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CHAPTER 3 REPORT ON PERFORMANCE

Overview Key Objectives


D I S COV E RY LI N KAGE RESEARCH TRAINING AND CAREERS R E S E A R C H I N F R A ST R U C T U R E PRIORITY SETTING CO M M U N I T Y AWA R E N E S S G OV E R N A N C E

Policy Advice Summary of Key Performance Indicators

REPORT ON PERFORMANCE

OVERVIEW
The report on performance in this chapter comprises three main elements: a report against the seven key areas of the ARCs activity, as identified in the ARC Strategic Action Plan 200204. The key areas are: discovery; linkage; research training and careers; research infrastructure; priority setting; community awareness; and governance. a summary of the key policy activities of the ARC during 200102. As outlined in Section 2 of this report, the provision of policy advice is one of the two main roles of the ARC specified under the ARC Act. a summary of performance against the 34 key performance indicators (KPIs) identified in the ARC Strategic Action Plan 200204.

KEY PERFORMANCE INDICATORS


The 34 key performance indicators underpin our reporting against the seven key objectives of the ARC. The summary at the end of Chapter 3 provides an overview both of our performance and of the measures identified by the ARC to enable reporting against the indicators (including the timeframe of that reporting). Readers should note that: Some indicators with measures that involve surveys or independent studies will not be updated every year. Several KPIs require the demonstration of an increase from a baseline performance level. In this annual report, which is the ARCs first year of reporting against these indicators, the ARC will be establishing a baseline against which movements will be demonstrated in subsequent years.

RESEARCH PERFORMANCE REPORTING FRAMEWORK


The key measures used for reporting on performance against the research-related objectives in this report, including input data, research outputs and research outcomes, are set out below.

Input Data
For the purposes of this report, input data are defined as the amount of money allocated and the number of grants awarded under the National Competitive Grants Program. Input data are considered to be useful as a measure of the amount of research being performed in the sector. Reflecting the calendar-year basis of the appropriations under the ARC Act, the National Competitive Grants Program is largely administered on a calendar-year basisthat is, applications are submitted and assessed in one year with funding for successful applications commencing 1 funding in the next . Consequently, this report uses input data from the 2001 application year (for grants initially funded in 2002). Data from the 2002 application year will be reported in the 200203 Annual Report.
1 The exceptions to this are LinkageInternational (Awards), for which applications are accepted at any time, and Federation Fellowships, for which a supplementary round of applications in 2002 for funding in 2002 was conducted in May 2002.

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For the purposes of this report, output data are defined as the immediately observable results of research funded by the ARC, including the number of publications, the number of personnel supported and the level of access to major research facilities. The ARC collects information on outputs from research it supports in final reports submitted by researchers upon completion of individual projects or awards. While input data are available fairly immediately, the timeframe for collection and reporting of output data is longer as most grants are awarded for a period of three to five years and output data are not collected until the research project is complete. The time-lag between the receipt of funding and the provision of a final report (based on a three-year grant) is illustrated in Figure 3. Figure 3: Time-lag of Output Reporting
YEAR 1997 APPLICATION YEAR 1998 APPLICATION YEAR 1999 APPLICATION YEAR 2000 APPLICATION YEAR 2001 APPLICATION YEAR 2002 APPLICATION YEAR

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

Application Grant Application Grant Application Grant Final Report Annual Report 200102 Final Report Annual Report 200203 Final Report Annual Report 200304 Final Report Annual Report 200405 Final Report Annual Report 200506 Final Report Annual Report 200607 Application Grant Application Grant Application Grant

This report provides information on the research outputs of Large Research Grants and Strategic Partnerships with IndustryResearch and Training grants applied for in 1997 and initially funded in 1998 (and earlier years where data are available). For Research Fellowships, some of which are awarded for five years, the base year is 1996.

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Research Outputs

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Research Outcomes
Outcome data, which assess the impact of the research funded by the ARC, are sourced primarily from a range of independent studies. A number of these studies are already under way or will be conducted during 2002 and 2003: As indicated in the highlights section in Chapter 1, the ARC, National Health and Medical Research Council (NHMRC) and CSIRO conducted a survey of the commercialisation activities of universities, medical research institutes and CSIRO divisions in November 2001. The results of this survey are expected to be released in September 2002. Planning is under way for a bibliometric evaluation of the impact of research funded by the ARC. The bibliometric study will include an analysis of co-authorship to determine the extent of collaboration by researchers involved in ARC-funded research. Again, it is important to note that reporting on outcomes is a medium-term to long-term proposition. In some cases, for example, it may be ten to fifteen years before the full benefits of research are recognised.

FINANCIAL PERFORMANCE
Information about the ARCs financial performance in relation to its seven key objectives is not explicitly included in this chapter. The ARCs financial performance in 200102 is addressed in Chapter 4 of this report. Chapter 4 also includes the audited financial statements of the ARC as required under section 57 of the Financial Management and Accountability Act 1997 (FMA Act). The ARCs financial resources are split into two separate categoriesdepartmental and 1 administered : departmental items are those assets, liabilities, revenues and expenses controlled by departments or agencies in providing their goods and services to the Government administered items are those assets, liabilities, revenues and expenses controlled by the Government and managed by departments or agencies on their behalf. The report on performance provided in this chapter relates primarily to results arising from the ARCs administered budgetthat is, the investment in research through the ARCs National Competitive Grants Program.

200102 Portfolio Budget Statements

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KEY OBJECTIVES

As described in Chapter 2, the ARC has seven key objectives as identified in the ARC Strategic Action Plan 200204: discovery; linkage; research training and careers; research infrastructure; priority setting; community awareness and governance. This section of Chapter 3 provides a description of each key objective and the ARCs performance against it in 200102. The description includes: the key objective the outcome a list of the key performance indicators performance against the key objective in the year 200102.

DISCOVERY
K EY O B J E C T I V E | O UTCO M E | K EY P E R F O R M A N C E I N D I C ATO R S | P E R F O R M A N C E

KEY OBJECTIVE
Develop and maintain a broad foundation of high-quality, world-class research across a wide range of disciplines.

OUTCOME
Knowledge is advanced leading to new discoveries and innovations.

KEY PERFORMANCE INDICATORS


Five of the key performance indicators (KPIs) in the ARC Strategic Action Plan 200204 relate to Discovery; these indicators are listed below. Data on the ARCs performance against these indicators are provided in this section and a summary is provided at the end of Chapter 3. Discovery produces nationally and internationally competitive outputs and outcomes across a broad range of disciplines, as revealed by international peer and end-user evaluations, supported by quantitative measures of a range of inputs and outputs. Discovery contributes to the development of research strengths in areas of competitive advantage. Discovery attracts to and retains within Australia researchers of international standing, as revealed by surveys and analyses of the countries of origin of ARC-funded researchers. Surveys indicate that the expectations of stakeholders for increased flexibility and responsiveness of ARC funding schemes under Discovery are satisfied. ARC assessment and selection processes deliver funding support to research that, characteristically, involves novel and innovative approaches, as revealed by analyses of assessor reports and international peer evaluation.

KPI.1

KPI.2

KPI.3

KPI.4

KPI.5

C H A P T E R 3 R E P O RT O N P E R F C O H R A M PA TE N R CE 3

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PERFORMANCE DISCOVERY PROGRAMS


Description
The funding programs under the Discovery element of the ARCs National Competitive Grants Program are as follows: DiscoveryProjects project grants fellowships (Australian Postdoctoral Fellowships (APDF); Australian Research Fellowships (ARF)/Queen Elizabeth II (QEII) Fellowships; Australian Professorial Fellowships (APF)) Federation Fellowships DiscoveryIndigenous Researchers Development. (See Research Training and Careers section of Chapter 3 for further information on DiscoveryIndigenous Researchers Development.) Calendar year 2001 was the first year of applications under the Federation Fellowships program. These fellowships are an exciting initiative aimed at attracting to and retaining in Australia leading researchers whose research is demonstrated to be of national benefit. Also in the 2001 application year, a number of changes were made to DiscoveryProjects to enhance the flexibility and responsiveness of the program. Fellowships were incorporated within the program, enabling researchers to seek support for a program of research activity. Applicants were able to seek funding of up to $500,000 per year for up to five years. New ARC-university partnership options were introduced for fellowships, including a four-year teaching and research option for Australian Postdoctoral Fellowships and a 50-50 partnership between the ARC and universities for Australian Research Fellowships, Queen Elizabeth II Fellowships and Australian Professorial Fellowships. In addition, contestability within the national innovation system was enhanced through a phase-in of access to funding under DiscoveryProjects to researchers from the Institute of Advanced Studies (IAS) at The Australian National University. Commencing in the 2002 application round, there will be no restrictions on access by IAS researchers to ARC programs.

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Key results of the 2002 funding round under Discovery are summarised in Table 1. Where possible, relevant data from previous years are also provided. Further information is provided in Appendix 2, including information on grants awarded by institution and discipline area. In 2002, in addition to the new Discovery grants described in Table 1, the ARC is funding ongoing grants under the programs which preceded the National Competitive Grants Program: the Large Research Grants Program and the Research Fellowships Program. Information about the ongoing grants supported in 2002 is provided in Appendix 2. Table 1: Discovery Programs at a Glance, 2002
DISCOVERYPROJECTS (GRANTS AND FELLOWSHIPS)

Number of new grants Total funding Average grant size Success rate of applications Grant duration International collaboration

786 DiscoveryProjects, up from 661 in 2001 $57.1 million in 2002, and $199.8 million over the five years to 2006 $72,684 (first-year funding), up from $59,728 in 2001 25.4 per cent, up from 21.1 per cent in 2001 74 per cent of grants awarded are for three years; grants are available for one to five years 867 incidences of international collaboration with researchers in 62 countries. The highest instances of collaboration are with researchers in the United States, followed by the United Kingdom.

DISCOVERYPROJECTS (FELLOWSHIPS)

Number of new grants Total funding Success rate of applications Fellowship salaries Grant duration Location of recipients

165 Fellowships (comprising 110 APDFs, 32 ARFs/QEIIs, 23 APFs), up from 100 in 2001 $11.3 million in 2002, and $44.2 million over the five years to 2006 19.9 per cent, up from 14.3 per cent in 2001 Salaries in 2002 will increase by between 15 and 43 per cent over fellowship salaries offered in 2001 ARFs, QEIIs and APFs have a standard tenure of five years; APDFs have a standard tenure of three years The 165 fellowships awarded under DiscoveryProjects for initial funding in 2002 included 15 to Australian citizens returning from overseas

FEDERATION FELLOWSHIPS

Number of new grants Total funding Average grant size Success rate of applications Grant duration International collaboration Location of recipients

25 Federation Fellowships (first year of operation) $7.2 million in 2002, and $36.2 million over the five years to 2006 $289,703 per year (including 26 per cent on-costs) 9.3 per cent Five years 63 incidences of international collaboration with researchers in 24 countries Eight Australians currently based overseas will return to Australia; one foreign national will travel to Australia

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Input Data

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Research Outputs
ACADEMIC OUTPUT
A study of a sample of 474 Large Research Grants (now known as DiscoveryProjects grants) initially funded in 1998 showed that these grants produced a total of 6,680 academic outputs, including 3,131 articles in refereed journals, 135 authored books and 11 patents. On average, there were 14 outputs per project. Table 2: Academic Outputs , Large Research Grants initially funded in 1996, 1997, and 1998
TYPE OF ACADEMIC OUTPUT YEAR OF INITIAL FUNDING
1

1996 Booksauthored research Booksauthored other Booksedited Booksrevision/new edition Chapters in books Journal articlesarticle in scholarly refereed journal Journal articlesother contributions to refereed journal Journal articlenon-refereed Journal articleletter or note Major reviews Conference publicationfull written paperrefereed proceedings Conference publicationfull written papernon-refereed proceedings Conference publicationextract of paper Conference publicationedited volume of conference proceedings Audio-visual recordings Computer software Technical drawing/architectural & industrial design/working model Patents Other creative worksmajor written or recorded work Other creative worksminor written or recorded work Other creative worksindividual exhibition of original art Other creative worksrepresentation of original art TOTAL Sample of grants Total number of grants awarded
1

1997 76 14 71 9 485 3,113 67 65 53 95 1,019 398 904 189 24 74 12 16 88 49 8 13 6,842 509 640

1998 135 11 73 2 559 3,131 96 100 21 90 788 314 916 202 47 46 4 11 113 19 2 0 6,680 474 655

71 26 74 6 438 2,664 96 87 30 84 904 342 778 246 4 92 11 14 74 45 1 2 6,089 488 668

Figure may be underestimate as some researchers have not included publications submitted but not yet published.

RESEARCH PERSONNEL
A study of a sample of 474 Large Research Grants initially funded in 1998 showed that these grants funded 641 personnel full-time, including 216 postgraduate students, 192 research assistants and 233 research fellows or associates. The grants also involved 1,861 other personnel, including 618 honours students, 613 postgraduate students, 408 research assistants and 222 research fellows or associates. On average, five researchers were supported in part or full by each grant.

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Table 3: Research Personnel , Large Research Grants initially funded in 1996, 1997, and 1998
PERSONNEL YEAR OF INITIAL FUNDING

1996 Personnel funded full-time from the grant Postgraduate students Research assistants Research fellows/associates TOTAL Other personnel involved on the grant Postgraduate students Research assistants Research fellows/associates Honours students TOTAL Sample of grants Total number of grants awarded
1 Fractional figures are rounded up.

1997

1998

217 215 248 680

235 224 256 715

216 192 233 641

650 375 359 607 1,991 488 668

717 405 310 648 2,080 509 640

613 408 222 618 1,861 474 655

Implementation of Initiatives in Backing Australias Ability


D I S C O V E RY P R O J E C T S
In Backing Australias Ability, the Government announced that part of the additional funding provided to the ARC would be used to: improve the competitiveness of researchers salaries to establish better parity between the salaries payable to research-only and research-and-teaching academics increase funding available for specific research projects in both basic and applied or collaborative research, to improve substantially grant application success rates and average grant sizes.
IMPROVE THE COMPETITIVENESS OF RESEARCHERS SALARIES

In 2002, the salaries of new and existing fellowship recipients increased by between 15 and 43 per cent (Table 4). Table 4: Fellowship Salaries, 2001 and 2002
FELLOWSHIP 2001 ($) 2002 ($) INCREASE (%)

APDF ARF/QEII Step 1 Step 2 APF Step 1 Step 2

42,225 50,337 52,063 66,994 87,442

49,621 62,755 74,484 82,152 100,078

17.5 24.6 43.1 22.6 14.5

INCREASED FUNDING AVAILABLE FOR SPECIFIC RESEARCH PROJECTS IN BASIC RESEARCH

The average grant size (over the life of the grant) for DiscoveryProjects grants awarded in 2002 was $254,141, with a success rate of 25.4 per cent. The average allocation for grants commencing in 2001 (for Large Research Grants and Fellowships combined) was $178,581, with a success rate of 21.1 per cent.

