the guidelines.

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APPENDIX 7: 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.

ADVERTISING AGENCIESDuring 2013–14, the ARC paid a total of $19 924 (including GST) to Adcorp Australia Ltd for advertising costs. The advertising was undertaken to advertise ARC programs. No advertising campaigns were undertaken by the ARC during 2013–14.

MARKET RESEARCH OR POLLING ORGANISATIONSDuring 2013–14, the ARC did not employ the services of any market research, polling or direct mail organisations.

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APPENDIX 8: ECOLOGICALLY SUSTAINABLE DEVELOPMENTUnder section 516(a) of the Environment Protection and Biodiversity Conservation Act 1999, agencies are required to report in their annual report on ecologically sustainable development and environmental matters.

ACCORDANCE OF THE ACTIVITIES OF THE ORGANISATION AND THE ADMINISTRATION OF LEGISLATION BY THE ORGANISATION WITH THE PRINCIPLES OF ECOLOGICALLY SUSTAINABLE DEVELOPMENTThe NCGP provides funding for all disciplines including research relevant to ecologically sustainable development and environmental protection. ‘An environmentally sustainable Australia’ was one of four national research priorities of the Australian Government. A summary of research projects with funding commencing in 2013–14 in the area of an environmentally sustainable Australia is provided in Table A8.1. Note that the National Research Priorities were replaced by Strategic Research Priorities in June 2013, and 2013–14 was nominated as a transition year to allow agencies to put processes in place to support the new priorities. Reporting in future years will be against strategic research priorities.

CONTRIBUTION OF THE OUTCOMES SPECIFIED IN A RELEVANT APPROPRIATION ACT TO ECOLOGICALLY SUSTAINABLE DEVELOPMENT The ARC receives its administered funding through an appropriation in the Australian Research Council Act 2001. This funding is reported in the Portfolio Budget Statements under a single outcome: Growth of knowledge and innovation through managing research funding schemes, measuring research excellence and providing advice.

Under the NCGP the ARC supports a research capability that addresses issues of national significance including health, social welfare, defence, transport, communications, and the environment.

EFFECT OF THE ARC’S ACTIVITIES ON THE ENVIRONMENTAs indicated in Table A8.1, under the NCGP the ARC supports a broad range of research relevant to ecologically sustainable development. The research outcomes will benefit Australians by increasing understanding of, and offering solutions to, problems such as how to use finite resources more efficiently and sustainably.

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The ARC recognises its daily activities have a negative impact on the environment through the use of electricity, vehicles, water, paper and other materials, and the generation of waste. Measures to minimise such impact are outlined in the next section.

Table A8.1: New ARC-funded research projects in the area of an environmentally sustainable Australia, funding commencing in 2013–14

SCHEME PROJECTS (NO.) AND % OF TOTAL

TOTAL FUNDING ($) AND % OF TOTAL

Discovery Program

Australian Laureate Fellowships 2013

Environment proposals funded 2 5 622 516

Total funded proposals 17 47 432 835

Environment as % of total 11.8 11.9

ARC Future Fellowships 2013




Discovery Projects 2014 Environment proposals funded 120 472 30 337



Discovery Early Career Researcher Award 2014




Discovery Indigenous 2014




Linkage Program

ARC Centres of Excellence 2014





Environment as % of total 0 0

Linkage Projects 2013 Environment proposals funded 76 27 332 018



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SCHEME PROJECTS (NO.) AND % OF TOTAL

TOTAL FUNDING ($) AND % OF TOTAL

Linkage Infrastructure, Equipment and Facilities 2014




MEASURES BEING TAKEN TO MINIMISE THE IMPACT OF THE ARC’S ACTIVITIES ON THE ENVIRONMENT Building The ARC leases office space in 11 Lancaster Place, Canberra Airport, Canberra. This location 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 2013–14 ARC staff participated in the ‘Earth Hour 2014’ initiative held on 29 March 2014 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.

Information Communication Technology (ICT) services In 2013–14 the ARC reduced its data centre server fleet by four servers in the Transact hosting facility as part of a legacy business application reduction. This is expected to reduce power usage and costs.

The Australian Government ICT Sustainability Plan provides target guidelines for agencies to measure against over the five-year plan. In terms of the summary measures of the plan the ARC can record the achievements in Table A8.2.

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Table A8.2: Australian Government ICT Sustainability Plan–summary of measures

TARGET JULY 2015 2013–14

Sustainable procurement

Relevant ICT equipment meets ISO14024 or ISO14021 standards at a level of EPEAT silver or equivalent as a minimum standard

Implemented in all procurement processes

Two physical servers were purchased during the year. The ARC’s fully virtualised ICT server and storage systems continued to meet targets.

ICT equipment complies with current energy star version

Product take-back and appropriate resource reused or recovery for mobiles; toner cartridges and ICT equipment covered by national e-waste recycling scheme of NWP

General use office copy paper 100% recycled 100% recycled

Managing resource consumption and demand

Internal copy paper per end user (reams per annum)

9 8.6

Desktop computers to printer ratio 20:1 7.7:1

Desktop devices per end user 1.2:1 1.4:1

Managing waste

e-waste reused or recycled 75% n/a

ICT packaging recycled 65% 80%

Managing energy consumption

Desktop energy per end user (kWh per annum and averaged across agency)

250 105

Power usage effectiveness(1) in data centres and server room

1.9 1.45

Desktop computers off after hours 90% 91%

Notes1. Power usage effectiveness figures provided by Data Centre Provider (TransACT

Communications).

2. n/a not applicable

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APPENDIX 9: CORRECTION OF ERRORSUnder the Annual Report requirements, agencies are required to identify errors in their previous annual report.