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F E D E R AT I O N F E L L O W S H I P S
The ARC conducted two application rounds for Federation Fellowships commencing in 2002. In the first round, which closed in June 2001, 182 applications were received, of which 15 were successful (one subsequently withdrew). In the second round, which closed in February 2002, 87 applications were received (including 41 applicants from the first round re-applying in the second), of which 11 were successful. From the two rounds, eight Australians will return from overseas to take up their fellowship offers. One foreign national is a recipient of a fellowship in the 2002 funding round. A complete list of Federation Fellows commencing in 2002 is provided in Table 5. Table 5: Federation Fellows Commencing in 2002
FELLOW HOST INSTITUTION RESEARCH AREA

Round 1 Professor John Braithwaite Dr Frank Caruso


1 1

The Australian National University The University of Melbourne The University of New South Wales Macquarie University The Australian National University The University of Sydney The University of Newcastle The University of New South Wales The University of Sydney The University of Melbourne The University of Melbourne The Australian National University The University of Sydney The Australian National University

Restorative justice and responsive regulation Nano-engineered colloids and thin films Quantum computer technology Cognitive neuropsychology Astronomy Optical fibre device structures Signal processing, telecommunications & control Photovoltaics Polymer nano-composites Applied anthropology Optical sciences Magnetic resonance spectroscopy History and philosophy of science Visual recognition

Professor Robert Clark Professor Max Coltheart Professor Michael Dopita Dr Benjamin Eggleton
1

Professor Graham Goodwin Professor Martin Green Professor Yiu-Wing Mai Professor Keith Nugent Professor Gottfried Otting Professor Huw Price
1 2 1

Professor Lenore Manderson

Professor Mandayam Srinivasan Round 2 Professor Hugh Durrant-Whyte Dr Ron Ekers Professor Terry Hughes Professor Graeme Hugo Professor Yuri Kivshar Professor Trevor Lamb Dr Catherine Stampfl
1 1

The University of Sydney Australian National Telescope Facility, CSIRO James Cook University The University of Adelaide The Australian National University The Australian National University The University of Sydney Division of Plant Industry, CSIRO The University of Melbourne Macquarie University Griffith University

Robotics Astronomy Coral reef ecology Migration Non-linear photonics Sensory transduction Materials science Catalytic processing Optical networks Earth sciences Carbohydrate chemistry; carbohydrate-based therapeutics

Professor David Trimm Professor Rodney Tucker Dr Simon Turner 1 Professor Mark von Itzstein

1 2

Australian citizens returning to Australia (n=8) Foreign national attracted to Australia (n=1)

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TELEPORTATION
INVESTIGATORS Dr Ping Koy Lam and Professor Hans Bachor (ANU); and Dr Timothy Ralph (The University of Queensland) CURRENT GRANT DiscoveryProjects, 200206 PHOTOGRAPH Dr Ping Koy Lam (left) and his student Warwick Brown in the laboratory at The Australian National University where the experiment was conducted (Courtesy of Professor Hans Bachor)

Teleportationthe disembodiment of an object in one location and reconstruction in a different locationhas been successfully carried out in a physics lab in Australia. Physicist Dr Ping Koy Lam, 34, and a team of researchers at The Australian National University (ANU) in Canberra have teleported a laser beam. This work establishes Australia as the world leader in this frontier science which has possible applications in a wide range of areas. It has the potential to: enable quantum computers to operate and solve problems millions of times faster than current computers make encryptedor codedinformation virtually 100 per cent secure. This would be vital to the finance, banking and defence industries. increase dramatically the speed and quantity of information transferred in fibre optic communications. The ARC has provided Dr Lam with about $2 million in funding since 1998. This includes a $1.1 million Discovery grant in January 2002. The ANU has also provided extensive support, including infrastructure and a pool of talented researchers and students. In addition to Dr Lam the research team includes Mr Warwick Bowen (PhD), Professor Hans Bachor, Dr Ben Buchler and Dr Thomas Symul from the ANU; Dr Timothy Ralph from The University of Queensland; Dr Nicolas Treps (ANU, Paris University) and Dr Romand Schnabel (ANU, Feodor Lynen Fellow). The Group is affiliated to the European Union Quantum Information with Continuous Variables (QuICoV) Consortium.
The DiscoveryProjects program aims to: (i) support excellent fundamental research by individuals and teams; (ii) assist researchers to undertake their research in conditions most conducive to achieving best results; (iii) expand Australias knowledge base and research capability, and (iv) encourage research training in high-quality research environments.

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LANGUAGE, BELIEF FORMATION AND VISUAL COGNITION


Australia is hosting a new million-dollar global research project into mental disorders that could lead to drug-free treatments for one of the most harrowing of mental illnessesschizophrenia. According to the Schizophrenia Foundation, about 180,000 Australians experience some form of schizophrenia. The five-year project, based at Macquarie University in Sydney, will thrust Australia to the forefront of world research in this field. It will include leading researchers and institutions in the United States, Canada, France, Germany, Italy, Spain and New Zealand and involve trials on hundreds of people with and without mental disorders. The project was made possible by an ARC Federation Fellowship awarded to Professor Coltheart. Already, Professor Colthearts pioneering work on dyslexia and how people learn to read has been applied the world over to diagnose and treat children with reading difficulties, significantly improving their ability to learn and, therefore, quality of life.
INVESTIGATOR Professor Max Coltheart CURRENT GRANT Federation Fellowship, 200206 PHOTOGRAPH (Courtesy of Professor Coltheart)

POSTSCRIPT
In September 2002, the Institute for Scientific Information (ISI) nominated a journal article authored by Professor Coltheart as a fast breaking paper, a recent contribution that is attracting the attention of the scientific community. The article describes the most comprehensive theory currently in existence about the mental processes people use for readingboth for recognition of printed words and for reading aloud. It offers an explanation of a variety of different patterns of reading impairment that can be seen after brain damage, as well as discussing childrens reading problems. The ARC provided continuous funding over a ten-year period for the research underpinning the theory described in the journal article.
The Federation Fellowships provide opportunities for outstanding Australian researchers to return to, or remain in key positions in Australia. Outstanding international researchers may also be attracted to undertake research which is demonstrated to be of national benefit to Australia.

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DEVELOPMENTS IN OPTICAL SCIENCES


INVESTIGATOR Professor Keith Nugent CURRENT GRANT Federation Fellowship, 200206 PHOTOGRAPH (Courtesy of Professor Nugent)

A Melbourne physicists exploration of the fundamental properties of light, in particular the concept of phase differences in light waves, has led to a new form of microscopy and a rapidly-growing start-up company to manufacture and market the technological spinoffs. The new technology, developed by University of Melbourne physicist and ARC Federation Fellow, Professor Keith Nugent and his team, is called Quantitative Phase Microscopy (QPm). Professor Nugent began developing his concept six years ago, using ARC funding, and in 1999 took out a patent and under a licence from The University of Melbourne, a private investor, Mr Vincent Thiang, established IATIA. The company began operating in 2000, hiring staff, setting up manufacturing facilities, and marketing QPm worldwide. To this point ARC grants funding this and related ideas had totalled $765,600. In April 2002 the company was floated with a market capitalisation of around $30 million, and employed 30 staff. QPm won a 2002 R&D100 Award, placing it among the worlds 100 most technologically significant new products of the past year.
There are both economic and social returns from investment in research including, for example, the formation of new companies and the creation of jobs, and the development of new and better products that enhance quality of life. This story was prepared for inclusion in the final report of the National Survey of Research Commercialisation. The survey was conducted by the ARC, the National Health and Medical Research Council (NHMRC) and CSIRO at the end of 2001 and the final report is expected to be released in September 2002.

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SEEING MACHINES
The installation of fatigue-warning systems in cars is now only three to five years away thanks to an eye-tracking system called faceLAB, which was developed by a commercial spin-off from The Australian National University, Seeing Machines Pty Ltd. The Canberra-based company has been operating only since 2000, yet the automotive and electronics giants that have already bought faceLAB include Bosch, DaimlerChrysler, Mitsubishi, Motorola, Nissan, Toyota and Volvo. Some have bought several units, even though each costs up to $80,000. The original research at The Australian National University which produced faceLAB was supported by an ARC grant in 1995 and 1996. Indeed,ARC funding was vital to the early development of this technology at The Australian National UniversityfaceLAB would not exist without it, says the companys International Market Developer, Gavin Longhurst. Seeing Machines was founded by its Chief Executive Officer, Alex Zelinsky, a former Professor of Robotics in the ANUs Faculty of Engineering. Seeing Machines employs 20 people. Our two main investors are The Australian National University and Volvo, which collaborated on the original research, says Mr Longhurst. Seeing Machines Pty Ltd won the 2002 Australian Computer Society Eureka Prize for Information and Communications Technology Innovation.
This story was also prepared for the final report of the National Survey of Research Commercialisation (see story on previous page). PHOTOGRAPH (Courtesy of Seeing Machines Pty Ltd)

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K EY O B J E C T I V E | O UTCO M E | K EY P E R F O R M A N C E I N D I C ATO R S | P E R F O R M A N C E

KEY OBJECTIVE
Encourage and extend cooperative approaches to research by strengthening links within Australias innovation system and with innovation systems internationally.

OUTCOME
Fully capture the economic, social and cultural benefits of research at the regional, national and international levels.

KEY PERFORMANCE INDICATORS


Seven of the key performance indicators (KPIs) in the ARC Strategic Action Plan 200204 relate to Linkage; these indicators are listed below. Data on the ARCs performance against these indicators are provided in this section and a summary is provided at the end of Chapter 3. KPI.6 Linkage supports the development of collaborative research that produces nationally and internationally competitive outputs and outcomes across a broad range of disciplines, as revealed by international peer and end-user evaluations, supported by quantitative measures of a range of inputs and outputs. Surveys indicate that the expectations of stakeholders for increased flexibility and responsiveness of ARC funding schemes under Linkage are satisfied. There is an increase in the incidence of collaboration between ARC-funded researchers and those within other sectors in the national innovation system, as revealed by analyses of data on the institutional affiliations of partner investigators, co-authorship of papers and co-patenting. There is an increase in the formation of discipline-based research networks, as revealed by analyses of data on the institutional affiliations of partner investigators, co-authorship of papers, co-patenting and the outcomes from Special Research Initiatives. ARC-funded research provides a strong basis for research commercialisation within Australian universities, as revealed by surveys of university research commercialisation. There is an increase in the scale of research activities supported by the ARC, reflected in a higher incidence of linkages nationally and internationally, and as revealed by analyses of the sources and amount of funding leveraged by ARC schemes, nationally and internationally. Venture capital firms are able to assess opportunities to invest in the commercialisation of ARC-funded research and, subject to investigation, links with a range of venture capital organisations are established.

KPI.7

KPI.8

KPI.9

KPI.10

KPI.11

KPI.12

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LINKAGE

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PERFORMANCE LINKAGE PROGRAMS


Description
The funding programs under the Linkage element of the ARCs National Competitive Grants Program are as follows: LinkageProjects project grants Australian Postgraduate Awards (Industry) (APAI) Australian Postdoctoral Fellowships (Industry) (APDI) Research Centres Special Research Centres Key Centres of Teaching and Research LinkageInfrastructure Equipment and Facilities LinkageInternational LinkageInternational (Fellowships) LinkageInternational (Awards) LinkageLearned Academies Special Projects Special Research Initiatives (SRI). (See Research Infrastructure section for information on LinkageInfrastructure Equipment and Facilities and Research Training and Careers section for information on Australian Postgraduate Awards (Industry) and Australian Postdoctoral Fellowships (Industry).) In the 2001 application year, a number of changes were made to Linkage programs to enhance their flexibility and responsiveness to applicants needs, as follows. Under LinkageProjects, applicants were able to seek funding of up to $500,000 per year for up to five years. Under LinkageInternational (Awards), applicants were able to submit research proposals at any time during the year. In the 2002 application year, the ARC has introduced two rounds for applications under LinkageProjectsthe first in May 2002 (for funding commencing in January 2003) and the second in December 2002 (for funding commencing in July 2003). This change addresses concerns expressed by both university researchers and industry representatives that the long lead-time for funding under the program is affecting the development of productive universityindustry research collaborations. A new fellowships program has also been introduced: the LinkageAustralian Postdoctoral Award (CSIRO). Further information about this program is provided in the Research Training and Careers Section of Chapter 3 and Appendix 1.

Input Data
Key results of the 2002 funding round under Linkage are summarised in Table 6. Where possible, relevant data from previous years are also provided. Further information is provided in Appendix 2, including grants awarded by institution and discipline area.

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Table 6: Linkage Programs at a Glance, 2002


LINKAGEPROJECTS

Number of new grants Total funding Industry funding Average grant size Success rate of applications Grant duration International collaboration Industry partners

470 LinkageProjects, down from 484 in 2001 $25.9 million in 2002, and $82.6 million over the five years to 2006 $45.3 million in 2002, and $119.8 million over the five years to 2006 (including pledged cash and in-kind contributions) $55,007 (first-year funding), up from $46,719 in 2001 51.6 per cent, up from 44.6 per cent in 2001 84 per cent of grants awarded are for three years (excluding APAI-only awards); grants are available for one to five years 130 incidences of international collaboration with researchers in 35 countries 736 industry partners involved in 470 LinkageProjects grants; 26 per cent of these grants had more than one industry partner.

RESEARCH CENTRES

Number of Centres Total funding Grant duration

19 Special Research Centres and 8 Key Centres of Teaching and Research $161.1 million for Special Research Centres and $3.2 million for Key Centres Special Research Centres are funded for nine years; currently the ARC is supporting 8 Centres that received their initial funding in 1997, and 11 Centres that received their initial funding in 2000. Key Centres are funded for six years; currently the ARC is funding eight Centres initially funded in 1999.

LINKAGEINTERNATIONAL (FELLOWSHIPS AND AWARDS)

Number of new fellowships Total funding Grant duration Number of new awards Total funding Grant duration

12 Fellowships $751,641 in 2002 Fellowships are awarded for one year 54 Awards (over two selection rounds) $751,166 in 2002, and $1,929,779 over the three years to 2004 Awards provide funding for one to three years

LINKAGELEARNED ACADEMIES SPECIAL PROJECTS

Number of grants Total funding Recipients

6 projects, compared to four in 2001 $461,890, up from $439,757 in 2001 Academy of Social Sciences in Australia, the Australian Academy of Technological Sciences and Engineering, the Australian Academy of Science, the Australian Academy of the Humanities and the National Academies Forum Projects are funded for a maximum of three years but an application must be submitted each year for ongoing projects.

Grant duration

SPECIAL RESEARCH INITIATIVES

Total funding

$73,304; a contribution to Australias membership of the Global Biodiversity Information Facility

LINKAGES
INDUSTRY PARTNERS

The 736 industry partners in LinkageProjects (including APAI-only awards) came from a range of industry sectors (Table 7). In 2002, the largest percentage (17.7 per cent) of partners were in the government administration and defence sector, followed by the manufacturing and agriculture sectors (16.0 per cent and 13.3 per cent respectively).

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Table 7: LinkageProjects, number of industry partners by industry type, 2002


1

INDUSTRY TYPE

INDUSTRY PARTNERS ( no .)

INDUSTRY CONTRIBUTION 2002 06 ($)

Agriculture, forestry, fishing & hunting Communication services Construction Cultural and recreational services Education Electricity, gas and water supply Finance and insurance Government administration and defence Health and community services Manufacturing Mining Personal and other services Property and business services Transport and storage Wholesale trade TOTAL
1 Including cash and in-kind contributions.

98 10 12 47 24 24 6 130 98 118 46 12 87 20 4 736

16,516,610 3,491,396 953,811 5,280,780 2,392,917 2,934,072 1,445,784 11,708,106 7,525,366 23,788,914 26,046,141 562,152 11,705,981 5,220,881 203,413 119,776,324

PARTNER INVESTIGATORS

Four hundred and seventy LinkageProjects initially funded in 2002 involved 470 partner investigators from a range of organisations, including industry (over 170), government departments (both federal and State) (over 120), and overseas institutions.

Research Outputs
ACADEMIC OUTPUT
A study of a sample of 140 Strategic Partnership for IndustryResearch and Training (SPIRT) grants (now known as LinkageProjects grants) initially funded in 1998 showed the sample produced a total of 1,149 academic outputs, including 248 articles in refereed journals and four authored research books. On average, there were eight outputs per project. Table 8: Academic Outputs , Strategic Partnerships with IndustryResearch and Training (SPIRT) grants initially funded in 1997 and 1998
PUBLICATION FIELD YEAR OF INITIAL FUNDING
1

1997 Booksauthored research Booksauthored other Booksedited Booksrevision/new edition Chapters in books Journal articlesarticle in scholarly refereed journal Journal articlesother contributions to refereed journal Journal articlenon-refereed Journal articleletter or note Major reviews Conference publicationfull written paperrefereed proceedings 13 10 4 0 42 142 5 34 0 5 186

1998 4 7 6 1 45 248 13 19 6 14 243

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PUBLICATION FIELD

YEAR OF INITIAL FUNDING

1997 Conference publicationfull written papernon-refereed proceedings Conference publicationextract of paper Conference publicationedited volume of conference proceedings Audio-visual recordings Computer software Technical drawing/architectural & industrial design/working model Patents Other creative worksmajor written or recorded work Other creative worksminor written or recorded work Other creative worksindividual exhibition of original art Other creative worksrepresentation of original art TOTAL Sample of grants Total number of grants awarded
1 2 3

1998 121 140 44 112 37 14 1 28 46 0 0 1,149 140


3

59 107 9 1 3 0 8 53 14 0 0 695 111


2

406

340

Figure may be underestimate as some researchers have not included publications submitted but not yet published. Comprising 201 Collaborative Research Grants and 205 Australian Postgraduate Awards (Industry) Strategic Partnerships with IndustryResearch and Training (SPIRT) program

RESEARCH PERSONNEL
A study of a sample of 140 Strategic Partnerships with IndustryResearch and Training (SPIRT) grants (now known as LinkageProjects grants) initially funded in 1998 showed the grants employed 352 personnel full-time, including 69 postgraduate students (other than Australian Postgraduate Awards (Industry)), 117 research assistants and 62 research fellows or associates. Table 9: Research Personnel , Strategic Partnerships with IndustryResearch and Training (SPIRT) grants initially funded in 1997 and 1998
PERSONNEL YEAR OF INITIAL FUNDING
1

1997 Staff employed on the project Research assistants Research associates Senior research associates Other research fellows (not including APDIs) Industry partner employees (not including partner investigators) Other postgraduate students (not including APAIs) TOTAL Commonwealth research training components Australian Postgraduate Award (Industry)Masters Australian Postgraduate Award (Industry)PhD Australian Postdoctoral Fellowship (Industry) TOTAL Sample of grants Total number of grants awarded
1 Fractional figures are rounded up.

1998

87 70 7 10 91 98 363

117 46 21 16 83 69 352

0 24 3 27 111 406

15 65 11 91 140 340

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Key Developments
RESEARCH CENTRES
The ARC is currently phasing out support for Special Research Centres and Key Centres of Teaching and Research, although funding for currently established centres will continue until their terms expire subject to meeting review requirements. Reviews of the research centres undertaken during 200102 are described below. Over time, these centres will be replaced by ARC Centres of Excellence. (Information on the establishment of these centres is provided in the section on Priority Setting.) Guidelines for the first round of applications under the new Centres of Excellence program (for funding in 2003) were released in June 2002.
REVIEW OF RESEARCH CENTRES

Special Research Centres (SRCs) are generally funded for nine years, with performance reviews being conducted in the third and sixth years. During 2002, the eight SRCs established in 1997 will undergo their sixth year review, which will focus on the long-term sustainability of the centre. The 11 centres established in 2000 will undergo their third year review, which focuses on the extent to which the centre is meeting the strategic indicators and time lines outlined in their applications. Key Centres of Teaching and Research (KCTR) are generally funded for six years, with performance reviews being conducted in the third year. As reported in the ARC Annual Report 200001, eight Key Centres were reviewed during 2001. On the recommendation of the Board following those reviews, the Minister approved funding for six of these centres for the next three years. Funding for the other two Key Centres was approved for an additional 12 months, and they will be reviewed again in the latter part of 2002. Funding for the remaining two years will be subject to improved research performance and management.

Implementation of Initiatives in Backing Australias Ability


In Backing Australias Ability, the Government announced that part of the additional funding provided to the ARC would be used to: increase funding available for specific research projects in both basic and applied or collaborative research, to improve substantially grant application success rates and average grant sizes contribute to the establishment of two world-class centres of research excellence, in information and communications technology (ICT) and biotechnology.

INCREASE FUNDING AVAILABLE FOR SPECIFIC RESEARCH PROJECTS IN APPLIED OR COLLABORATIVE RESEARCH
Increased funding for applied or collaborative research projects commenced in 2002 under the LinkageProjects element of the National Competitive Grants Program (NCGP). The increased funding was reflected in the following outcomes: A total of $25.9 million was allocated under LinkageProjects to research projects commencing in 2002. This is a 13.7 per cent increase over 2001. The success rate for applications under LinkageProjects for funding for projects commencing in 2002 was 51.6 per cent, up from 44.6 per cent in 2001. The average grant size, over the life of the grant, for new LinkageProjects grants commencing in 2002 is $163,145, a 24.7 per cent increase over 2001.

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Table 10: Trends in LinkageProjects Grants, 19982002


YEAR 1998 1999 2000 2001 2002

Total number of applications Total number of applications funded Success rate of applications (%) Number of components sought Collaborative Research Grants Australian Postgraduate Awards (Industry) Australian Postdoctoral Fellowships (Industry) Number of components awarded Collaborative Research Grants Australian Postgraduate Awards (Industry) Australian Postdoctoral Fellowships (Industry) Component success rate (%) Collaborative Research Grants Australian Postgraduate Awards (Industry) Australian Postdoctoral Fellowships (Industry)

745 340 45.6

875 406 46.4

982 440 44.8

1085 484 44.6

910 470 51.6

503 460 55

498 634 63

585 748 46

630 822 59

483 741 58

204 232 22

187 288 29

224 334 17

244 350 27

250 397 32

40.6 50.4 40.0

37.6 45.4 46.0

38.3 44.7 37.0

38.6 42.5 45.8

51.8 53.6 55.2

E S TA B L I S H M E N T O F W O R L D - C L A S S C E N T R E S O F E X C E L L E N C E
The ARC is contributing to the establishment of centres of excellence in two areasinformation communications technology (ICT) and biotechnologyin conjunction with the National Office for the Information Economy and the Department of Industry, Tourism and Resources, respectively. Details of the results of the selection processes undertaken during 200102 are provided in the section on Priority Setting.

INTERNATIONAL ACTIVITIES
Reflecting the increasingly global nature of research, the ARC works to advance Australian research through a range of international activities. In 2002, the ARCs international activities comprised the key elements set out below. The ARC has memoranda of understanding (MoU) with 12 overseas research agencies in 11 countries. The memoranda provide an umbrella under which various types of research collaboration can take place. Investment took place through various elements of the ARCs National Competitive Grants Program: The LinkageInternational (Fellowships) program supports the conduct of research by early career postdoctoral and senior researchers under reciprocal Research Fellowships Agreements with four overseas research agencies (in France, Germany, Republic of Korea, and the United Kingdom). The LinkageInfrastructure Equipment and Facilities program enables access by Australian researchers to strategic international research facilitiesfor example, the International Gemini Partnership (see Research Infrastructure section for further details). The LinkageInternational (Awards) program provides support for researchers (including postgraduate students and postdoctoral fellows) to travel to research centres overseas to engage in collaborative activities (see Research Training and Careers section for further details). All ARC programs facilitate the development of collaborative research linkages with overseas researchers and research centres. Applications may involve partner investigators or industry partners from overseas, and applicants are also asked to indicate countries with which they will be collaborating in the conduct of their research project. A summary of these linkages (for projects initially funded in 2002) is provided in Table 11.

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The ARC participated in the activities of international forumsfor example, the Organisation for Economic Cooperation and Development (OECD). The Chief Executive Officer of the ARC is Australias delegate to the OECDs Global Science Forum and one of the forums Vice-Chairs. Senior representatives of the ARC also participate in regional activities through the AsiaPacific Economic Cooperation (APEC). The ARC maintains close links with overseas research agencies and organisations through participation in international conferences, organisation of international visits and hosting of similar visits in Australia. Information about the program elements of the ARCs international activities is provided elsewhere in this section and in the Discovery and Research Infrastructure sections of this report. A summary of other international activities is provided in Appendix 3. Table 11: International Linkages under ARC Programs, 2002
DISCOVERYPROJECTS

Incidences of international collaboration No. of countries


FEDERATION FELLOWSHIPS

867 62

No. of projects involving international collaboration Incidences of international collaboration No. of countries
LINKAGEPROJECTS

20 63 24

Incidences of international collaboration No. of countries


LINKAGEINTERNATIONAL (AWARDS)

130 35

Incidences of international collaboration No. of countries


LINKAGEINFRASTRUCTURE EQUIPMENT AND FACILITIES

76 20

No. of projects involving international collaboration Incidences of international collaboration No. of countries No. of overseas partner organisations

35 101 25 6

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Improved side impact protection for

PASSENGER CAR OCCUPANTS


INVESTIGATOR Professor Brian Fildes GRANT Strategic Partnerships with IndustryResearch and Training (SPIRT) program, 19982000 INDUSTRY PARTNERS Federal Office of Road Safety (now known as the Australian Transport Safety Bureau), General MotorsHolden

Based on research undertaken at the Monash University Accident Research Centre into side-impact collisions, Holden safety engineers have developed a unique side pillar for passenger cars. The new pillar is designed to deform in a certain way in a collision significantly reducing the risk of injury to the head, neck and chest. Holden has incorporated this design, in the form of a modified B pillar (centre pillar), into the VX model Commodore released in October 2000. The research project represented a major collaboration of most major parties with responsibility and interest in vehicle safety, including the automotive industry (Holden, Autoliv Australia), the Australian Transport Safety Bureau, the Australian Automobile Association and Monash civil engineering and other specialists. By promoting the outcomes of this research, both nationally and internationally, the need for improved side impact protection has become more widely accepted. In addition, new projects have already flowed from this research in aspects of side-impact crashes that need further research and new collaborations have been formed including on-going links with a number of overseas organisations.
The LinkageProjects program (which replaced the Strategic Partnerships with IndustryResearch and Training (SPIRT) program) aims to encourage and develop long-term strategic research alliances between higher education institutions and industry in order to apply advanced knowledge to problems, or to provide opportunities to obtain national economic or social benefits.

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A NEW EXPERIENCE FOR MOVIE-GOERS


Researchers at The University of New South Wales are starting work on a world-first project that could radically alter the movie-going experience. Known as interactive and immersive cinema, or iiC_inema, the international project involves the production of a video and audio technology, both recording and playback, that allows 360 degree panoramic recording and viewing and freeflowing narrative generation. It will have application across many formats, such as cinema, video, DVD and the Internet. The project explores the concept of interactive cinema whereby the viewer can take control over the part of a 360 degree image and sound they want to watch or listen and additionally, generate their own narrative content as they interact with the image and sound. Potentially, for example, viewers could see the same film several times, but each time with a different images streams and narrative content. The project involves collaboration between internationally renowned new media art and computer scientists researchers at The University of New South Wales and the Institute for Visual Media at the Centre for Art and Media (ZKM) at Karlsruhe in Germany. ZKM is regarded as Europes leading new media research centre and museum. The project also includes a research training program for masters and PhD students through participation in the Centres programs. Importantly in 2001, the success of the iiC_inema research program led to the establishment of the iCINEMA Centre for Interactive Cinema Research at The University of New South Wales. The Centres research partners include the Australian Centre for the Moving Image, National Institute of Dramatic Art (NIDA); University of Technology, Sydney; RMIT University; The University of Melbourne; The Australian National University; Queensland University of Technology; ZKM; the University of Nottingham, United Kingdom; Rensselaer Polytechnic Institute, Troy, N.Y.; and the University of Paris 1 (Sorbonne), France.
The objectives of the LinkageInternational program are to: (i) build strong ongoing collaborations between research groupings or centres of excellence in Australia and overseas, involving the exchange of researchers at both senior and junior levels; (ii) strengthen international research experience for junior researchers at both postdoctoral and postgraduate levels; and (iii) enhance existing, and develop new, collaborations among senior researchers. INVESTIGATORS Dr Dennis Del Favero, Professor Ian Howard, Professor Jeffrey Shaw CURRENT GRANT LinkageInternational (Award), 200002 COLLABORATING ORGANISATIONS The University of New South Wales, The University of Western Sydney (Nepean), the Institute for Visual Media at the Centre for Art and Media (ZKM) (Germany) PHOTOGRAPH (Courtesy of Dr Del Favero)

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PARTICULATE FLUIDS PROCESSING CENTRE


PHOTOGRAPH (Courtesy of Professor Boger)

The Particulate Fluids Processing Centre based at The University of Melbourne is an ARC Special Research Centre. Initially funded by the ARC in 2000, the Centre conducts research into the processing of all kinds of particulate fluids, especially those that involve fine particles suspended in fluids. This research is linked to a wide range of industry applications: mineral processing environmental waste management in the minerals, materials, food and water industries pharmaceutical and cosmetic manufacturing delivery of agricultural chemicals inkjet printing fine particle drug delivery. In 200102 the Director of the Centre, Professor David Boger, was awarded the 2002 Victoria Prize. The Particulate Fluids Processing Centre also received the Anne and Eric Smorgon Memorial Award in recognition of the support it provides to Professor Boger and his research. Professor Boger is the discoverer of constant viscosity elastic fluids, called Boger fluids, which are recognised as the missing link in non-Newtonian fluid mechanics. Non-Newtonian fluids play a critical role in the human body as joint fluids, and are increasingly important in a variety of industries such as polymers, rubber, food, and minerals.
Special Research Centres (SRCs) were established in publicly-funded higher education institutions to support research of outstanding quality in fields that will contribute substantially to Australias development.

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GLOBAL BIODIVERSITY INFORMATION FACILITY (GBIF)


The Global Biodiversity Information Facility (GBIF) is an international scientific partnership aimed at facilitating the exchange of biodiversity information through the establishment of an interoperable network of biodiversity databases from around the world. When operational, the facility will be an important tool for the protection, management and sustainable use of biological resources worldwide. Importantly it will: advance the pace of scientific research in areas such as agriculture, biomedicine, biotechnology, environmental management, pest control, health, education, and conservation, among others; serve the economic and quality-of-life interests of society; and provide a basis from which our knowledge of the natural world can grow rapidly and in a manner that avoids duplication of effort and expenditure. Australia was an active participant in the development of the international memorandum of understanding (MoU) that established the GBIF in 2001 and a founding signatory to the MoU. Its bid to host the GBIF secretariat was ranked second behind Denmark but it continues to play an active role through membership of the Scientific Committee. Australia is also developing the Australian Biological Information Facility which will be an Australian node of the GBIF network. The ARC has contributed funds to Australias membership of GBIF through the Special Research Initiatives Program in 2001 and 2002.
The objective of the Special Research Initiatives (SRI) Program is to support activities that encourage greater collaboration among Australian researchers, including the development of international research linkages.

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K EY O B J E C T I V E | O UTCO M E | K EY P E R F O R M A N C E I N D I C ATO R S | P E R F O R M A N C E

KEY OBJECTIVE
Contribute to high quality research training and foster the careers of Australias best and brightest researchers.

OUTCOME
Highly trained personnel and rewarding research career opportunities enabling Australias research and innovation system to operate at a competitive level globally, leading to increased national benefit.

KEY PERFORMANCE INDICATORS


Five of the key performance indicators in the ARC Strategic Action Plan 200204 relate to the Research Training and Careers objective; these indicators are listed below. Data on the ARCs performance against these indicators are provided in this section and a summary is provided at the end of Chapter 3. KPI.13 The quality of research training supported under ARC funding schemes is competitive internationally as revealed by international peer and end-user evaluation. ARC research training and career development schemes develop researchers of international standing across a broad range of disciplines, as revealed by international peer evaluation, bibliometrics and patent data. Surveys indicate that ARC research training and career development schemes satisfy the expectations and needs of stakeholders. There is an increasing incidence of collaborative links under ARC-funded researchtraining schemes. There is an increasing incidence of postgraduate and postdoctoral researchers participating in international exchanges through ARC funding schemes.

KPI.14

KPI.15

KPI.16

KPI.17

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PERFORMANCE RESEARCH TRAINING AND CAREERS PROGRAMS


Description
The ARC provides support for research training directly through the following elements of Discovery and Linkage: Australian Postdoctoral Fellowships (APDF) Australian Postgraduate Awards (Industry) (APAI) Australian Postdoctoral Fellowships (Industry) (APDI) DiscoveryIndigenous Researchers Development. Funding is also provided to research training indirectly through support provided for DiscoveryProjects and LinkageProjects grants (which provide support for postgraduate students, and research fellows or associates) and LinkageInternational (Awards) (which enable postgraduate and postdoctoral researchers to further their research by travelling overseas). The ARC also provides direct support for researchers at later stages of their careers through the following programs of the Discovery element of the National Competitive Grants Program: Australian Research Fellowships (ARF)/Queen Elizabeth II (QEII) Fellowships Australian Professorial Fellowships (APF) Federation Fellowships. As noted in the Discovery section of this chapter, 2001 was the first year of applications under the Federation Fellowships program. Also in the 2001 application year, a number of changes were made to the other components to enhance their flexibility and responsiveness to applicants needs: Two closing dates were introduced under the LinkageProjects program in response to demand from the sectorone for larger projects and another for projects seeking an Australian Postgraduate Award (Industry) (APAI). New ARCuniversity partnership options were introduced for fellowships, including: a four-year teaching and research option for Australian Postdoctoral Fellowships, in which the ARC and the university contribute 75 per cent and 25 per cent respectively of the salary costs over four years a 50-50 partnership for Australian Research Fellowships, Queen Elizabeth II Fellowship and Australian Professorial Fellowships on continuing appointments, in which the ARC and the university each contribute 50 per cent salary costs over the standard duration of five years. A new ARC Cadetship for Indigenous Australian researchers was established as part of the DiscoveryIndigenous Researchers Development program. The aim of the Research Cadetship is to retain talented Indigenous researchers in research careers and, consequently, to build a sound research base for Indigenous academics. In the 2002 application year, the ARC has introduced two rounds for applications under LinkageProjects. Further information about this change is provided in the Linkage section of Chapter 3 and Appendix 1.

L I N K A G E A U S T R A L I A N P O S T D O C T O R A L AWA R D ( C S I R O )
In the first half of 2002, negotiations were concluded with the CSIRO regarding the establishment of a jointly funded postdoctoral fellowship program, LinkageAustralian Postdoctoral Award (CSIRO). The objectives of the new program are to: strengthen collaboration between universities and the CSIRO provide enhanced training opportunities for early career researchers by exposing them to the strategic research framework within which the CSIRO operates, and the fundamental research framework of university research.

46

The program will be managed by the ARC within the National Competitive Grants Program. Up to ten fellowships, commencing in 2003, will be offered and will have a standard tenure of three years. The funding rules for the program require research teams to provide research project support that at least matches the fellowship funding.