ERRORS IN ARC ANNUAL REPORT 2012–13– The ARC has identified the following errors in the ARC Annual Report 2012–13:– The results for Measure 7 on page 76 of the ARC Annual Report in 2012–13 (see table

below) were not comparable. The parameters for the results were slightly different for each reporting period listed. They have been adjusted in this annual report to enable comparisons between reporting periods (see page 72 and also below). The target was still met.

Excerpt from page 76, ARC Annual Report 2012–13

CorrectionPROPORTION OF ARC-FUNDED RESEARCHERS WHO ARE EARLY CAREER RESEARCHERS (WITHIN FIVE YEARS OF COMPLETION OF THEIR PHD) (LINKAGE PROJECTS)

REPORTING PERIOD 2012–13 ANNUAL REPORT ADJUSTED FIGURES

2012–13 18.3 per cent 13.2 per cent



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APPENDIX 10: STAFF STATISTICSUnder the Annual Report requirements, agencies are required to provide a range of staff statistics.

CLASSIFICATION LEVELTable A10.1: All staff by classification level (at 30 June 2012, 2013 and 2014)

CLASSIFICATION 2012 2013 2014

CEO 0 1 1

SES Band 2 0 1 1

SES Band 1 4 4 4

Executive Level 2 16 15 15

Executive Level 1 36 40 38

APS 6 (ARC Level 3) 32 27 27

APS 4–5 (ARC Level 2) 32 34 33

APS 1–3 (ARC Level 1) 5 3 0

Total 125 125 119

EMPLOYMENT STATUSTable A10.2: All staff by employment category, employment status and gender (at 30 June 2013 and 2014)

EMPLOYMENT CATEGORY/ STATUS

MALE FEMALE TOTAL FEMALES AS % OF TOTAL

2013 2014 2013 2014 2013 2014 2013 2014

Ongoing

Full-time 38 38 67 68 105 106 63 64

Part-time 0 0 13 9 13 9 100 100

Sub-total 38 38 80 77 118 115 68 67

Non-ongoing

Full-time 3 2 4 2 7 4 57 50

Part-time 0 0 0 0 0 0 0 0

Sub-total 3 2 4 2 7 4 57 50

Total 41 40 84 79 125 119 67 66

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GENDER Table A10.3: All staff by classification level and gender (at 30 June 2013 and 2014)

CLASSIFICATION MALE FEMALE TOTAL FEMALES AS % OF TOTAL

2013 2014 2013 2014 2013 2014 2013 2014

CEO 1 1 0 0 1 1 0 0

SES Band 2 0 0 1 1 1 1 100 100

SES Band 1 1 2 3 2 4 4 75 50

Executive Level 2 5 6 10 9 15 15 67 60

Executive Level 1 17 17 23 21 40 38 57 55

APS 6 (ARC Level 3)

6 7 21 20 27 27 78 74

APS 4–5 (ARC Level 2)

10 7 24 26 34 33 71 79

APS 1–3 (ARC Level 1)

1 0 2 0 3 0 67 0

Total 41 40 84 79 125 119 67 66

STAFF SEPARATIONS Table 10.4: Staff separations by classification level and employment category (at 30 June 2013 and 2014)

CLASSIFICATION ONGOING NON-ONGOING TOTAL

2013 2014 2013 2014 2013 2014

SES Bands 1–2 0 1 1 0 1 1

Executive Level 2 3 2 1 0 4 2

Executive Level 1 6 2 1 0 7 2

APS 6 (ARC Level 3) 2 2 3 0 5 2

APS 4–5 (ARC Level 2) 5 3 3 3 8 6

APS 1–3 (ARC Level 1) 0 1 1 2 1 3

Total 16 11 10 5 26 16

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EMPLOYMENT ARRANGEMENTS Table A10.5: Employment arrangements covering staff (at 30 June 2013 and 2014)1

EMPLOYMENT ARRANGEMENT STAFF 2013(NO.)

2014(NO.)

ARC Enterprise Agreement SES 0 0

Non-SES 119 114

Australian Workplace Agreements SES 0 0

Non-SES 6 5

Common Law Contracts SES 5 4

Non-SES 0 0

s. 24(1) Determinations SES 0 0

Non-SES 2 1

Individual Flexibility Arrangements SES 0 0

Non-SES2 9 12

Notes 1. The CEO is not included in these staffing figures.

2. Non-SES employees with a section 24(1) Determination or Individual Flexibility Arrangement (IFA) are also covered by the ARC Enterprise Agreement. As a result the total number of agreements is higher than the total number of staff by the number of s. 24(1) Determinations and IFA.

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APPENDIX 11: AGENCY RESOURCE STATEMENTSTable A11.1: Agency Resource Statement, 2013–14

ACTUAL AVAILABLE APPROPRIATION FOR 2013–14 $’000(A)

PAYMENTS MADE2013–14$’000(B)

BALANCE REMAINING2013–144$’000(A) – (B)

Ordinary annual services

Departmental appropriation1 26 144 18 385 7 759

Total 26 144 18 385 7 759

Administered expenses

Outcome 1 3 111 2 528

Total 3 111 2 528

Total ordinary annual services A 29 255 20 913

Other services

Departmental non-operating

Equity injections2 2 514 2 033 481

Total 2 514 2 033 481

Total other services B 2 514 2 033

Total available annual appropriations and payments

31 769 22 946

Special appropriations

Special appropriations limited by criteria/entitlement

ARC Act 2001 883 959 883 284

Total special appropriations C 883 959 883 284

Special accounts

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ACTUAL AVAILABLE APPROPRIATION FOR 2013–14 $’000(A)

PAYMENTS MADE2013–14$’000(B)

BALANCE REMAINING2013–144$’000(A) – (B)

Opening balance 16 664 16 664

Appropriation receipts

Appropriation receipts – other agencies3

Payments made 9 997

Total special account D 16 664 9 997 6 667

Total resourcing and payments A+B+ C+D

932 392 916 227

Less appropriations drawn from annual or special appropriations above and credited to special accounts through annual appropriations

Total net resourcing and payments for ARC

932 392 916 227

Notes 1. Appropriation Bill (No.1) 2013-14. This includes Prior Year departmental appropriation and

s.31 relevant agency receipts. Includes an amount of $0.948m in 2013-14 for the Departmental Capital Budget. For accounting purposes this amount has been designated as ‘contributions by owners’.