Input Data
Key results of the 2002 funding round under the research training and careers elements of the ARCs program are summarised in Table 12. Where possible, relevant data from previous years are also provided. Table 12: Research Training and Careers Programs at a Glance, 2002
AUSTRALIAN POSTDOCTORAL FELLOWSHIPS

Number of new fellowships Success rate of applications Duration of fellowship

110 APDFs, up from 55 in 2001 24.5 per cent Three years

AUSTRALIAN RESEARCH FELLOWSHIPS/QUEEN ELIZABETH II FELLOWSHIPS

Number of new fellowships Success rate of applications Duration of fellowship


AUSTRALIAN PROFESSORIAL FELLOWSHIPS

32 13.9 per cent Five years

Number of grants Success rate of applications Duration of fellowship

23 13.9 per cent Five years

AUSTRALIAN POSTGRADUATE AWARDS (INDUSTRY)

Number of grants Total funding Success rate of applications Duration of award

397 APAIs, up from 350 in 2001 $8.9 million in 2002, and $25.9 million over the five years to 2006 53.6 per cent Normally three years

AUSTRALIAN POSTDOCTORAL FELLOWSHIPS (INDUSTRY)

Number of grants Total funding Success rate of applications Duration of fellowship

32 APAIs, up from 27 in 2001 $1.9 million in 2002, and $5.9 million over the five years to 2006 55.2 per cent Three years

DISCOVERYINDIGENOUS RESEARCHERS DEVELOPMENT

Number of grants Total funding Average grant size Success rate of applications Duration of grant
LINKAGEINTERNATIONAL (AWARDS)

8, up from 7 in 2001 $162,165 in 2002, and $277,699 over the life of the grants (200204) $19,837 (first year), and $33,969 (over three years) 44.4 per cent, up from 25.9 per cent in 2001 Grants are awarded for one to three years

Number of postgraduate students and postdoctoral researchers

54 International Awards will be funded in 2002, supporting involvement by 86 postgraduate students and 40 postdoctoral researchers in Australian institutions and 93 postgraduate students and 42 postdoctoral researchers in overseas institutions

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Research Outputs
ACADEMIC OUTPUT
A study of a sample of 73 Research Fellowships initially funded in 1996 showed the fellowships produced a total of 1,604 academic outputs, including 800 articles in refereed journals, 78 authored books and two patents. On average, there were 22 outputs per project. Table 13: Academic Outputs , Research Fellowships initially funded in 1996, 1997 and 1998
TYPE OF ACADEMIC OUTPUT YEAR OF INITIAL FUNDING
1

1996 Booksauthored research Booksauthored other Booksedited Booksrevision/new edition Chapters in books Journal articlesarticle in scholarly refereed journal Journal articlesother contributions to refereed journal Journal articlenon-refereed Journal articleletter or note Major reviews Conference publicationfull written paperrefereed proceedings Conference publicationfull written papernon-refereed proceedings Conference publicationextract of paper Conference publicationedited volume of conference proceedings Audio-visual recordings Computer software Technical drawing/architectural & industrial design/working model Patents Other creative worksmajor written or recorded work Other creative worksminor written or recorded work Other creative worksindividual exhibition of original art Other creative worksrepresentation of original art TOTAL Sample of grants Total number of grants awarded
1

1997 21 2 10 2 59 687 24 11 5 17 227 25 151 31 0 3 0 16 19 21 1 0 1,332 64 100

1998 9 0 4 0 28 289 16 12 39 16 61 24 107 54 0 0 0 4 6 3 1 0 673 39 100

78 0 38 6 110 800 12 17 11 62 101 60 182 72 7 28 1 2 3 9 5 0 1,604 73 100

Figure may be underestimate as some researchers have not included publications submitted but not yet published.

RESEARCH PERSONNEL
A study of a sample of 474 Large Research Grants initially funded in 1998 showed that these grants funded 216 postgraduate students and 233 research fellows or associates full-time. A study of a sample of 140 Strategic Partnerships with IndustryResearch and Training (SPIRT) grants initially funded in 1998 showed that these grants employed 69 postgraduate students and 16 research fellows.

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Table 14: Research Personnel, Large Research Grants and Strategic Partnerships with IndustryResearch and Training (SPIRT) grants initially funded in 1996, 1997 and 1998
PERSONNEL YEAR OF INITIAL FUNDING

1996 LARGE RESEARCH GRANTS Personnel funded full-time from the grant Postgraduate students Research fellows/associates Other personnel involved on the grant Postgraduate students Research fellows/associates Honours students SPIRT GRANTS Staff employed on the project Postgraduate Students (not including Australian Postgraduate Awards (Industry)) Research Fellows (not including Australian Postdoctoral Fellowships (Industry)) na na 650 359 607 217 248

1997

1998

235 256

216 233

717 310 648

613 222 618

98 10

69 16

Implementation of Initiatives in Backing Australias Ability


D I S C O V E RY P R O J E C T S
In Backing Australias Ability, the Government announced that part of the additional funding provided to the ARC would be used to: double the number of ARC-funded postdoctoral fellowships awarded each year, from 55 to 110 improve the competitiveness of researchers salaries to establish better parity between the salaries payable to research-only and research-and-teaching academics.
DOUBLE THE NUMBER OF ARC-FUNDED POSTDOCTORAL FELLOWSHIPS

In the 2001 application round (for fellowships commencing in 2002), 110 new Australian Postdoctoral Fellowships (APDFs) were awarded, twice the number awarded in 2001. This doubling of APDFs resulted in a success rate of 19.6 per cent for fellowships, up from 14.3 per cent in the previous year.
IMPROVE THE COMPETITIVENESS OF RESEARCHERS SALARIES

As outlined in the Discovery section of this chapter, in 2002, the salaries of new and existing fellowship recipients increased by between 15 and 43 per cent: The 2002 salary level of an Australian Postdoctoral Fellowship is $49,621 which represents an increase of 17.5 per cent over the salary levels offered in 2001. The 2002 salary levels of Australian Research Fellowships/Queen Elizabeth II Fellowships at Steps 1 and 2 are $62,755 and $74,484 respectively. These salaries represent an increase of 24.6 per cent and 43.1 per cent over the salary levels offered in 2001. The 2002 salary levels of Australian Professorial Fellowships at Steps 1 and 2 are $82,152 and $100,078 respectively. These salaries represent an increase of 22.6 per cent and 14.5 per cent over the salary levels offered in 2001.

F E D E R AT I O N F E L L O W S H I P S
Detailed information about the implementation of the Federation Fellowships program is provided in the Discovery section of this chapter.

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Research in the

ANTARCTIC SEAICE ZONE


As part of her ARC Australian Postdoctoral Fellowship, Dr Kerrie Swadling, of the University of Tasmania will travel to pack ice in the Indian Ocean and coastal fast ice offshore from Casey station to collect crustaceans. Dr Swadling has been undertaking polar research for the last 10 years, including a PhD at the University of Tasmania and a two-year postdoctoral position with the Centre dtudes nordiques, Universit Laval, Qubec, Canada. Dr Swadling was awarded an Australian Postdoctoral Fellowship in 2002. Under the three-year project she will examine the diets and grazing rates of crustaceans in the Antarctic sea-ice ecosystem. Crustaceans are an important component of the Antarctic marine ecosystem. Large numbers live in or close to the sea-ice cover, using it as a refuge from predation and a source of food. However, the impact of these animals on algae that grows in the sea-ice is unknown. In addition to increasing our knowledge of the biodiversity of the sea-ice ecosystem in the Southern Ocean, data gathered have the potential to contribute to the development of biogeochemical models of the Southern Ocean, including the possible effects of climate change on the amount of sea ice, and subsequent feedback to biological cycles. It could also be used in the development of management strategies to protect the Antarctic environment from the threat of over-harvesting of marine living resources.
Australian Postdoctoral Research Fellowships are awarded to researchers who are within five years of being granted their PhD. As a result of additional funding provided to the ARC under Backing Australias Ability, the number of APDFs awarded in 2002 doubled from 55 to 110. INVESTIGATOR Dr Kerrie Swadling (The University of Tasmania) CURRENT GRANT Australian Postdoctoral Fellowship, 200204 PHOTOGRAPH (Courtesy of Dr Swadling)

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INDIGENOUS RAINFOREST ARTISTS


In The Atherton Tablelands
INVESTIGATOR Mr Danie Mellor CURRENT GRANT DiscoveryIndigenous Researchers Development, 200102 PHOTOGRAPH (Courtesy of Mr Mellor)

With the assistance of a grant under the ARCs DiscoveryIndigenous Researchers Development program, Mr Danie Mellor is currently investigating the past and current traditions and techniques of indigenous artists working in the tropical rainforests of the Atherton Tablelands and surrounding regions of North Queensland. The project, which comprises fieldwork and original research about rainforest shields and weapons made by indigenous peoples in the North Queensland region, will provide an overview of some of the artistic traditions and techniques of indigenous rainforest culture. Material studied will contribute to the dissemination of indigenous culture in the wider community through both a dissertation and a planned exhibition of artworks from the region. The project forms part of a doctoral research degree being undertaken by Mr Mellor at the Canberra School of Art. The research project will play a vital role in this degree, by informing both the practical and theoretical aspects of the thesis.
The DiscoveryIndigenous Researchers Development program provides support for Indigenous Australian researchers to undertake research projects which may lead to an advance in the understanding of a subject or contribute to the solution of an important practical problem.

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BACTERIAL CELL DIVISION


The Molecular Mechanism and its Precision
Bacteria are very successful. They can multiply extremely rapidly some double their population every ten minutes. And they are able to live in all sorts of environments on earth, from the hot springs of Rotorua to the depths of the ocean where they withstand enormous pressures. Dr Harry, an ARC Queen Elizabeth II fellow at The University of Sydney, is currently researching how bacterial cells divide to produce two new identical cells. Cell division occurs when the cell envelope pinches together at the cell centre between the two replicated chromosomes. As with all organisms, bacterial cells must divide at the right place and the right time to ensure that each newborn cell contains the full complement of genetic material. Survival of the bacteria therefore relies on a mechanism that coordinates cell division with DNA replication. Researchers have known for a long time that DNA replication and cell division in bacteria are coupled in some way. But the nature of this coupling was completely unknown prior to Dr Harrys research. Dr Harrys research has identified how the process of copying the genetic material is linked to cell division. Knowledge gained from this research could be used to design new antibiotics. Due to the increasing numbers of antibiotic resistant bacteria, there is an urgent need for new, effective drugs that will defend us against bacterial infectionssome of which are currently deadly. Dr Harry is now working in collaboration with a Sydney-based biotechnology company, Proteome Systems Limited, to try and turn her fundamental findings into new drugs as well as tools to detect lethal bio-attacks. Dr Harry was awarded the 2002 Eureka Prize for Scientific Research sponsored by The University of New South Wales.
Australian Research Fellowships (ARFs) and Queen Elizabeth II (QEII) Fellowships provide opportunities for established researchers to undertake research of national and international significance. QEII Fellowships encourage research in Australia by postdoctoral graduates of exceptional promise and proven capacity for original work. INVESTIGATOR Dr Elizabeth Harry CURRENT GRANT Queen Elizabeth II Fellowship, 200004 (also DiscoveryProjects, 200204) PHOTOGRAPH Award dinner; from left to right, Adam Spencer (Triple J), Dr Elizabeth Harry and Professor Wyatt Hume (Vice-Chancellor of The University of New South Wales) (Courtesy of Dr Harry)

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K EY O B J E C T I V E | O UTCO M E | K EY P E R F O R M A N C E I N D I C ATO R S | P E R F O R M A N C E

KEY OBJECTIVE
Facilitate access for Australian researchers to state-of-the-art facilities and equipment and provide incentives for the cooperative development of research infrastructure.

OUTCOME
The quality and profile of Australian research is enhanced and its links to major centres of international research excellence are extended.

KEY PERFORMANCE INDICATORS


Five of the key performance indicators in the ARC Strategic Action Plan 200204 relate to Research Infrastructure; these indicators are listed below. Data on the ARCs performance against these indicators are provided in this section and a summary is provided at the end of Chapter 3. KPI.18 ARC support for infrastructure development, including e-research developments, in partnership with other government agencies, delivers wide access to world-class facilities and equipment for Australian researchers, as revealed by outcomes from programs and collaborative initiatives. There is an increase in the scale of research activities supported by the ARC, reflected in a higher incidence of linkages nationally and internationally, and as revealed by analyses of the sources and amount of funding leveraged by ARC schemes, nationally and internationally. By 2003, Australia becomes a partner in one new international research facility or networkfor example, the AsiaPacific nanotechnology network. Australia gains access to e-research facilities such as the grid for networked high-performance computing. Australia develops a national strategy for research infrastructure.

KPI.19

KPI.20

KPI.21

KPI.22

CHAPTER 3

RESEARCH INFRASTRUCTURE

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PERFORMANCE INFRASTRUCTURE PROGRAMS


Description
The ARC supports the purchase of equipment and the development of research facilities through its LinkageInfrastructure Equipment and Facilities program. LinkageInfrastructure (previously known as the Research Infrastructure (Equipment and Facilities) program) encourages the cooperative establishment and use of research facilities among all participants in the national innovation system, including industry.

Input Data
Key results of the 2002 funding round under LinkageInfrastructure Equipment and Facilities are summarised in Table 15. Where possible, relevant data from previous years are also provided. Further information is provided in Appendix 2, including grants awarded by institution and discipline area. Table 15: Infrastructure Programs at a Glance, 2002
LINKAGEINFRASTRUCTURE EQUIPMENT AND FACILITIES

Number of grants ARC funding Partner organisation funding Leverage Average grant size Success rate of applications Grant duration Partner organisations International collaboration International facilities

70 LinkageInfrastructure grants, down from 75 in 2001 $27.2 million, up from $24.7 million in 2001 $21.3 million, up from approximately $20 million in 2001 On average, every $1 invested by the ARC in research infrastructure leveraged an investment of $0.78 from partner organisations $388,683 54.3 per cent, slightly down from 55.1 per cent in 2001 Funding under LinkageInfrastructure is provided for one year only 270 partner organisations across 70 grants (including administering institutions) 101 incidences of international collaboration involving researchers in 25 countries $3.6 million for Australias participation in four international research facilities: International Gemini Partnership ($1.6 million) International Ocean Drilling Program ($1.5 million) ISIS (intense neutron spallation source) ($250,000) Experimental High Energy Physics Program ($225,000) 12 applications were received, of which four projects amounting to approximately $930,000 were funded.

Research library collections and databases

LINKAGES
PARTNER ORGANISATIONS

Of the 70 LinkageInfrastructure grants funded in 2002, three were single institution applications and four involved only one university. A majority (69 per cent) of the projects involve three or more collaborating partner organisations. The 270 partner organisations involved in the LinkageInfrastructure projects funded in 2002 included 16 government organisations (including local, State and federal government), eight CSIRO divisions and six overseas organisations.
INTERNATIONAL COLLABORATION

Of the 70 LinkageInfrastructure projects funded in 2002, 35 indicated that they involved international collaboration. In total, they identified 101 incidences of international collaboration involving 25 countries.

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A C C E S S T O I N T E R N AT I O N A L R E S E A R C H FA C I L I T I E S
Funding provided to international research facilities enabled the following level of access in 2001.
INTERNATIONAL GEMINI PARTNERSHIP

(Collaborating organisations: ARC, The University of Sydney, The Australian National University, The University of New South Wales, The University of Melbourne, Australian Telescope National Facility (CSIRO), Swinburne University and the University of Southern Queensland) In 2001, 15 Australian research teams, led by researchers from The University of Melbourne, The University of Sydney, The Australian National University and the Anglo-Australian Observatory (AAO), obtained data from the Gemini telescopes. Most teams included graduate students and involved national and international collaboration. To date, engineering time required to commission the telescopes and instruments has restricted the time available for general observing. As commissioning is completed the available observing time is expected to increase steadily to a final value for Australian researchers of approximately 25 nights per year over both telescopes.
INTERNATIONAL OCEAN DRILLING PROGRAM

(Collaborating organisations: ARC, The University of Sydney, The Australian Vice-Chancellors Committee, CSIRO Ore Deposits Group and Geoscience Australia (previously the Australian Geological Survey Organisation)) The Ocean Drilling Program research vessel, the JOIDES Resolution, is in use for approximately 335 days per year. During a normal week approximately 28 international scientists (including two to four graduate students) are working on board the ship covering 24 hours a day. During 2001, Australia had seven scientists, including two postgraduate students, on board the drill-ship. In addition, results are relayed from the ship weekly and are distributed to the Australian scientific community. These initial results are used by the wider scientific community in both ongoing research and in the planning of future research.
ISIS (INTENSE NEUTRON SPALLATION SOURCE)

(Collaborating organisations: ARC, Australian Institute of Nuclear Science and Engineering (AINSE), Griffith University, The Australian National University, The University of Queensland, Curtin University, The University of Newcastle, The University of Sydney, The University of New South Wales and Monash University) In 2001, fifteen Australian researchers had a total of 74 days allocated to conduct 27 experiments at ISIS, the intense neutron spallation source located at the Rutherford Appleton Laboratory near Oxford in the United Kingdom. In its 2001 Annual Report, AINSE, the body responsible for coordinating Australian membership of ISIS, reported that Australian proposals for access to ISIS have a success rate that is well above the international average, which attests to their high quality. It noted that access time to the facility awarded to Australian researchers is more than double that expected purely on the grounds of subscription.
EXPERIMENTAL HIGH ENERGY PHYSICS PROGRAM

(Collaborating organisations: ARC, The University of Melbourne, The University of Sydney, and The University of Wollongong) The Australian Experimental High Energy Physics Consortium (the universities of Melbourne and Sydney) is currently working on two experiments at the European Organisation for Nuclear Research (CERN). One (NOMAD) has finished data taking but data analysis is still active. The other (ATLAS) is under construction, and detectors are being frequently exposed to test beams there. In 2001, fifteen visits were made to CERN, in some cases to work on both projects. Visits by senior staff were normally short (one or two weeks) because of duties at home within the universities. Visits by PhD students ranged from one to four months. (Both NOMAD and ATLAS are acronyms for research apparatus at CERNthe Neutrino Oscillation MAgnetic Detector (NOMAD), and the A Toroidal LHC ApparatuS (ATLAS) respectively.)

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Research Outputs

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AUSTRALASIAN LEGAL INFORMATION INSTITUTE (AUSTLII)


The Australasian Legal Information Institute (www.austlii.org) provides free on-line access to Australian legal materialin effect, a public law library on the Internet. The scale and impact of AustLII are impressive. With over 1.5 million searchable documents, it is one of the largest sources of legal materials on the net. AustLII is a joint facility of the Law Faculties at the University of Technology, Sydney, and The University of New South Wales. AustLII is extraordinarily popular, with over 1 million hits per week over 20,000 users per day. Users include the legal profession and business, educational institutions, community organisations, government and overseas users. AustLII is built on partnerships. ARC funding is supplemented by support from the host universities, the Asian Development Bank, Australian Business Ltd, Sun Microsystems, the Department of Foreign Affairs and Trade, the Department of Defence, CCH Australia, AusAid and IP Australia. These partnerships are now becoming international. AustLII has assisted academic institutions in the United Kingdom, Ireland, Canada, Hong Kong and the Pacific Islands to build their own Legal Information Institutes (LIIs), using AustLIIs software and expertise. This global partnership has now resulted in the creation of WorldLII, the World Legal Information Institute (www.worldlii.org), the largest free access law resource on the Internet. With Asian Development Bank support, AustLII staff have also been training lawyers in developing countries in the use of the Internet for legal research, in countries where a law library is an impossible luxury.
LinkageInfrastructure Equipment and Facilities encourages the cooperative establishment and use of research facilities among all players in the national innovation system, including industry. Research infrastructure consists of the institutional resources essential for mounting high-quality research projects in a particular field, including associated indirect costs. INVESTIGATORS Professor Graham Greenleaf (The University of New South Wales) and Associate Professor Andrew Mowbray (University of Technology, Sydney) CURRENT GRANT LinkageInfrastructure Equipment and Facilities, 2002 PHOTOGRAPH Representatives from various international LIIs at a recent Law via the Internet conference (Courtesy of AustLII)

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Australian Membership of the

INTERNATIONAL GEMINI PARTNERSHIP


COLLABORATING ORGANISATIONS The University of Sydney, The Australian National University, The University of New South Wales, The University of Melbourne, Australian Telescope National Facility (CSIRO), Swinburne University of Technology, University of Southern Queensland CURRENT GRANT LinkageInfrastructure Equipment and Facilities, 2002 PHOTOGRAPH (Courtesy of Gemini Observatory)

The International Gemini Partnership is an interagency consortium formed to construct and operate two of the worlds most advanced 8-metre optical/infrared telescopes, one in Chile and the other in Hawaii. ARC funding has enabled Australia to participate in Gemini since 1998. Australia currently has a five per cent share in the $US193 million project. Each country in the Gemini partnership is allocated observing time in proportion to its financial contribution.
HIGHLIGHTS IN 2001 02:

On 18 January 2002, Australia and six other countries in the Gemini partnership dedicated the Gemini South telescope at the summit of Cerro Pachn, a 2,740 metre (9,000 feet) mountain peak in Chile. In August 2001, the Commonwealth Government announced additional funding under its Major National Research Facilities Program for Australia to increase its share in the Gemini Project and to provide instrumentation to exploit the full power of Geminis telescopes. In 2000 the Research School of Astronomy and Astrophysics at The Australian National University won a Gemini contract (worth $A5 million) to build the Near-infrared Integral Field Spectograph. The first cool-down of the instrument was successfully carried out in August 2001. In 2000 the Anglo-Australian Observatory completed a $A300,000 study for the development of GIRMOS, the proposed Gemini Infrared Multiple Object Spectrometer. The Australian National University also won a $US150,000 contract to carry out a design study for an imaging camera for the Gemini South Adaptive Optics System. This study will be delivered by August 2002.
Through membership of international research facilities, Australian researchers are able to access world-class facilities necessary to maintain their high international profile, and in some cases, to enhance the national capacity to construct advanced scientific instrumentation.

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PRIORITY SETTING
K EY O B J E C T I V E | O UTCO M E | K EY P E R F O R M A N C E I N D I C ATO R S | P E R F O R M A N C E

KEY OBJECTIVE
Contribute to the development of, and implement the outcomes from, a coordinated approach to setting priorities in research and research training.

OUTCOME
Capitalise on excellence and utility, leading to greater competitiveness and enhanced benefit to the community.

KEY PERFORMANCE INDICATORS


Five of the key performance indicators in the ARC Strategic Action Plan 200204 relate to Priority Setting; these indicators are listed below. Data on the ARCs performance against these indicators are provided in this section and a summary is provided at the end of Chapter 3. KPI.23 The expectations of stakeholdersthat ARC programs are responsive to government priorities, disciplinary requirements, the needs of individual researchers and industry are satisfied, as indicated by: the outcomes of a formal review by the Minister and the Prime Ministers Science, Engineering and Innovation Council (PMSEIC); surveys of researchers in the different disciplines and their industry partners; and surveys of particular categories of researchersfor example, those early in their careers. The target specified in the Governments direction on priorities is achieved33 per cent of funds in the 2003 funding round is allocated to the priority areas identified for the ARC. Support contributes to the development of research strengths in identified priority areas, as indicated by a range of inputs and outputs. There is an increasing level of collaborative investment by other agencies (in both the public and private sectors) in ARC-funded activities. There is an increase in the level of intellectual property generated from ARC-funded research.

KPI.24

KPI.25

KPI.26

KPI.27

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PRIORITY PROGRAMS
Description
In the 2001 application year (for funding in 2002), the ARC implemented a number of investment strategies through its National Competitive Grants Program (NCGP) to support areas of research priority. The priority areas are the following: research training in information and communications technology (ICT) Each year, at least 50 new Australian Postgraduate Awards (Industry) (APAIs) are targeted to research training in this field. These awards were announced in the Governments industry statement Investing for Growth in 1997. They are aimed at fostering partnerships between the ICT industry and higher education researchers to help to ensure that Australia has appropriately skilled personnel for the future. research in rural and regional issues In the 2001 application year, the ARC targeted at least 20 per cent of funding under the LinkageProjects element of the NCGP to research that will directly benefit regional and rural Australian communities. This requirement was announced by the Government in Knowledge and Innovation (December 1999) as part of a regional package to assist universities to develop regional connections, concentrate research activity into areas of strength, and take advantage of opportunities presented through new fields of research. early career researchers In the 2001 application year, a separate budget allocation was identified under the DiscoveryProjects element of the NCGP for applications from early career researchers. This change was introduced in response to concerns that young researchers had become discouraged from applying for Discovery grants (as reflected by falling application rates by early career researchers under the Discovery program) (Table 16). Table 16: Success Rates of Applications from Early Career Researchers, 20002002
FUNDING YEAR 2000 2001 2002

Number of applications Number of applications funded Success rate of applications (%)

450 82 17.3

251 47 18.0

653 161 24.7

In 2002, the ARC, in partnership with the Grains Research and Development Corporation (GRDC), will establish the Australian Centre for Plant Functional Genomics. The identification of plant functional genomics as an area in which the ARC and GRDC should pursue a joint investment was the result of a thorough process to identify priority areas within biotechnology that would deliver great benefit to Australia. It was a direct outcome of two national workshops on genomics and gene technologies that occurred in 1999, and of subsequent discussions between the ARC and GRDC. The workshops were sponsored by the ARC and Rural Research and Development Corporations (RDCs) and were attended by leading scientists, research managers and representatives of business and government from around the country. In the 2003 funding round the ARC will target at least 33 per cent of funds to discovery research and collaborative research partnerships in four priority areas in which Australia enjoys or wants to build a competitive advantage. A major element of the ARCs funding strategy for these priorities will be the establishment of centres of excellence. Further information about the implementation of these priority areas is provided in the description of Backing Australias Ability initiatives later in this section.

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PERFORMANCE

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Input Data
Key results of the 2002 funding round are summarised in Table 17. Where possible, relevant data from previous years are also provided. Table 17: Priority Programs at a Glance, 2002
RESEARCH TRAINING IN INFORMATION AND COMMUNICATIONS TECHNOLOGY (ICT)

Number of grants

70 out of 397 new APAIs, up from 50 in 2001. In addition, there are 132 ongoing APAI holders conducting research in this field.

RESEARCH IN RURAL AND REGIONAL (R&R) ISSUES

Total number of Linkage grants Total funding of Linkage grants Number of R&R grants Funding of R&R grants R&R as % of total grants (no.) R&R as % of total grants ($)
EARLY CAREER RESEARCHERS

470, comprising 258 LinkageProjects and 212 APAI-only awards $82.6 million over five years 207, comprising 115 LinkageProjects and 92 APAI-only awards $35 million, up from $27 million in 2001 44.0 per cent 42.3 per cent

Number of grants Total funding Success rate of applications

161, up from 47 in 2001 $8.5 million in 2002, and $24.5 million over five years to 2006 24.7 per cent, up from 18.0 per cent in 2001

Implementation of Initiatives in Backing Australias Ability


I M P L E M E N TAT I O N O F A R C P R I O R I T I E S
In announcing the additional funding for the ARC in Backing Australias Ability, the Government stated its intention that:emphasis will be on areas in which Australia enjoys, or wants to build, a competitive advantage. To assist it to provide advice to the Government on the implementation of this intention, the Board of the ARC requested advice from its Expert Advisory Committees about strengths and opportunities for Australian research. At a meeting in August 2001, the Board of the ARC endorsed the areas identified by the Expert Advisory Committees. In January 2002, the Minister directed the ARC to allocate at least 33 per cent of funding in the 2003 funding round to four priority areas: nano-materials and bio-materials; genome/phenome research; complex/intelligent systems; and photon science and technology. In his media release announcing this direction (29 January 2002), the Minister noted that funding for these areas would be provided through: the Discovery and Linkage elements of the National Competitive Grants Program the establishment of new ARC Centres of Excellence that will be based upon research excellence, human capacity building, international and national linkages, and national benefit.
DISCOVERY AND LINKAGE

Following from the Ministers announcement, funding rules for both DiscoveryProjects and LinkageProjects were amended to reflect the new priority areas. The closing date for applications under DiscoveryProjects was also extended to allow researchers to meet the changed requirements. Applications for DiscoveryProjects funding in 2003 closed on 15 March 2002. A total of 3,601 applications were received, of which 1,545 (43 per cent) were identified by applicants as lying in one of the priority areas of research.

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LinkageProjects has two application rounds in 2002. The first round, for funding commencing in January 2003, closed on 13 May 2002. A total of 662 applications were received, of which 227 (34 per cent) were identified by applicants as lying in one of the priority areas of research. These applications will be assessed by the ARCs readers and Expert Advisory Committees. The assessment process includes an assessment of the quality of the applications as well as the extent to which the applications meet the scope of the priority areas as defined in the funding rules for the Discovery and Linkage programs. The outcomes of the application rounds outlined above will be reported in the ARC Annual Report for 200203. Table 18: Number of Applications in Priority Areas, 2003 application round
APPLICATIONS PROGRAM

DISCOVERYPROJECTS Priority areas Nano-materials and bio-materials Genome/phenome research Complex/intelligent systems Photon science and technology Total priority areas Total applications Priority applications as % of total applications 333 328 644 240 1,545 3,601 43

LINKAGEPROJECTS (ROUND 1)

43 36 123 25 227 662 34

ARC CENTRES OF EXCELLENCE

To inform development of a new ARC Centres of Excellence program, the ARC conducted consultation forums around Australia between 21 and 28 March 2002. Invitations were sent to a wide range of people and organisations, including leaders from relevant industry areas, State and federal government departments, relevant peak bodies, research organisations and university vice-chancellors. To facilitate discussion at the forums, a paper outlining the key features of the program and canvassing issues of policy and implementation was released on 18 March 2002. Attendees at the forums were encouraged to submit written comments to the ARC; a total of 24 submissions were received. Issues raised during the forums and in written submissions included the relationship between the proposed new centres and existing programs (both of the ARC and of other agenciesfor example, the Cooperative Research Centres program) and the proposed level of funding for the new centres.

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Table 19: ARC Centres of Excellence Consultation Forums


DATE LOCATION OF FORUM ARC REPRESENTATIVE NUMBER OF ATTENDEES

21 March 2002

Western Australia, Northern Territory and Tasmania [via videoconference] Australian Capital Territory [Geoscience Australia building] South Australia [The University of Adelaide] New South Wales [University of Technology, Sydney] Queensland [The University of Queensland] Victoria [RMIT University]

Professor Vicki Sara Professor Lawrence Cram Professor Vicki Sara Professor Lawrence Cram Professor Doug McEachern Professor Lawrence Cram Professor Vicki Sara Professor Bill Sawyer

30

22 March 2002 22 March 2002 22 March 2002 27 March 2002 29 March 2002

60 90 94 100 50

Funding rules for the new ARC Centres of Excellence were released in June 2002. Announcement of the successful applicants will be made in 2002 following a comprehensive selection process.

B I O T E C H N O L O G Y A N D I N F O R M AT I O N A N D C O M M U N I C AT I O N S T E C H N O L O G Y ( I C T ) C E N T R E S O F E X C E L L E N C E
In Backing Australias Ability the Government also announced the establishment of two world-class centres of excellencein biotechnology and in information and communications technology. The centres are aimed at generating a critical mass for research in these areas to maintain a competitive edge for Australia.
BIOTECHNOLOGY CENTRE OF EXCELLENCE

The successful applicant for the Biotechnology Centrethe Centre for Stem Cells and Tissue Repairwas announced by the Prime Minister on 30 May 2002. The centres central node will be located at the Monash Biotechnology Strip Development (currently under construction). The announcement of the successful applicant followed a comprehensive competitive selection process undertaken during 200102 that was administered by Biotechnology Australia in consultation with the ARC and the Department of Education, Science and Training (DEST). The ARC was represented on the selection committeethe Biotechnology Centre Panel of Expertsby the Chief Executive Officer, Professor Sara. The successful centre was awarded $46.5 million over five years through a joint funding arrangement between Biotechnology Australia and the ARC.
ICT CENTRE OF EXCELLENCE

On 22 May 2002, the Minister for Communications, Information Technology and the Arts, Senator Richard Alston, and Dr Nelson announced that National ICT Australia (NICTA) was the preferred applicant to establish and operate the ICT Centre of Excellence. A consortium of six leading organisations and two key sponsors from universities, the private sector and State government developed the NICTA proposal. The consortium included The Australian National University, The University of New South Wales, The University of Sydney, the NSW Government, the ACT Government, Bovis Lend Lease, Redfern Photonics and Allen & Buckeridge. The Commonwealths contribution to the establishment of the Centre of $129.5 million over five years is jointly funded by the ARC and the Department of Communications, Information Technology and the Arts (DCITA). Other partners will contribute almost $100 million in cash and in-kind over the same period. Selection of the ICT Centre was administered by the National Office for the Information Economy (NOIE) and DCITA in consultation with the ARC and DEST. The ARC was represented on the ICT Advisory Panel by the CEO, Professor Sara, and Board members Dr Chris Nicol and Dr Michael Sargent.

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The Australian Centre for Plant Functional Genomics


The Australian Centre for Plant Functional Genomics will play a pivotal role in the growth of the countrys agricultural bioscience industryestablishing a major international research program to develop technologies to produce plant varieties that are resistant to drought, salinity and other environments that threaten food production throughout the world. The Centre will encourage the formation and maintenance of strong networks between research programs and their associated commercial activities.
PHOTOGRAPH The Minister for Education, Science and Training, Dr Brendan Nelson, at the launch of the Centre at The University of Adelaide.