2. Appropriation Bill (No.2) 2013-14. This includes Prior Year departmental capital appropriation.

3. Appropriation receipts from other agencies credited to ARC’s Endowment Account (special account).

4. The remaining balance for 2013-14 differs from the unspent annual appropriations (as per Financial Statements Note 27C). This is due to the payments made in 2013-14 including payments from ARC’s cash account in addition to the amounts drawn down, whereas note 27 considers only the drawdowns from the appropriations account.

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Table A11.2: 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 2013–14 $’000(A)

ACTUAL EXPENSES 2013–14 $’000(B)

VARIATION 2013–14 $’000(A) – (B)

Program 1.1: Discovery—Research and Research Training


Ordinary annual services (Appropriation Bill No. 1) 1 044 912 132

Special appropriations 557 688 588 837 - 31 149

Departmental expenses

Ordinary annual services (Appropriation Bill No. 1) 7 483 6 920 563

Expenses not requiring appropriation in the Budget year

1 062 1 121 - 59

Total for Program 1.1 567 277 597 791 - 30 514

Program 1.2: Linkage—Cross-Sector Research Partnerships



Special appropriations 319 174 316 054 3 120

Special Accounts 9 997 9 997 -




1 062 1 121 - 59

Total for Program 1.2 340 823 336 709 4 114

Program 1.3: Excellence in Research for Australia






1 062 1 121 - 59

Total for Program 1.3 4 802 4 397 405

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OUTCOME 1: GROWTH OF KNOWLEDGE AND INNOVATION THROUGH MANAGING RESEARCH FUNDING SCHEMES, MEASURING RESEARCH EXCELLENCE AND PROVIDING ADVICE

BUDGET 2013–14 $’000(A)

ACTUAL EXPENSES 2013–14 $’000(B)

VARIATION 2013–14 $’000(A) – (B)

Outcome 1: Totals by appropriation type

Administered Expenses


Special appropriations 876 862 904 891 - 28 029

Special Accounts 9 997 9 997 -


Ordinary annual services (Appropriation Bill No. 1) 19 746 18 261 1 485


3 186 3 364 - 178

Total expenses for Outcome 1 912 902 938 896 - 25 995

2012–13 2013–14

Average Staffing Level (number) 115 116

Note

* Full-year budget, including any subsequent adjustment made to the 2013-14 Budget.

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Professor Laurie Brown, University of Canberra, is examining Australia’s oldest old population. Photo courtesy of Michelle McAulay.

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PART 6 REFERENCELIST OF FIGURES AND TABLES 248LIST OF CASE STUDIES 250ABBREVIATIONS AND ACRONYMS 252GLOSSARY 255COMPLIANCE INDEX 259ALPHABETICAL INDEX 264CONTACT INFORMATION 270

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LIST OF FIGURES AND TABLES

FIGURESNO. TITLE PAGE

2.1 Structure of the Australian Research Council 12

2.2 ARC Outcome and Programs, 2013–14 14

4.1 Discovery Program, number of proposals funded by scheme 51

4.2 Discovery Program, total funding awarded 51

5.1 Linkage Program, number of proposals funded by scheme 67

5.2 Linkage Program, total funding awarded 67

5.3 Linkage Projects scheme, partner organisation contributions by type of organisation, 2013–14

69

TABLESNO. TITLE PAGE

4.1 Discovery Program, performance summary 48

4.2 Discovery Program, deliverables 49

5.1 Linkage Program, performance summary 64

5.2 Linkage Program, deliverables 65

6.1 Excellence in Research for Australia, performance summary 86

6.2 Excellence in Research for Australia, deliverables 87

9.1 Salary ranges of non-SES staff by classification 121

9.2 Training and development by classification, 2013–14 122

A1.1 Discovery Program, funding schemes 206

A1.2 Discovery Program, funding commencing in 2010–11 to 2013–14 207

A1.3 Discovery Program, number of research outputs, funding commencing in 2007 to 2009

208

A1.4 Discovery Projects scheme, number of research personnel outputs, funding commencing in 2009

209

A2.1 Linkage Program, funding schemes 210

A2.2 Linkage Program, funding commencing in 2010–11 to 2013–14 212

A2.3 Linkage Program, number of research outputs, funding commencing in 213

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NO. TITLE PAGE

2007 to 2009

A2.4 ARC Centres of Excellence, number of research outputs, 2013 214

A2.5 Linkage Projects scheme, number of research personnel outputs, funding commencing in 2009

215

A3.1 Prizes and awards, ARC-funded researchers, 2013–14 216

A4.1 ARC Advisory Council, 2013–14 220

A4.2 ARC Audit Committee, 2013–14 220

A4.3 ARC Senior Management Group, 2013–14 220

A4.4 ARC Appeals Committee, 2013–14 221

A4.5 ARC College of Experts, 2013–14 221

A4.6 ARC Scrutiny Committee, 2013–14 227

A4.7 Members of Selection Advisory Committee, 2013–14 228

A4.8 Australian Research Integrity Committee, 2013–14 229

A5.1 Summary of performance against the ARC client service charter, 2013–14

230

A8.1 New ARC-funded research projects in the area of an environmentally sustainable Australia, funding commencing in 2013–14

235

A8.2 Australian Government ICT Sustainability Plan–summary of measures 237

A10.1 All staff by classification level 239

A10.2 All staff by employment category, employment status and gender 239

A10.3 All staff by classification level and gender 240

A10.4 Staff separations by classification level and employment category 240

A10.5 Employment arrangements covering staff 241

A11.1 Agency Resource Statement, 2013–14 242

A11.2 Expenses and Resources for Outcome 1 244

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LIST OF CASE STUDIESTITLE PAGE

Chapter 3: Outcome

Discovery: ARC fellows recognised as Australia’s research leaders 20

Discovery: Eucalyptus forest water management 22

Discovery: Nanostructure of milk 23

Discovery: Improved detection of explosives 24

Discovery: Revolutionising health care diagnostics 25

Discovery: Understanding plant resistance 26

Discovery: Impact of deforestation on global diversity 27

Discovery: Electoral integrity 28

Linkage: Centre fostering talented researchers 29

Linkage: Special Research Initiatives scheme building capacity 30

Linkage: Using Triple J to stop collisions in space 32

Linkage: Preserving Australian Indigenous heritage 33

Linkage: Making our roads and workplaces safer 34

Linkage: Livestock vaccine could save billions 35

Linkage: Synchrotron solves centuries-old mystery 36

Linkage: Human resistance to bacterial diseases linked to coral ancestry 37

Linkage: Weed study provides insight into Alzheimer’s 38

ERA: Benefits of Excellence in Research for Australia 39

ERA: Contribution of ERA to mapping research activity in Australia 40

Policy: Research workforce policy 41

Policy: Working with other research agencies 42

Policy: International strategy 43

Policy: Open access policy 44

Policy: Accessible data 45

Chapter 4: Discovery

Discovery: The mangrove carbon pump 58

Discovery: History of Australian mining 59

Discovery: Geological processes and landscape evolution 60

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TITLE PAGE

Discovery: Understanding the behaviour of bushfires 61

Chapter 5: Linkage

Linkage: Industrial Transformation Research Hubs 81

Linkage: ARC Centres of Excellence 83

Chapter 7: Corporate Governance

Governance: Informed and appropriate risk taking 107

Chapter 9: People Management

People Management: Agency Multicultural Plan 123

People Management: State of the Service census results 124

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ABBREVIATIONS AND ACRONYMS

AACPFG Australian Centre for Plant Functional Genomics AMP Agency Multicultural PlanANAO Australian National Audit Office APS Australian Public Service APSC Australian Public Service Commission ARC Australian Research Council ARC Act Australian Research Council Act 2001 ARENA Australian Renewable Energy AgencyARIC Australian Research Integrity Committee ARMS Australasian Research Management SocietyAWA Australian Workplace Agreement

CCAASTRO ARC Centre of Excellence for All-sky Astrophysics CEIs Chief Executive’s InstructionCEO Chief Executive Officer CSIRO Commonwealth Scientific and Industrial Research Organisation

DDI Discovery Indigenous schemeDECRA Discovery Early Career Researcher Award DORA Discovery Outstanding Researcher AwardDP Discovery Projects scheme

EECR early career researcher EGM Executive General Manager EOI expression of interest ERA Excellence in Research for Australia

FFL Australian Laureate Fellowships scheme FMA Act Financial Management and Accountability Act 1997 FOI Act Freedom of Information Act 1982 FoR Field of Research FS Super Science FellowshipsFT Future Fellowships scheme FTE full-time equivalent

GGRC Global Research Council

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GST goods and services tax

I ICON Intra Government Communications NetworkICT information and communications technology IFA Individual Flexibility Agreements IH Industrial Transformation Research HubsIODP International Ocean Discovery ProgramIPS Information Publication Scheme ITRP Industrial Transformation Research Program

JJDRF Juvenile Diabetes Research Foundation

KKPI key performance indicator kWh kilowatt hour

LLASP Linkage Learned Academies Special Projects scheme LIEF Linkage Infrastructure, Equipment and Facilities scheme LP Linkage Projects scheme

MMAEAG Multicultural Access and Equity Action GroupMWA Murchison Widefield Array

NNABERS National Australian Building Environment Rating System NCGP National Competitive Grants ProgramNCGRT National Centre for Groundwater Research and Training NHMRC National Health and Medical Research Council NICTA National ICT Australia NIRAKN National Indigenous Research Knowledges Network NRP national research priority NT Northern TerritoryNWC National Water Commission

OOECD Organisation for Economic Cooperation and Development

PPBS Portfolio Budget Statements PGPA Act Public Governance, Performance and Accountability Act 2013

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PhD Doctor of PhilosophyPS Act Public Service Act 1999

RR&D research and development REC Research Evaluation Committee RET Renewable Energy TechnologyROPE Research Opportunity and Performance Evidence

SSAC Selection Advisory CommitteeSAMI Sydney-Australian-Astronomical-Observatory Multi-object Integral-field

SpectographSES Senior Executive Service SMG Senior Management Group SRE Sustainable Research Excellence SRP strategic research prioritySRI Special Research Initiatives scheme

UUNESCO United Nations Education, Scientific and Cultural OrganizationUoE unit of evaluation

WWHS Act Work Health and Safety Act 2011 (Cth)

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GLOSSARYAdministered funding Funding that is managed by agencies on behalf of the government.

Bibliometric studyA study that uses statistical methods in the analysis of a body of literature to reveal the historical development of subject fields and patterns of authorship, publication and use.

Citation A reference to a research publication in another research publication. The number of citations received by a publication is considered to provide an indication of the potential use of a researcher’s work by fellow researchers. The basic premise is that a frequently cited paper has had a greater influence on subsequent research activities than a paper with no citations or only a few.

Collaborating organisations Include Administering Organisations, Eligible Organisations and Partner Organisations.

Departmental items Those assets, liabilities, revenues and expenses controlled by agencies or authorities and used in producing their outputs.