The ARC will provide $10 million in funding to the Centre over five years. The Grains Research and Development Corporation will invest a further $10 million, contributed by grain growers and the Government. The leveraging effect of the Commonwealths investment has been quite spectacular, with the South Australian State Government and participating universities contributing $12 million and $3.6 million respectively. The Centre will be located at The University of Adelaide, with partners including The University of Melbourne, The University of Queensland and the Victorian Department of Natural Resources and Environment. The investment in this area is expected to achieve high rates of social and economic return. Benefits will flow to: sciencefor basic research discoveries that place Australia at the international forefront of research in plant functional genomics industryfor improvements in the quality of plant and grain crops that will maintain and enhance Australias competitive commercial advantage internationally communitythrough environmentally sustainable growth for Australias plant industries. The Minister for Education, Science and Training, Dr Brendan Nelson, in conjunction with Senator Judith Troeth, Parliamentary Secretary to the Minister for Agriculture, Fisheries and Forestry, announced the successful bid on 10 May 2002 at the Waite Campus of The University of Adelaide, part of the successful consortium.
In 200102, the ARC developed a new, targeted research-funding model by joining with the Grains Research and Development Corporation (GRDC) to cofund a centre in plant functional genomics. Identification of plant functional genomics as an area in which the ARC and GRDC should pursue a joint investment was a direct outcome of two national workshops on genomics and gene technologies that were conducted by the ARC and Rural Research and Development Corporations in 1999.

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BUILDING AUSTRALIAS AGRICULTURAL INDUSTRIES

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MORE GOLD, LESS CYANIDE


Dr Matthew Jeffrey, an early career researcher from Monash University, is developing a new technique that replaces cyanide with a non-toxic chemical to recover gold from ore bodies. The non-toxic chemical known as thiosulfate is commonly used as a fixative in photography. Dr Jeffreys ARC-funded research project will determine whether thiosulfate could be introduced into existing gold-processing plants, or whether they would need to be rebuilt. Dr Jeffrey sees a direct environmental benefit from his research. If it is successful, he hopes cyanide spills may become a thing of the past. And the gold industry would become less of a threat to the Australian environment. Dr Jeffreys research is supported by the Australian Research Council and the Australian gold industry. In August 2001, Dr Jeffrey, was selected as one of sixteen researchers to present his research to the public as part of ScienceNOW! Through this forum, young Australian researchers selected from across Australia through a competitive application process, are provided with an opportunity to present their discoveries to the public and media.
Researchers who have held a PhD or equivalent research doctorate for a period of five years or less at the time of application are defined as being Early Career Researchers. INVESTIGATOR Dr Matthew Jeffrey (The University of Melbourne) CURRENT GRANT Large Research Grant, 200103 PHOTOGRAPH (Courtesy of Dr Jeffrey)

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FRUIT-FLY PESTS IN NORTH-WESTERN AUSTRALIA


Invasion, Hybridisation or Evolution?
INVESTIGATOR Dr John Sved (The University of Sydney) CURRENT GRANT LinkageProjects, 200204 INDUSTRY PARTNERS Agriculture Western Australia, Kununurra Pest Control Committee, Northern Territory Department of Primary Industry and Fisheries PHOTOGRAPH On initial fruit-fly collecting trip in Western Australia, from left: Dan Crisafulli (research assistant), Emilie Cameron (holding fly-trap) (PhD student) and John Moulden (Agriculture Western Australia) (Courtesy of Dr Sved)

Until recently, northwestern Australia was thought to be relatively free of serious fruit-fly pests. However, infestations of fruit-fly have now been discovered in major commercial horticultural regions in Western Australia and the Northern Territory. This apparent change in the behaviour of native fruit-fly populations represents a serious threat to the economic development of these areas. In collaboration with industry partners, Dr Sved of The University of Sydney is investigating the nature of these infestations. Under the project, which is funded through the LinkageProjects program (200204), he will identify which species of fruit-fly are present and determine whether hybrids or new host races and strains are emerging. Through this increased understanding of these fruit-fly pests, Australia will be able to ensure that appropriate control measures are implemented and the full potential of horticultural industries in the area is realised. If the pests are invaders, for example, then resources can be targeted towards quarantine activities. If they are rogue endemics, however, it may be possible to concentrate resources on eradicating particular problem populations.
Each year the ARC targets at least 20 per cent of funding under the LinkageProjects element of the NCGP to research that will directly benefit regional and rural communities.

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COMMUNITY AWARENESS
K EY O B J E C T I V E | O UTCO M E | K EY P E R F O R M A N C E I N D I C ATO R S | P E R F O R M A N C E

KEY OBJECTIVE
Increase awareness, understanding and support among the community of the outcomes and benefits of Australian research.

OUTCOME
Increased public support for investment in research, better informed debate and decision making, improved understanding of IP issues and enhanced capacity within the community to manage change.

KEY PERFORMANCE INDICATORS


Two of the key performance indicators in the ARC Strategic Action Plan 200204 relate to Community Awareness; these indicators are listed below. Information on the ARCs performance against these indicators is provided in this section and a summary is provided at the end of Chapter 3. KPI.28 There is increasing awareness within the community of the ARC and the outcomes of ARC-funded research as well as increasing support for the ARC, as indicated by increases in ARC funding, monitoring of media exposure, monitoring of visits to the ARC website, and feedback from Ministers. There is an increasing level of contact and communication with stakeholders through ARC participation in a growing number of outreach activities.

KPI.29

PERFORMANCE
Description
The key components of the ARCs strategy to increase public awareness of the benefits of research and the outcomes of ARC-funded research include the following: publication of newsletters, reports and brochures launches and media releases to announce major ARC initiatives and developments maintenance of a website regular meetings with stakeholdersfor example, through the institutional visits program sponsorship of forums participation in conferences and promotional activities.

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A list of publications released by the ARC during 200102 is provided in Appendix 4. The publications include one issue of the ARCs newsletter, Discovery, and a brochure highlighting the role of the ARC in the national innovation system and citing examples of ARC-sponsored research. Publications produced by the ARC are distributed to the Australian academic and research communities, to interested government, industry and public bodies, to higher education and research advisory bodies, and to overseas researchers and research agencies.

Media Events
In 200102, the ARC participated in five media events (or launches) announcing the outcomes of applications under research programs that will be funded, either fully or in part, by the ARC. The announcements related to the following: the ARC grant outcomes for 2002 (September 2001) the results of the first round of applications under the Federation Fellowships program (September 2001) the successful bid for the Australian Centre for Plant Functional Genomics (May 2002) the successful bid for the ICT Centre of Excellence (May 2002) the successful bid for the Biotechnology Centre of Excellence (May 2002). The first 15 successful applicants for ARC Federation Fellowships were announced on 25 September 2001 at Parliament House, Canberra. The launch was attended by the Prime Minister, the then Minister for Education, Training and Youth Affairs, Dr David Kemp, Professor Vicki Sara, and eight of the successful Federation Fellowships applicants. The announcement was attended by approximately 100 people and gained wide media coverage. The successful bid for the Australian Centre for Plant Functional Genomics was announced on 10 May 2002 by the Minister for Education, Science and Training, Dr Brendan Nelson, and Senator Judith Troeth, Parliamentary Secretary to the Minister for Agriculture, Fisheries and Forestry. The announcement was made at an event held at the Waite Campus of The University of Adelaide, one of the partners of the successful consortium. The event was attended by approximately 500 people and received press coverage both locally and nationally. On 17 June 2002, the ARC and The Australian National University (ANU) hosted a media event promoting a remarkable research achievement by an ANU-led international teamthe teleportation of a laser beam. The ARC has been funding the team since 1998 and has committed to funding until 2006. Total funding will be around $2 million. The achievement was widely reported in the national media and was carried by both the BBC and CNN. During the year the ARC also contracted Splash Media to do a series of stories on ARC Federation Fellows. The first of these stories, on Professor Max Coltheart, appeared on television and on radio. Professor Coltheart was interviewed on ABC Radios The World Today program on 25 March and on the Nine Networks Today Show on 26 March. Professor Coltheart also appeared on ABC TVs 7.30 Report on 26 March, where he was interviewed by Kerry OBrien.

Media Releases
In 200102, the previous Minister for Education, Training and Youth Affairs, Dr David Kemp, and the Minister for Education, Science and Training, Dr Brendan Nelson, issued a number of media statements highlighting significant activities of the ARC. The ARC issued nine media releases providing information and commenting on a range of issues relating to ARC business. A list of these media releases is provided in Appendix 4.

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Publications

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Website (www.arc.gov.au)
The ARC website is a primary means by which the ARC communicates information about program and policy developments. The site provides downloadable formats of all funding rules and application forms for ARC programs as well as ARC publications. In 200102, the ARC website received 397,733 hits. A monthly breakdown of hits indicates strong surges of interest in February, March and May 2002. This reflects the ARC application timetable with the deadlines for applications under the DiscoveryProjects and LinkageProjects programs on 15 March and 10 May respectively. A redesign of the ARCs website is currently under way to update the site and make it more userfriendly to the ARCs major stakeholdersfor example, universities, industry and media. Visitors to the new site will be encouraged to provide feedback about the new site that will be incorporated in future developments.

Institutional Visits
Each year the ARC undertakes a formal program of visits to institutions within the higher education sector to: provide universities with the opportunity to discuss issues of concern and to showcase their research give the ARC the opportunity to seek feedback on programs as well as issues more generally and to view a range of ARC-funded projects and facilities at each institution. The visit program is undertaken on a three-year cyclic timetable. During 200102 the ARC visited eight institutions in Darwin, Brisbane and regional areas of New South Wales and Queensland. Table 20: ARC Institutional Visits, 200102
INSTITUTION DATE OF VISIT

Northern Territory University The University of Queensland (in conjunction with 5th ARC Board Meeting on 23 October) Griffith University Queensland University of Technology Southern Cross University University of Southern Queensland Central Queensland University James Cook University

25 September 2001 24 October 2001 25 October 2001 25 October 2001 23 May 2002 24 May 2002 11 June 2002 12 June 2002

Also in 200102, representatives of ARC senior management visited over 30 universities. The main purpose of these visits was the presentation of information on the National Competitive Grants Program.

Sponsorship
In 200102, the ARC participated in, and provided funding support for,Science Meets Parliament Day. Funding was also provided to support a number of early career researchers to attend a pilot Advanced Studies Institute in Robotics in Japan (July 2001) and Science at the Shine Dome (May 2002).

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The ARC was a sponsor for Science Meets Parliament Day held on 21 and 22 August 2001. The event, coordinated by the Federation of Australian Scientific and Technological Societies (FASTS), attracted 180 scientists and technologists and 142 parliamentarians. The Chairman of the ARC, Mr Peter Wills, AC, addressed the National Press Club in Canberra on 21 August 2001 to launch the Science Meets Parliament Day event.

A D VA N C E D S T U D I E S I N S T I T U T E I N R O B O T I C S , T O K Y O
In July 2001, the ARC supported three early career researchers to attend a pilot Advanced Studies Institute event in Tokyo in the field of robotics. The aim of the event was to provide opportunities for promising young scientists and engineers from the East AsiaPacific region to interact and stimulate future research cooperation in the field of robotics. The researchers were Dr Andrew Price (Monash University), Dr David Austin (The Australian National University) and Dr Stephen Scheding (The University of Sydney).

S C I E N C E AT T H E S H I N E D O M E
In May 2002, the ARC sponsored three early career researchers to attend an Early Career Researchers Program organised by the Australian Academy of Science as part of Science at the Shine Dome activities. The recipients of the awards (which included funding support to cover the cost of registration, travel and accommodation) were drawn from recipients of ARC grants (either early career researchers or Australian Postdoctoral Fellows) in the 2002 funding round. The researchers were Dr Kerrie Swadling (The University of Tasmania), Dr Amine Bermak (Edith Cowan University) and Dr Karina Sendt (The University of Sydney).

Conferences
In 200102, representatives of the ARC participated in numerous conferences and symposiums.

AUSTRALASIAN RESEARCH MANAGEMENT SOCIETY (ARMS) CONFERENCE


The annual Australasian Research Management Society (ARMS) conference provides a valuable opportunity for representatives of the ARC to meet and exchange information with research managers from across the national innovation system, including universities, industry and government. The 2001 ARMS conference was held in Sydney from 21 to 23 November 2001. The theme of the conference was Partnerships: Identifying Opportunities and Capturing the Benefits. The ARC Chairman, Mr Peter Wills, AC, formally opened the conference on 22 November and the Chief Executive Officer, Professor Vicki Sara, also spoke on The New ARC: Research, Innovation and Excellence. The program also included a presentation by an ARC-funded researcher, Professor Hugh Durrant-Whyte, Director of the Australian Centre for Field Robotics, and Mr Graeme Nelmes, Technical Director of Patrick Technology, about the commercialisation of research being carried out by the Centre for Field Robotics. Prior to the formal start of the conference, a workshop was held to provide an opportunity for the ARC to give specific feedback to research managers about the ARCs programs and processes. The workshop enabled representatives of the ARC to discuss issues relating to the outcomes of the 2001 application round as well as changes for the 2002 application round.

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S C I E N C E M E E T S PA R L I A M E N T D AY

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SPREADING THE WORD


Researchers are expected to communicate the outcomes of ARC-funded research projects to the research community and, where appropriate and possible, to the community at large. Institutions are required to acknowledge the support of the ARC in any promotional material arising from ARC-funded research (for example, books, articles, television or radio programs, newsletters or other literary or artistic works). This section provides examples of media statements about ARC-funded research made by institutions during 200102.

JAMES COOK UNIVERSITY 21 MARCH 2002


FINGERPRINTING FLYING FOXES

The sustainable coexistence of northern Queenslands tropical fruit industry and a keystone species of flying fox is the focus of investigation by James Cook University researchers, in collaboration with industry and other stakeholders.
GRANT INVESTIGATORS INDUSTRY PARTNERS

LinkageProjects, 200204 Dr David Blair, Dr Michelle Waycott, Dr Jonathon Luly Queensland Parks and Wildlife Service, Queensland Fruit and Vegetable Growers and the Tolga Bat Hospital

UNIVERSITY OF SYDNEY 2 NOVEMBER 2001


INTERNATIONAL LINKS BOOST AUSTRALIAN RESEARCH

An international collaborative research project, currently underway at The University of Sydney, has the potential to revolutionise the way in which modern airframes are constructed.
GRANT INVESTIGATORS INDUSTRY PARTNERS

Strategic Partnerships with IndustryResearch and Training, 200103 Associate Professor Liyong Tong, Professor Yui Wing Mai BoeingSpace and Communications and Boeing Phantom Works in Seattle; Aerospace Technologies of Australia Limited

UNIVERSITY OF SOUTH AUSTRALIA 4 MARCH 2002


THE WORK OF SCHOOL PRINCIPAL LOSING ITS APPEAL

The number of school principals in Australia is dwindling and anecdotal evidence suggests that fewer teachers are applying for principal positions. Associate Professor Patricia Thomson from the University of South Australia is the winner of an ARC grant to examine the declining supply of principals in Australia.
GRANT INVESTIGATORS

DiscoveryProjects, 200204 Associate Professor Patricia Thomson (University of South Australia), Associate Professor Jill Blackmore (Deakin University), Professor Judith Sachs (The University of Sydney)

FLINDERS UNIVERSITY 18 NOVEMBER 2001


FOR PEATS SAKERESEARCH FINDS ANOTHER WAY TO GROW MUSHROOMS Researchers at Flinders University are aiming to make Australias mushroom growers selfsufficient by finding substitutes for imported European peat. Australian mushroom growers currently import peat from Germany, Lithuania, Ireland and Canada. But there has been growing environmental concerns about mining peatbogs, and in some areas the resource has already been overmined.
GRANT INVESTIGATORS INDUSTRY PARTNERS

LinkageProjects, 200203 Dr Nick McLure, Professor David Catcheside, Professor John Wheldrake Adelaide Mushrooms Pty Ltd, Van Schaiks Organic Soil and Bark Supplies

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STO RY

AUSTRALIAN LITERATURE GATEWAY OPENED

The launch of AusLit: Australian Literature Gateway marks a new era for research and discovery in Australian literature. It offers libraries and researchers a single entry point to authoritative, constantly updated information on more than 40,000 Australian authors and more than 360,000 works of Australian creative and critical literature. Funding for the project has included $1 million from the ARC as well as $2 million from the partner institutions in cash, and in-kind.
GRANT COLLABORATING ORGANISATIONS

LinkageInfrastructure Equipment and Facilities (various years) The University of New South Wales, The University of Western Australia, eight other Australian universities, The National Library of Australia

LA TROBE UNIVERSITY 7 AUGUST 2002


LA TROBE UNIVERSITY RESEARCH GRANT TO BENEFIT MURRAY RIVER TOURISM DEVELOPMENT

The ARC grant will investigate the role of business clusters and how they contribute to tourism development in four cities along the Murray River, particularly in relation to adding value to the natural advantage provided by the Murray River.
GRANT INVESTIGATORS INDUSTRY PARTNERS

LinkageProjects, 200204 Professor Peter Murphy, Dr Julie Jackson Albury-Wodonga Tourism, the Sunraysia Area Consultative Committee, the Mildura Grand Hotel, the Albury City Council

THE UNIVERSITY OF QUEENSLAND 8 OCTOBER 2001


RED HOT RESEARCHUQ CENTRE SECURES MAJOR RESEARCH GRANT IN HIGH-TEMPERATURE METAL PROCESSING

The recently established PYROSEARCH Centre provides research services to the mineral industry worldwide Dr Haynes said the project would lead to the development of advanced thermodynamic and process models for high-temperature metal-smelting technologies.
GRANT INVESTIGATORS

LinkageProjects, 200206 Associate Professor Peter Hayes, Dr Evjueni Jak

GRIFFITH UNIVERSITY 3 DECEMBER 2001


$500,000 FOR RESEARCH ON ASSIMILATION

Dr Haebeich has received an ARC QEII Fellowship to undertake a five-year project tracing the history of assimilation in Australia and showing how it has been represented to the Australian Public.
GRANT INVESTIGATOR

Queen Elizabeth II Fellowship, 200206 Dr Anna Haebich

T H E U N I V E R S I T Y O F M E L B O U R N E 6 M AY 2 0 0 2
PHYSICS REVEALS SECRETS OF THE DIDGERIDU

Dr Hollenberg, in a collaboration with Professor Neville Fletcher, Associate Professor Joe Wolfe and Dr John Smith, recently received an ARC Discovery grant to study the acoustics of the didjeridu. Dr Hollenberg hopes to build a body of knowledge about the didjeridu. He gives public lectures and demonstrations around Australia and overseas on the science, culture and music behind the didjeridu.
GRANT INVESTIGATORS

DiscoveryProjects, 200204 Dr Hollenberg (The University of Melbourne), Professor Neville Fletcher (The Australian National University), Associate Professor Joe Wolfe and Dr John Smith (The University of New South Wales)

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THE UNIVERSITY OF WESTERN AUSTRALIA 5 NOVEMBER 2001

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GOVERNANCE
K EY O B J E C T I V E | O UTCO M E | K EY P E R F O R M A N C E I N D I C ATO R S | P E R F O R M A N C E

KEY OBJECTIVE
Establish and maintain a governance and organisation structure, together with management processes to enable the ARC to achieve its objectives within a framework of transparency and accountability.