Discovery ProgramProgram 1.1 of the 2013–14 Portfolio Budget Statements, which provides funding for investigator-initiated research projects and research fellowships and awards through the Australian Laureate Fellowships, Discovery Early Career Researcher Award, Discovery Indigenous, Discovery Projects, Future Fellowships and Super Science Fellowships schemes.

Early career researcher A researcher who has held a PhD or equivalent qualification for a period less than or equal to five years at the time of their application.

Excellence in Research for Australia ProgramProgram 1.3 of the 2013–14 Portfolio Budget Statements, which provides Government, industry, business and the wider community assurance of the excellence of research conducted in Australia’s higher education institutions through an evaluation framework that identifies universities and disciplines that are internationally competitive and highlights areas where there are opportunities for further development and investment.

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Field of Research (FoR) classificationA classification based on the methodology used in the R&D that is being considered. The Australian Bureau of Statistics (ABS) develops the FoR codes in consultation with stakeholders in the research sector. Full code descriptions are available on the ABS website <www.abs.gov.au>.

Final report A report to the ARC that researchers must submit within 12 months of completing their research project. The report includes a range of data and information including a description of research outcomes, academic and commercialisation outputs and details of collaboration.

Funding agreementThe agreement entered into by the ARC and an Administering Organisation when a proposal from that organisation is approved for funding.

Funding round The year funding for new grants commences.

Funding rulesDocuments published on the ARC website for each funding scheme which provide applicants with information about a scheme, eligibility requirements, the application, selection and approval processes, and requirements for the administration of funding.

Invention disclosure That which 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.

Linkage ProgramProgram 1.2 of the 2013–14 Portfolio Budget Statements, which provides funding for research projects, infrastructure, hubs and centres that foster collaboration among researchers and research teams in Australia and internationally, and with industry and other end-users of research. The Linkage Program comprises the ARC Centres of Excellence; Co-funded Research Centres; Industrial Transformation Research Hubs; Industrial Transformation Training Centres; Linkage Infrastructure, Equipment and Facilities; Linkage Learned Academies Special Projects; Linkage Projects and Special Research Initiatives schemes.

Mid-career researchersA researcher with between 5 and 15 years research experience since the award of a PhD or equivalent qualification at the time of their application.

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National Competitive Grants ProgramThe program under which the ARC funds a range of complementary schemes to support the highest-quality fundamental and applied research, research training and collaboration or partnerships and infrastructure across all research disciplines.

National Research Priorities A set of priority areas identified by the Australian Government. In 2012–13 the Australian Government’s four National Research Priorities were: An environmentally sustainable Australia (Environment); Promoting and maintaining good health (Health); Frontier technologies for building and transforming Australian industries (Frontier technologies); and Safeguarding Australia. In 2013 the National Research Priorities were replaced by Strategic Research Priorities.

Non-traditional research outputs Research outputs which do not take the form of traditional research books, book chapters, journal articles, conference publications.

Open accessThe idea that research outcomes, particularly those arising from publicly funded research projects, should be available as broadly as possible.

Open dataThe idea that data collected and used as part of a research project, particularly a publicly funded research project, should be freely available to other researchers and the wider community.

Partner investigator Researchers who are not eligible to be Chief Investigators under Discovery Projects and Linkage Projects grants, but who are taking significant intellectual responsibility for the research.

Partner organisationsNational or international organisations that satisfy the eligibility criteria for a partner organisation as defined under Linkage Program funding rules, and contribute to the research project in accordance with the requirements of the scheme.

Patent 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.

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Peer reviewEvaluation of research proposals or outputs by experts in the same research discipline.

Start-up companies Companies engaged in businesses that were dependent, for their formation, upon licensing or assignment of technology developed in ARC-funded research projects.

Strategic Research PrioritiesPriority research areas identified by the Australian Government, and available via the ARC website.

Success rate The number of awards made in a year or funding round as a percentage of the total number of applications. Withdrawn applications are excluded from calculations.

Units of evaluation A discipline for a specific higher education institution at the two- or four-digit field of research level.

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COMPLIANCE INDEX

AUSTRALIAN RESEARCH COUNCIL ACT 2001REF REPORT SECTION / DESCRIPTION REQUIREMENT PAGE(S)

Description

33C Particulars of any Ministerial directions about performance of the ARC’s functions

Mandatory 95

45 An assessment of the CEO’s performance against the performance indicators set out in the strategic plan

Mandatory 48, 52–57 64, 68–80 86, 89–91

46 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’. In June 2013, the Australian Government announced that the national research priorities would be replaced by strategic research priorities. Further information about implementation of the new priorities is provided in Chapter 4 (page 56).

Mandatory 56, 74–75

REQUIREMENTS FOR ANNUAL REPORTSREF* PART OF REPORT/ DESCRIPTION REQUIREMENT PAGE(S)

8(3) & A.4

Letter of transmittal Mandatory iii

A.5 Table of contents Mandatory iv

A.5 Index Mandatory 264

A.5 Glossary Mandatory 255

A.5 Contact officer(s) Mandatory 270

A.5 Internet home page address and Internet address for report

Mandatory ii, 270

9 Review by Chief Executive Officer

9(1) Review by Chief Executive Officer Mandatory 2–7

9(2) Summary of significant issues and developments Suggested 2–7

9(2) Overview of performance and financial results Suggested 2–7

9(2) Outlook for following year Suggested 6–7

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REF* PART OF REPORT/ DESCRIPTION REQUIREMENT PAGE(S)

9(3) Significant issues and developments–portfolio Portfolio departments– suggested

N/A

10 Departmental overview

10(1) Role and functions Mandatory 11

10(1) Organisational structure Mandatory 12

10(1) Outcome and program structure Mandatory 14

10(2) Where outcome and program structures differ from PB Statements/PAES or other portfolio statements accompanying any other additional appropriation bills (other portfolio statements), details of variation and reasons for change

Mandatory N/A

10(3) Portfolio structure Portfolio departments– mandatory

N/A

11 Report on performance

11(1) Review of performance during the year in relation to programs and contribution to outcomes

Mandatory 17–91

11(2) Actual performance in relation to deliverables and KPIs set out in PB Statements/PAES or other portfolio statements

Mandatory 47–57 63–80 85–91

11(2) Where performance targets differ from the PBS/PAES, details of both former and new targets, and reasons for the change

Mandatory N/A

11(2) Narrative discussion and analysis of performance Mandatory 17–91

11(2) Trend information Mandatory 49–57 65–75

11(3) Significant changes in nature of principal functions/services

Suggested N/A

11(3) Performance of purchaser/provider arrangements If applicable, suggested

N/A

11(3) Factors, events or trends influencing departmental performance

Suggested N/A

11(3) Contribution of risk management in achieving objectives Suggested 106

11(4) Performance against service charter customer service standards, complaints data, and the department’s response to complaints

If applicable, mandatory

230

11(5) Discussion and analysis of the department’s financial performance

Mandatory 131

11(6) Discussion of any significant changes in financial results Mandatory 131

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from the prior year, from budget or anticipated to have a significant impact on future operations.

11(7) Agency resource statement and summary resource tables by outcomes

Mandatory 242

12 Management and accountability

Corporate governance

12(1) Agency heads are required to certify that their agency complies with the ‘Commonwealth Fraud Control Guidelines’.

Mandatory iii

12(2) Statement of the main corporate governance practices in place

Mandatory 94–112

12(3) Names of the senior executive and their responsibilities Suggested 98–99

12(3) Senior management committees and their roles Suggested 100–103

12(3) Corporate and operational plans and associated performance reporting and review

Suggested 104

12(3) Internal audit arrangements including approach adopted to identifying areas of significant financial or operational risk and arrangements to manage those risks

Suggested 105–107

12(3) Policy and practices on the establishment and maintenance of appropriate ethical standards

Suggested 108–110

12(3) How nature and amount of remuneration for SES officers is determined

Suggested 121

External scrutiny

12(4) Significant developments in external scrutiny Mandatory 113–117

12(4) Judicial decisions and decisions of administrative tribunals and by the Australian Information Commissioner

Mandatory 115

12(4) Reports by the Auditor-General, a Parliamentary Committee. the Commonwealth Ombudsman or an agency capability review

Mandatory 114–115

Management of human resources

12(5) Assessment of effectiveness in managing and developing human resources to achieve departmental objectives

Mandatory 118–124

12(6) Workforce planning, staff retention and turnover Suggested 120

12(6) Impact and features of enterprise or collective agreements, individual flexibility arrangements (IFAs), determinations, common law contracts and Australian Workplace Agreements (AWAs)

Suggested 120

12(6) Training and development undertaken and its impact Suggested 122

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12(6) Work health and safety performance Suggested 122, 232

12(6) Productivity gains Suggested N/A

12(7) Statistics on staffing Mandatory 119, 239–241

12(8) Enterprise or collective agreements, IFAs, determinations, common law contracts and AWAs

Mandatory 120–121

12(9) & B

Performance pay Mandatory 121

Assets management

12(10)-(11)

Assessment of effectiveness of assets management If applicable, mandatory

127

Purchasing

12(12) Assessment of purchasing against core policies and principles

Mandatory 126

Consultants

12(13)-(22)

The annual report must include a 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). The annual report must include a statement noting that information on contracts and consultancies is available through the AusTender website.

Mandatory 127

Australian National Audit Office access clauses

12(23) Absence of provisions in contracts allowing access by the Auditor-General

Mandatory 127

Exempt contracts

12(24) Contracts exempted from publication in AusTender Mandatory 127

Financial statements

13 Financial Statements Mandatory 133–203

Other mandatory information

14(1) & C.1

Work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011)

Mandatory 232

14(1) & C.2

Advertising and Market Research (Section 311A of the Commonwealth Electoral Act 1918) and statement on advertising campaigns

Mandatory 233

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14(1) & C.3

Ecologically sustainable development and environmental performance (Section 516A of the Environment Protection and Biodiversity Conservation Act 1999)

Mandatory 234

14(1) Compliance with the agency’s obligations under the Carer Recognition Act 2010

If applicable, mandatory

N/A

14(2) & D.1

Grant programs Mandatory 116

14(3) & D.2

Disability reporting – explicit and transparent reference to agency-level information available through other reporting mechanisms

Mandatory 116

14(4) & D.3

Information Publication Scheme statement Mandatory 117

14(5) Correction of material errors in previous annual report If applicable, mandatory

238

E Agency Resource Statements and Resources for Outcomes

Mandatory 242–245

F List of requirements Mandatory 259–263

* Requirements for Annual Reports for Departments, Executive Agencies and FMA Act Bodies, Department of the Prime Minister and Cabinet, 29 May 2014

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ALPHABETICAL INDEXPage numbers in italic indicate photographs.