OUTCOME
Effective and efficient use of resources, leading to improved research outcomes, increased support and greater investment.

KEY PERFORMANCE INDICATORS


Five of the key performance indicators in the ARC Strategic Action Plan 200204 relate to Governance; these indicators are listed below. Information on the ARCs performance against these indicators is provided in this section and a summary is provided at the end of Section 3. KPI.30 The responsible Minister is satisfied with the effectiveness of ARC governance as indicated by approval of the ARC strategic plan, annual program budget and annual report. The Parliament is satisfied with the performance of the ARC against its accountability requirements, as indicated by feedback from Senate Estimates Committees. The ARC annual report is of high quality as judged against those of other comparable agencies. There is satisfaction with ARC processes for administering applications and grants, as indicated by stakeholder surveys and trends in the number and success rate of appeals against administrative decisions. There is a high level of Board and staff satisfaction with the ARCs performance as measured by surveys.

KPI.31

KPI.32

KPI.33

KPI.34

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Overview
GOVERNANCE
On 1 July 2001, the ARC was established as a separate agency under the Australian Research Council Act 2001 (ARC Act), a statutory agency under the Public Service Act 1999 (PS Act) and a prescribed agency under the Financial Management and Accountability Act 1997 (FMA Act). All three Acts imposed new governance responsibilities on the ARC.

C O R P O R AT E S E RV I C E S
During 200102, the majority of the ARCs corporate services were delivered under a memorandum of understanding (MoU) with the Department of Education, Science and Training (DEST) (known as the Department of Education, Training and Youth Affairs (DETYA) at the time the agreement was signed). A revised MoU is currently being negotiated with DEST for 200203. Under the revised MoU the ARC will assume responsibility for some functions previously sourced from DEST.

Governance
STRUCTURE AND ELEMENTS
The ARC Act, which came into force on 1 July 2001, set up a new governance structure for the ARC. Under the Act, the governance structure of the ARC comprises the Minister, the Board of the ARC, the Committees of the Board, and the Chief Executive Officer (CEO) and staff. The characteristics of these key elements are described in detail in Appendix 5. During 200102, the ARC introduced a revised management structure to assist it to meet its new responsibilities as an independent agency. The key elements of this revised structure include the following newly created senior executive service positions: Deputy Chief Executive Officer Executive Director, Policy and Planning Coordination Branch Executive Director, Corporate Branch. The responsibilities of these positions are outlined in Appendix 5. In addition, the position of Director, Systems, was established to manage the newly established Systems Section. The role of the section is to provide technical and project management skills for the future development and ongoing support and maintenance of the major IT systems associated the grant application, assessment, and post-award administration systems.

C O R P O R AT E A N D O P E R AT I O N A L P L A N N I N G
In 200102, the main elements of the ARCs corporate and operational planning framework were the following: strategic plan A new strategic action plan for the period 200204 was approved by the Minister and tabled in Parliament in June 2002. The new plan sets out the objectives and investment strategies the ARC intends to pursue for this period. It builds on the ARCs previous strategic plan, which covered the period 200002. branch and section plans Each of the three branches of the ARC has a plan which builds on the actions and outcomes identified in the strategic action plan. Similarly, each section has a plan which is based on the branch plan. Section plans are linked to individual performance agreements and career development plans for each member of staff. portfolio budget statement The ARC is included as a separate agency in the Minister for Education, Science and Trainings Portfolio Budget Statements.

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PERFORMANCE

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annual report The annual report is the primary mechanism through which the ARC reports to Parliament. Under the ARC Act, the report must include an assessment of the ARCs performance against the key performance indicators in the strategic plan. The inclusion of performance indicators to enable the ARC to report on its performance is a key feature of the new strategic action plan. Responsibility for coordination of the performance reporting function rests with the Policy and Planning Section of the ARC; during 200102 the section worked at developing a framework to sensibly support this activity within the agency. A principal consideration is the need for balance in implementing mechanisms that are not overly burdensome but that still allow the ARC to meet its accountability requirements.

I N T E R N A L A U D I T, F R A U D C O N T R O L A N D R I S K M A N A G E M E N T
As a prescribed agency under the FMA Act, the ARC assumes a number of financial management responsibilities, including the requirements to establish a Fraud Control Plan, establish and maintain an audit committee and prepare financial statements. During 2001 the ARC undertook a business risk assessment. The risk assessment, which was conducted in accordance with the Australian Standard on Risk Management (AS/NZS 4360:1999), involved extensive consultations with staff over a number of weeks. The assessment provided the basis for the development of the ARCs first Fraud Control Plan, which was completed in June 2002. A Finance and Audit Committee (see Appendix 5 for further details) was established to advise the Chief Executive Officer on a range of financial management issues. To provide the ARC and the Finance and Audit Committee with assurance that its management framework was sound, Walter & Turnbull was engaged to conduct a number of audits, including a review of financial policies and procedures. The year 200102 has seen the establishment of the ARCs initial accountability framework. This framework will continue to be strengthened and developed in 200203.

I N T E R N A L A U D I T R E P O RT S
In 200102 the following audits were undertaken by independent auditors: Quality Assurance AuditReview of Pre-Financial Statements Compliance AuditReview of ARC Financial Policies and Procedures IT ReviewReview of IT and Corporate Management

E T H I C A L S TA N D A R D S
ARC MEMBERS

ARC members (including Board and Committee members) may experience actual or potential conflicts of interest between their activities on behalf of the Board and those arising from personal or professional responsibilities. The ARC has established formal guidelines for the handling of matters involving actual or potential conflicts of interest, which it requires all Board and Committee members to meet.
ARC STAFF

The PS Act provides the framework for the ARC in promoting ethical standards in the agencys policies and interactions with stakeholders. All employees offered employment are presented with the Australian Public Service Code of Conduct (the Code) and the Australian Public Service Values (the Values). Before their appointment is finalised, they are required to read and acknowledge that they understand the Code and the Values. Biannual performance reviews provide a formal opportunity for supervisors to address any concerns. A fraud and ethics awareness training program is being developed.

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The nature and amount of remuneration for Senior Executive Service (SES) staff is determined under individual Australian Workplace Agreements (AWAs). The notional salary ranges for SES staff at 30 June 2002 are provided in Table 21. Table 21: Notional Salary Ranges for Senior Executive Service Staff (at 30 June 2002)
LEVEL SALARY RANGE

Senior Executive Band 1 Senior Executive Band 2 Senior Executive Band 3

$85,200$105,000 $102,500$130,000 $125,000$155,000

Remuneration is reviewed annually. The review considers the senior executives personal capabilities, including skills, knowledge, experience and ability as well as achievement against goals set in the preceding performance appraisal cycle. Senior executives may become eligible for performance pay as part of the performance appraisal process. A labour market bonus may be offered in exceptional cases. Considerations for offering the bonus take account of the prospects and costs of replacing a person at a particular time or attracting an exceptional candidate.

PEER ASSESSMENT PROCESSES


As foreshadowed in Knowledge and Innovation, the ARCs peer assessment framework comprises two key elements: six Expert Advisory Committees (EACs) and a readership base comprising Australian and international experts. Vacant positions on the EACs are filled each year through a competitive selection process. The process undertaken during 2001 (for appointments in 2002) is described below. Readers were appointed for the first time in 2001 and the process of their appointment is also described below.
EXPERT ADVISORY COMMITTEES

The six EACs are responsible for peer review of research proposals (including assessing and ranking investigator-initiated proposals and endorsing the assignment of readers to applications). They also play a role in providing strategic advice to the Board on emerging disciplinary and cross-disciplinary research developments, innovative approaches to research, and research priorities for funding. Members of the EACs are drawn from a range of sectors to provide a broad range of perspectives appropriate to the needs of the national innovation system. In 2001, each EAC consisted of ten members; however, to meet an increased workload (as demonstrated by the 2001 grant assessment process), the Minister agreed that this should be increased to 12 in 2002. At the end of 2001, there were 36 vacancies in the six Expert Advisory Committees. At the end of October 2001, the ARC invited nominations from over 120 organisations, including industry and peak business bodies, public-sector research organisations and universities. The ARC also advertised for nominations in the national press and disseminated information regarding the nomination process on its website. A total of 273 valid nominations were subsequently received. Nominees were required to meet at least four of six selection criteria, which covered: (i) excellence in research, as well as a sound understanding of the importance of the utility of research (ii) broad discipline expertise (iii) professional and academic standing (iv) organisational skills (v) relevant experience in industry or public-sector organisations (vi) experience in dealing with coordination of research activity. The nominees were assessed initially by the chairs of the EACs. Subsequently, a selection committee, comprising four Board members and one external member, met to consider the assessments and develop recommendations to the ARC Board.

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R E M U N E R AT I O N O F S E N I O R E X E C U T I V E S

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READERSHIP BASE

In 2001, the ARC implemented a new system of readers comprising Australian and international experts to provide expert advice and assessments to the Expert Advisory Committees. The pool of readers comprises experts in all disciplines and sub-disciplines of research. In 2001, there were 593 members of the Australian reader base for DiscoveryProjects and 351 members for LinkageProjects. They provided 6,070 assessments and 900 assessments respectively. Many of these readers were involved in the assessment of applications for both programs.

External Scrutiny
T H E C O M M O N W E A LT H O M B U D S M A N
During 200102, the Ombudsman received no complaints about the operations of the ARC.

A U S T R A L I A N I N D U S T R I A L R E L AT I O N S C O M M I S S I O N
In 200102, one unfair dismissal action was brought against the ARC in the Commission. The applicant subsequently filed a notice of discontinuance.

R E P O RT S B Y T H E A U S T R A L I A N N AT I O N A L A U D I T O F F I C E
No reports relating specifically to the ARC were tabled during the year.

ARC APPEALS PROCESS


Under the National Competitive Grants Program, applicants can appeal against the outcome of the selection process within 28 days of being notified of the decision. The appeals, which must be against process issues and not committee decisions or assessor ratings and comments, are heard by an Appeals Committee. In the 2001 application year (for funding in 2002), there was one round of appeals. Forty appeals were received, three of which were subsequently withdrawn prior to the Appeals Committee meeting. Of the remaining 37 appeals, 31 related to DiscoveryProjects and 6 to LinkageProjects. The Appeals Committee met on 7 December 2001 to consider the appeals. In 2001, the committee comprised the Hon. Haddon Storey, QC (Chair); Adjunct Professor Peter Harvey; and Professor Thomas Healy. Of the 37 appeals, three were upheld by the Appeals Committee and returned to the appropriate Expert Advisory Committee for consideration. Of these three appeals, one was recommended for funding, one for reserve funding and one was excluded on the grounds of being uncompetitive. In the previous application year (2000 for funding in 2001), a culling phase was still in place and appeals were considered in two roundsafter the initial exclusion of applications deemed highly uncompetitive or ineligible, and following the Ministers announcement of successful and successful applications. In that year: 84 appeals were received in the first round, of which six were upheld and put back in the competitive process 18 appeals were received in the second round, of which two were upheld and one withdrawn. Under the National Competitive Grants Program, initial culling of applications has been abolished.

PA R L I A M E N TA RY C O M M I T T E E S
The ARC made no submissions to parliamentary inquiries or committees in 200102. Representatives of the ARC appeared before Senate Committees three timesin August 2001, and February and June 2002. As noted in the ARC Annual Report 200001, in June 2001, the ARC made a submission to the Senate Employment, Workplace Relations, Small Business and Education References Committee inquiry into the Capacity of Public Universities to Meet Higher Education Needs. On 13 August 2001, the Chief Executive Officer and the Director, Policy and Planning Section, appeared before the

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committee to provide further detail about the ARCs submission. The final report of the inquiry, Universities in Crisis, was released in September 2001. On 18 February 2002, the Chief Executive Officer and the Executive Director, Policy and Planning Coordination Branch, appeared before the 200102 Additional Estimates Hearing. Responses to seven questions on notice arising from that hearing were subsequently provided to the Committee. On 5 June 2002, the CEO appeared before the 200203 Budget Estimates Hearing. On that occasion the ARC responded to 12 questions on notice.

F R E E D O M O F I N F O R M AT I O N
In 200102, the ARC received no requests for access to ARC documents under the Freedom of Information Act 1982 (FOI Act). Further information, as required by the FOI Act is provided in Appendix 8.

People
O V E RV I E W
Under its memorandum of understanding with the ARC, the Department of Education, Science and Training (DEST) provides the ARC with a number of people services such as: personnel, payroll and recruitment services workplace relations and workplace care (occupational health and safety and workplace diversity) development and implementation of people management policies and initiatives.

S TA F F S TAT I S T I C S
At 30 June 2002, the ARC had 56 staff, compared with 43 staff at 30 June 2001 when ARC became an independent agency. Further statistics on staff by gender, classification and employment category (ongoing/non-ongoing) are provided in Appendix 9.

W O R K F O R C E P L A N N I N G , S TA F F T U R N O V E R A N D R E T E N T I O N
During 200102, the additional responsibilities for the ARC resulting from its establishment as an independent agency, as well as the implementation of the new National Competitive Grants Program, required senior management to examine the requirements of the agency throughout its operational areas to ensure the balance of staffing levels was correct. A total of 17 people separated from the ARC between 1 July 2001 and 30 June 2002. Of these, eight were non-ongoing employees who ceased engagement during the year and nine were ongoing staff who either transferred to another agency, resigned or left for other reasons.

TRAINING AND DEVELOPMENT


During its first year as an independent organisation, the ARCs key training and development strategy has been to increase the IT skills of staff, and many have participated in training programs with this focus. The purchase of a new Financial Management Information System has also resulted in additional responsibilities and considerable training for the staff in the Finance Section.

W O R K P L A C E R E L AT I O N S
OVERVIEW

At 30 June 2002, the ARC had 43 employees covered by a Certified Agreement (CA) and 13 by Australian Workplace Agreements (AWAs). Further detail of the division between SES and non-SES staff is provided in Appendix 9.
CERTIFIED AGREEMENT

During 200102, staff of the ARC remained covered by the DETYA Certified Agreement 2000 Securing our Future, which has a nominal expiry date of 30 September 2002. The ARC is negotiating its own Certified Agreement to replace the DEST Certified Agreement.

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AUSTRALIAN WORKPLACE AGREEMENTS

The key features of Australian Workplace Agreements offered in the ARC were provisions that target improved performance and the retention of employees with key skills. At the Senior Executive level, Workplace Agreements provided for employment and remuneration arrangements, including access to at risk pay, based on personal capabilities and performance. For other Executive-level employees, Workplace Agreements provided for access to targeted retention arrangements based on individual capabilities and performance.
SALARY RANGES

The salary ranges of non-SES staff are provided in Appendix 9.