Aabbreviations 252–4Aboriginal and Torres Strait Islanders

Researchers’ Network see National Indigenous Research and Knowledges Network

Academy of Technological Sciences andEngineering Clunies Ross Awards 217

accessible data 45acronyms 252–4administering organisations, grants made to

50, 66advertising agencies 233Agency Multicultural Plan 123agency resource statements 242–5Antarctic Gateway 132appeals 102, 112, 230Appeals Committee 102, 221ARC Advisory Council 100, 220ARC Centre Directors’ Forum 111ARC College of Experts 101–2, 221–7ARC Fellows, recognition of leadership 20–

21ARC/NHMRC Research Administrators’

Seminar 111assessors, ethical conduct by 109–10assets, management of 127Atomic Clock Ensemble in Space mission

70audit

Auditor’s Report 135–6Australian National Audit Office reports 114–5internal arrangements 105–7see also Australian National Audit Office

Audit Committee 101, 220Australian Academy of Science Awards

216–17Australian Academy of the Humanities Max

Crawford Medal 217

Australian Code for the Care and Use ofAnimals for Scientific Purposes 109

Australian Code for the Responsible Conduct of Research 45, 103, 108

Australian Government ICT Sustainability Plan 236

Australian Institute of Aboriginal and Torres Strait Islander Studies Guidelines for Ethical Research in Australian Indigenous Studies 108

Australian Laureate Fellowships 21, 27, 28, 47, 49–51, 54, 206–7, 235

Australian Museum Eureka Prizes 216Australian National Audit Office 114–15,

127Australian Research Council Act 2001, 95,

259Australian Research Integrity Committee

103, 229Australian Synchrotron 23, 26, 36, 79Australian Workplace Agreements 120, 241awards see prizes and awards

BBenefits Realisation Review of ERA, Final

report 5, 39Bionic Vision Science and Technology

Initiative 79Boosting Dementia Research 132Bowditch, Dr Terry 12, 13, 98Brungs, Professor Attila 100Buckskin, Professor Peter 100Budget, significant measures in 132business continuity 106Byrne, Professor Aidan 3, 12, 13, 31, 44,

75, 100, 137, 220see also Chief Executive Officer

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CCameron, Dr Fiona 12, 13, 98case studies, list of 250–1ARC Centres of Excellence 3–4, 16, 25, 29,

32, 37–8, 63, 65–7, 70–2, 74, 76, 83, 98, 102, 210, 212, 214, 235for All-sky Astrophysics 32for Children and Families over the LifeCourse 83for Coral Reef Studies 37for Plant Energy Biology 38for Quantum Computation andCommunication Technology 29for Robotic Vision 83

Chief Executive Instructions 96, 126Chief Executive Officer 12, 13, 100–1, 220

functions and responsibilities 98letter of transmittal iiireview by 1–6 see also Byrne, Professor Aidan

Chief Financial Officer 99, 101, 137, 220Chief Information Officer 99, 101, 220Chief Program Officer 12, 99, 101, 220Client Service Charter 112, 230–1co-funded research centres 80committees

ethical conduct 109–10membership 220–9ARC governance 100–1Australian Research Integrity Committee 103Excellence in Research for Australia 103National Competitive Grants Program 101–2

common law contracts 121, 241Commonwealth Fraud Control Guidelines

iii, 106Commonwealth Grants Rules and

Guidelines 96Commonwealth Procurement Rules 96, 126complaints handling policy 112compliance index 259conflict of interest 110, 114consultancy services 126–7consultation 87, 89–91, 111, 230–1

corporate governance 94–112, 220correction of errors 117, 238

DDan, Dr Laura 12, 99Deleva, Julija 99, 137Department of Education 7, 87, 90, 114

see also Education portfolioDepartment of Industry 87Department of Industry, Innovation, Climate

Change, Science, Research and Tertiary Education 114

Department of the Prime Minister and Cabinet 15, 97, 104

deregulation 97disability reporting 116disaster recovery 106Discovery Early Career Researcher Award

47, 49–51, 54–5, 58, 60, 206–7, 235Discovery Indigenous Awards 47, 49, 50–1,

61, 206–7, 235Discovery Program 11, 45, 46–61, 206–9,

235case studies 20–28, 58–61deliverables 48–51description 47expenses and resources 244funding schemes 206–9international collaboration 57key performance indicators 48, 52–57National Research Priorities 56objectives 47, 52–57performance 46–57performance data 208policy advice 66

Discovery Projects 3, 22–3, 25–6, 29, 41, 47 49, 50–1, 54–5, 57, 102, 206–7, 209, 235

Eecological sustainable development 234–7Education portfolio 95employment arrangements 120–2, 241enterprise agreements 120, 241ethical standards 108–10

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Excellence in Research for Australia 4–5, 19, 84–91case studies 39–40consultation 87, 89–91, 111, 231deliverables 86–7description 85function 11key performance indicators 86, 89–91objective 88performance 85–91policy advice 87Research Evaluation Committees 103

executive staff 13, 98–9, 121 see also senior staff

exempt contracts 127external scrutiny 113–17

FFarrell, Dr Leigh 100figures, list of 248Financial Management and Accountability

Act 1997, 95, 96, 101, 114financial performance

agency resource statements 242–5analysis of 131

financial statements 133–203contents 134notes to 149–203

fraud control iii, 106 see also ethical standards

Future Fellowships 4, 6, 25, 27, 47, 49–51, 56–7, 59, 132, 206–7, 235

GGarton, Professor Stephen 100glossary 255–8governance see corporate governancegovernance committees 100–1grants see National Competitive Grants

Programguiding principles of ARC ii

HHarding, Professor Sandra 100Harvey, Leanne 12, 13, 98

IIndividual Flexibility Arrangements 120, 241Industrial Transformation Research Hubs

63, 65–8, 72, 77, 81, 210, 212Industrial Transformation Research

Program 4, 63, 65, 67, 74, 76–7see also Industrial Transformation ResearchHubs; Industrial Transformation Training Centres

Industrial Transformation Training Centres 63, 65–7, 73, 77, 210, 212

Information Communication Technologyservices, sustainability of 236–7

Information Publication Scheme 117institutional reviews 105internal audit 105–7international applicants 55international awards for researchers 219international collaboration 43, 57, 70International Ocean Discovery Program 70international strategy 43

JJohnson, Professor Paul 100juvenile diabetes 4, 75, 78, 132Juvenile Diabetes Research Foundation 4,

75, 78

Kkey priorities 7

LLeahey, Trish 12, 99Learned Academies Special Projects 63,

65–7, 74, 211–2legislative requirements and legislation 15,

95, 116letter of transmittal iiiLinkage Infrastructure, Equipment and

Facilities 33, 63, 65–7, 70, 102, 210, 212, 235

Linkage Program 7, 11, 62–83, 210–5, 235

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case studies 29–38, 81–3deliverables 64–7description 63expenses and resources 244funding schemes 210–11international collaboration 70key performance indicators 64, 68–75National Research Priorities 74–75objectives 63, 68–80partner organisations 68–9performance 63–80performance data 213policy advice 66

Linkage Projects 4, 34–5, 63, 65–9, 72, 102, 211–2, 215, 235, 238

list of photographs vi–ixL’Oreal for Women in Science Fellowship

218

Mmandatory reporting in Annual Reports 116,

259–263mapping research, ERA contributions to 40market research 233Meredyth, Professor Denise 12, 13, 98Metcalf Prize for Stem Cell Research 218Miller, Professor Suzanne 100ministerial arrangements 3, 95, 97, 98, 100

directions 95, 259 Minister for Education iii, 75, 95see also Pyne, Christopher

mission statement of ARC iiMulticultural Access And Equity Policy 123

NNational Centre for Groundwater Research

and Training viii, 80, 84National Competitive Grants Program 3, 7,

11, 19, 95, 108, 111–2, 116, 230–1, 234committees 101–2, 221–9policy case studies 41, 43, 44, 45see also Discovery Program; Linkage Program

National Health and Medical Research Council 5, 42, 44, 103, 109, 111, 132

National ICT Australia 80

National Indigenous Research and Knowledges Network 30–1, 79

National Principles of Intellectual Property Management for Publicly Funded Research 108

National Research Priorities 56, 74–5, 234, 257, 259see also Strategic Research Priorities

National Statement on Ethical Conduct in Human Research 108

NHMRC Values and Ethics: Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health Research 108

OOpen Access policy 5, 44Operational Plan 104Organisational structure 12outcomes 18–45

case studies 20–45, 58–61, 81–3, 107, 123–4, 250expenses and resources 244–5program structure and 14, 18–45see also research outputs

Pparliamentary committees 114people management 118–24performance 14, 17–92, 96, 104, 112

Discovery Program 46–57Excellence in Research for Australia 84–91indicators see key performance indicatorsfinancial see financial performance Linkage Program 62–80service see Client Service Charter

Performance-based Funding for Public Research in Tertiary Education Institutions 89

performance pay 121Performance Reporting Framework 14–15planning 104policy advice 11, 15, 19, 231

Discovery Program 50

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Excellence in Research for Australia 87Linkage Program 66

portfolio arrangements 95, 114Portfolio Budget Statements 15, 19, 104Prime Minister’s Science Prizes 216priorities see key priorities; National

Research Priorities; Strategic Research Priorities

prizes and awards 216–19Programs 14–5

1.1 see Discovery Program1.2 see Linkage Program1.3 see Excellence in Research for Australiaoutcome and program structure 14–15

Public Governance, Performance and Accountability Act 2013, 96

Public Service Act 1999, iii, 15, 95, 114, 116, 120, 124

purchasing 126Pyne, Christopher iii, 75, 95

see also ministerial arrangements

Rreporting 14, 104, 116, 259–263Research Opportunity and Performance

Evidence statement 5, 41, 54research outputs

Centres of Excellence 214Discovery Program 208–9Linkage Program 213, 215see also outcomes

research students 54–5, 72–3, 209, 215researchers

best practice evaluation 89ethical conduct 108–9number supported 50, 66, 209, 214–5prizes and awards to 216–19training and career opportunities 54–5, 72–4workforce policy 41

risk management 106–7role and functions of the ARC 11

Ssafe and healthy work environment 122,

232Science of Learning Research Centre 30–

1, 79Scopus Young Researcher Awards 218Scrutiny Committee 102, 227Section 24(1) determinations 120, 241Selection Advisory Committees 102, 228–9Senate Committees 114Senior Management Group 101, 220senior staff 99

see also Executive staffSimms, Professor Marian 12, 13, 99Special Research Initiatives 7, 30–1, 65–7,

78–9, 132, 211–3see also Antarctic Gateway; Bionic Vision Science and Technology Initiative; Boosting Dementia Research; National Indigenous Research and Knowledges Network; Science of Learning Research Centre; Stem Cells Australia; Australian Synchrotron; Tropical Health and Medicine; juvenile diabetes

staffARC staff photograph 8–9classification levels 121, 239ethical conduct 108executive staff 12, 13, 98–9gender by employment level 240management of 118–24senior staff 99separations by employment level 240statistical information 239–41remuneration 121–2training and development 122workplace arrangements 120workplace health and safety 122, 232

stakeholder engagement 111State of the Service census 124State Scientists of the Year 218Stem Cells Australia 79strategic plan 15, 104Strategic Research Priorities 56, 74, 234,

258, 259see also National Research Priorities

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Super Science Fellowships 24, 49, 51, 207Sustainable Research Excellence in

Universities scheme 90

Ttables, list of 248–9Thomas, Professor Sue 100training and development 122Tropical Health and Medicine 78

Vvision statement of ARC ii

Wwebsite ii, 231, 270 Work Health and Safety Act 2011, 116,

122, 232workforce planning 120

YYates, Professor Brian 12, 13, 99Young Tall Poppy Science Awards 217–18

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CONTACT INFORMATION

ARC OFFICE11 Lancaster PlaceCanberra Airport ACT 2609

GPO Box 2702Canberra ACT 2601

ANNUAL REPORTGeneral enquiries and comments about this report can be directed to:

Director, Policy and Governance Australian Research Council

+61 2 6287 6600

+61 2 6287 6601

[email protected]

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

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