PERFORMANCE PAY

During the year, some staff on AWAs received performance pay. The performance pay, which was paid in October 2001, was based on the 200001 annual assessment cycle. The aggregate bonus paid was $44,323 (excluding labour market bonuses). Further disaggregation of this payment for example, by classification or gendermay allow the identification of individuals.
NON-SALARY BENEFITS

Non-salary benefits available to ARC employees include the following: participation in the Commonwealth or Public Sector Superannuation Scheme access to salary packaging arrangements performance pay (staff on AWAs only) flexible working conditions.
STRATEGIC CONSULTATIVE COMMITTEE

The Strategic Consultative Committee (SCC) is a formal mechanism to enable consultation and communication between employees and management on matters of policy and procedure relating to the agency. The SCC comprises two representatives from ARC management, three elected representatives of staff and one representative of the Community and Public Sector Union (CPSU). Staff elections for these positions were held in April 2002. The first meeting of the SCC was held in June 2002.
WORKPLACE DIVERSITY

The ARCs website is currently being redesigned according to agreed standards of accessibility. The ARC is also developing its first Workplace Diversity Plan, which will reflect the needs of disabled staff and applicants. Under the DEST Certified Agreement, employees are able to balance work and personal responsibilities through access to a range of conditions such as opportunity to purchase additional leave, etc.
OCCUPATIONAL HEALTH AND SAFETY

The ARCs report on occupational health and safety matters (as required under section 74 of the Occupational Health and Safety (Commonwealth Employment) Act 1991) is provided in Appendix 10.
COMMONWEALTH DISABILITY STRATEGY

The Commonwealth Disability Strategy was introduced in 1994 as a planning framework to assist Commonwealth organisations to meet their obligations under the Disability Discrimination Act 1992that is, to improve access for people with disabilities to their programs, services and facilities. As a relatively new agency, the ARC is still in the process of developing processes that will enable it to report against the requirements of the Commonwealth Disability Strategy. The ARC is committed to improving both the access to and participation in the full range of our activities by people with disabilities. At 30 June 2002, the ARC employed three staff with minor disabilities and has been able to provide them with suitable equipment to enable them to perform their duties. The ARC is located in a modern building that has been designed to be readily accessible for people with limited mobility.

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O V E RV I E W
Under its MoU with the ARC, DEST is responsible for the provision of all desktop support services to the ARC (computer and network printers) as well as the management of ARC telephone services. The ARC is responsible for the management, ongoing maintenance and development of the Grants Application Management System (GAMS), the Grants Management System (GMS) and the Grants Management Information System (GMIS). Investment in information technology and systems support is a key component of the ARCs operational efficiency. During the year a number of important projects were completed and a number of new activities commissioned.

G R A N T S A P P L I C AT I O N M A N A G E M E N T S Y S T E M
The Grants Application Management System (GAMS) is a web-based system that enables researchers to submit their grant applications electronically via the research offices of universities. It is also used for the capture and submission of assessments from Australian and international reviewers as well as the subsequent applicant rejoinder to the assessment reports. For the 2002 submission year, functionality in GAMS was further developed to enable all applicants and their collaborating partners access to their application form while the application was being drafted. In addition, new electronic forms were developed to cater for the requirements of the new National Competitive Grants Program.

GRANTS MANAGEMENT SYSTEM


The Grants Management System (GMS) is primarily used to support the relational database activity of application workflow from the application to the final funding decision. The GMS is considered the engine room for the complete process of grants management and it also provides the interface with external service providers that support the application process, such as the mail house responsible for dispatching paper versions.

G R A N T S M A N A G E M E N T I N F O R M AT I O N S Y S T E M
The Grants Management Information System (GMIS) is used for post-award management of grants, including financial reporting, etc.

P E R F O R M A N C E R E P O RT I N G
During 2002, the ARC also commenced work on the development of an additional system that will provide the ARC with a greater capability to capture outcome report information electronically. The IT Systems Committee has flagged further development of systems that support the on-line capture of progress and outcome-related information as an area of high priority.

FUTURE DEVELOPMENTS
In 200102, the IT Steering Committee initiated two major reviews of the ARCs information technology platform with a view to improving overarching system efficiency and effectiveness. Ernst & Young reviewed the infrastructure and services that support all of the ARCs information technology requirements, while Acumen Alliance reviewed the application and grant management system. The reviews have been completed and the recommendations of each of the reports are currently being considered. The ARC is actively assessing appropriate IT development options that will feed into its IT Strategic Plan for 2002 to 2004.

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Information Technology and Systems Support

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INDEPENDENCE DAY

TIMELINE 1 JULY 2001

The Australian Research Council was established as an independent agency under the Australian Research Council Act 2001. Chair: Mr Peter Wills, AC Program Budget: $272 million (2002) 29 January 2001 The innovation statement Backing Australias Ability was released, announcing an additional $736m for the ARCs programs over 5 years. December 1999 Knowledge and Innovation, the Governments policy statement on research and research training was released.

2001

1999

1991

198990 The Commonwealth reallocated funds from pre-UNS universities general operating grants through the ARC (Clawback of $65 m)
1989 1988

The ARC was established as a component body of the National Board of Employment, Education and Training. Chair: Professor D Aitken Program Budget: $79 million (1988) July 1988 The Dawkins White Paper, Higher Education: A Policy Statement, was released. May/June 1965 The Australian Research Grants Committee was established to fund high quality research across universities. Chair: Professor R Robertson Program Budget: $4 million (1966)

1988

1965

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STO RY

DESCRIPTION
Provision of policy advice about research matters is one of the key roles for the ARC identified in the Australian Research Council Act 2001 (ARC Act). It is an overarching responsibility encompassing the seven key objectives of ARC. The ARC contributes to policy development through a number of activities: provision of policy advice about research matters to the Minister for Education, Science and Training (as specified under the ARC Act) contributions to the work of various cross-portfolio advisory bodies, principally the Prime Ministers Science, Engineering and Innovation Council (PMSEIC) and the Coordination Committee on Science and Technology (CCST) preparation of reports on the research performance of Australia compared with other research-active countries and assessments of the national return on investment in research preparation of submissions to inquiries and reviews relating to research and research training matters participation in working groups established to consider areas of interest and concern for example, intellectual property.

PROVISION OF ADVICE TO GOVERNMENT


Development of ARC Priorities
In announcing the additional funding for the ARC in Backing Australias Ability, the Government stated its intention that emphasis will be on areas in which Australia enjoys, or wants to build, a competitive advantage. In January 2002, the Government gave effect to this intention by announcing four priorities for ARC-funded research in the 2003 new funding round: nano-materials and bio-materials genome/phenome research complex/intelligent systems photon science and technology. To assist it to provide advice to the Government in the lead-up to this decision, the Board of the ARC requested advice from its Expert Advisory Committees (EACs) about strengths and opportunities for Australian research. ARC Expert Advisory Committee members took as their starting point the need to identify areas in which (a) Australia exhibits research strength, (b) there is the opportunity to undertake research that is at the cutting-edge of global knowledge and understanding, and (c) there is the opportunity to achieve the status of a world leader in research over a period of five to ten years.

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POLICY ADVICE

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Discussions amongst the ARC Expert Advisory Committee members emphasised that areas of research priority would be addressed most effectively through a strategy involving: bringing together teams of researchers in a multidisciplinary setting developing networks of research activity that can facilitate collaboration between different groups of researchers and institutions enhancing the scale and focus of the research in order to achieve global competitiveness. At its meeting on 29 August 2001, the Board of the ARC endorsed the areas of research strength and opportunity identified by the Expert Advisory Committees, noting that the involvement of the 60 members of the ARC Expert Advisory Committees, each a leading researcher or user in his or her field, had underpinned a robust and structured process.

PREPARATION OF REPORTS ON RESEARCH MATTERS


National Survey of Research Commercialisation
In November 2001, the ARC and the National Health and Medical Research Council (NHMRC) undertook, for the first time in Australia, a comprehensive national survey of commercial activity occurring as the result of research conducted in universities and medical research institutes. They also commissioned work to establish international benchmarks of research commercialisation based on data from the licensing survey conducted in North America by the Association of University Technology Managers (AUTM), against which data for Australia could be compared. At the same time, and in parallel, CSIRO undertook a survey of commercial activities occurring as the result of its research programs. The National Survey of Research Commercialisation collected information about invention disclosures, patents, licensing activity and start-up company formation. A total of 34 universities, 15 medical research institutes and all 21 research divisions in CSIRO responded to the survey response rates of 87 per cent, 60 per cent and 100 per cent respectively. The survey collected information about research commercialisation activities that occurred in what is referred to as Year 2000either the calendar year 2000 or the financial year 200001. The key objectives for the ARC in conducting the survey were to: assess the contribution made by public-sector research to Australias economic performance, as an input to the development of national research policy assist universities and research institutes in Australia to assess the outcomes from commercialisation of their research, as a basis for monitoring and improving performance. The results of the survey are expected to be announced in September 2002.

Commercialisation of ARC-Funded Research


In its strategic plan 200002, the ARC had identified as one of its investment strategies the need to examine options to secure additional private funds for investment in research. In March 2001, the ARC commissioned a study to help address this need. The study was aimed at identifying the information held by the ARC that may be of interest to private capital investors as a basis for their decision making in relation to investment in research commercialisation, the level of interest by the investors in accessing that information, barriers or impediments to the release of the information and the potential risks to all parties in providing the information. The results of the study were presented to the Board at the beginning of 2002. Following discussions, it was agreed that the ARC should further investigate options for the development of electronic databases that will allow it to more effectively communicate information about leading-edge research capability in Australia to potential technology investors.

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National Research Priorities


The Minister for Education, Science and Training, Dr Brendan Nelson, and the Minister for Science, Mr Peter McGauran, announced on 2 May 2002 the Commonwealth Governments intention to set national research priorities for government-funded research. On 2 July, the ARC made a submission to the National Research Priorities Taskforce, which is assisting the Government to develop a framework for identifying and implementing national research priorities. The ARCs submission sets out its views on the best approach to developing priorities and responds to the issues paper entitled Developing National Research Priorities, which was prepared by the Department of Education, Science and Training (DEST). The ARCs submission: emphasised the need to balance strategic investment in particular areas with ongoing investment in a broad foundation of high-quality Australian research identified key structural capabilities nominated thematic areas characterised by a high degree of excellence and actual or potential benefit. A copy of the ARC submission is available on the ARC website at www.arc.gov.au. The process is due to be finalised by the end of the year.

Higher Education Review


At the end of 2001, the Minister for Education, Science and Training, Dr Brendan Nelson, announced that he would conduct a review of higher education during 2002. An overview paper, Higher Education at the Crossroads, was subsequently released on 26 April 2002 together with details of the consultation process that would be established to guide the review. The key elements of the consultative process include a call for comments and submissions on issues raised in the overview paper as well as the conduct of a series of forums involving interested organisations and individuals. The ARC provided a submission to the review in July 2002. The submission advocated that Australia increase the share of higher education research funding that is allocated through contestable processes, consistent with the trend in the majority of OECD countries. In particular the ARC advocated that: To remain internationally competitive, Australia must build scale and focus in its research effort and resource this effort at the highest level. The dual system for funding university researchinvolving a block-funding stream on the one hand for teaching, research, research training and general operating purposes; and targeted research grants, provided specifically for research, on the other handis an unnecessarily complex system that requires reform, so that the system as a whole is more transparent, accountable, effective and efficient. A viable alternative to the dual system involves the allocation of the block funds for university research via a largely fully funded, single, contestable model, through the competitive programs of the ARC and the NHMRC. The balance between block and contestable funding for higher education research would change from the current 60:40 ratio in favour of block funding, to approximately 30:70 in favour of contestable funding. This would take the ARC-funded proportion of the full costs of research supported by the ARC from 34 per cent to 78 per cent. In addition to the public policy benefits of enhanced transparency and accountability for the funding of university research, the adoption by the ARC of a full funding approach to the research it sponsors would result in enhanced coordination of people, projects and infrastructure, which would build critical mass and focus the national research effort, particularly in areas of national priority.

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PREPARATION OF SUBMISSIONS TO INQUIRIES AND REVIEWS

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To accompany reforms to the dual funding system for university research, it would be necessary for the ARC to continue to reform its own granting processes to enable the best and most creative researchers with excellent track records to undertake larger, longer-term programs of research. The truly innovative discoveries of high impact often arise in an environment that frees high-quality researchers from the need to deliver short-term results and from the constraints of uncertain funding.

PARTICIPATION IN WORKING GROUPS


National Principles of Intellectual Property Management for Publicly Funded Research
On 17 September 2001, the then Ministers for Education, Training and Youth Affairs, and Health released the National Principles of Intellectual Property Management for Publicly Funded Research. The national principles were developed by a working group comprising the ARC; the Australian Vice-Chancellors Committee; the then Commonwealth departments of Education, Training and Youth Affairs, and Industry, Science and Resources; IP Australia; Knowledge Commercialisation Australasia (at the time known as the Australian Tertiary Institutions Commercial Companies Association); and the NHMRC. The purpose of the national principles is to provide ready access for researchers, research managers and their institutions to information about best practices for identifying, protecting and managing intellectual property, in order to maximise the national benefits and returns from the public investment in research.

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KEY PERFORMANCE GOALS

PERFORMANCE MEASURES

PERFORMANCE 2001 02

DISCOVERY
KPI.1 Discovery produces nationally and internationally competitive outputs and outcomes across a broad range of disciplines, as revealed by international peer and end-user evaluations, supported by quantitative measures of a range of inputs and outputs. ANNUAL (i) Academic outputs (including publications and patents) (ii) Research training outputs (number of personnel) 200203 External study: International comparisons of bibliometric and patent data Qualitative assessments of the impact of ARC-funded research as revealed by international peer review OUTCOMES FROM PREVIOUS YEARS External study An evaluation of the views of international assessors (taken over the period 199197) found that 61 per cent of research funded under the ARC Large Grants Scheme produced research results that significantly advanced understanding of a subject, and that 85 per cent of Large Grants produced high quality outcomes likely to influence the field in the future. OUTPUTS 1998 474 Large Research Grants initially funded in 1998: produced a total of 6,680 academic outputs including 3,131 articles in refereed journals, 135 authored books and 11 patents funded 641 personnel full-time including 216 postgraduate students, 192 research assistants and 233 research fellows/ associates involved 1,861 other personnel including 618 honours students, 613 postgraduate students, 408 research assistants, and 222 research fellows/associates. PROGRESS Planning has commenced for a bibliometric study to be conducted in 200203. KPI.2 Discovery contributes to the development of research strengths in areas of competitive advantage. ANNUAL Distribution of ARC funding by subdiscipline 200203 External study: International comparisons of bibliometric and patent data Expert judgment of Australian research strengths within an international context ANNUAL (i) Number of Federation Fellowship recipients from overseas (citizenship/country of residence) (ii) Number of other fellowship recipients from overseas (citizenship/country of residence) OUTCOMES FROM PREVIOUS YEARS Citation rates of publications in the biological sciences: ARC Large Research Grants funded during the period 19911993 performed above the international average for botany, zoology, ecology and other biological sciences; close to the international average in general biology and medical and health sciences, and modestly in genetics and cell biology. OUTCOME (i) 25 Federation Fellowships awarded for initial funding in 2002 included eight returning Australians and one foreign national. (ii) The 165 fellowships awarded under DiscoveryProjects for initial funding in 2002 included 15 to Australian citizens returning from overseas. PROGRESS Planning has commenced for a stakeholder satisfaction survey to be conducted in 2003. This performance measure will be addressed in 2003.
1

KPI.3

Discovery attracts to and retains within Australia researchers of international standing, as revealed by surveys and analyses of the countries of origin of ARC-funded researchers.

KPI.4

Surveys indicate that the expectations of stakeholders for increased flexibility and responsiveness of ARC funding schemes under Discovery are satisfied. ARC assessment and selection processes deliver funding support to research that, characteristically, involves novel and innovative approaches, as revealed by analyses of assessor reports and international peer evaluation.

2003 Level of satisfaction of stakeholders (through survey of researchers, research offices)

KPI.5

2003 External study: Analysis of assessor reports and international peer evaluation

Sample of final reports assessed; a total of 655 Large Research Grants were initially funded in 1998.

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SUMMARY OF KEY PERFORMANCE INDICATORS

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LINKAGE
KPI.6 Linkage supports the development of collaborative research that produces nationally and internationally competitive outputs and outcomes across a broad range of disciplines, as revealed by international peer and end-user evaluations, supported by quantitative measures of a range of inputs and outputs.
2

ANNUAL (i) Academic outputs (including publications and patents) (ii) Research training outputs (number of personnel) 200203 External study: International comparisons of bibliometric and patent data Qualitative assessments of the impact of ARC-funded research as revealed by international peer review

OUTPUTS 1998 140 SPIRT grants initially funded in 1998: produced a total of 1,149 published academic outputs including 248 articles in refereed journals and four authored books employed 352 personnel including 83 industry partner employees, 69 postgraduate students (other than APAIs), 16 research fellows (other than APDIs), 117 research assistants, 46 research associates and 21 senior research associates. PROGRESS Planning has commenced for a bibliometric study to be conducted in 200203. OUTCOMES FROM PREVIOUS YEARS External studyFocus group discussions conducted by FASTS in 1999 identified the contribution of the SPIRT Scheme in: enabling researchers to make effective links with industry, and offering valuable support for young researchers gaining experience in industry while undergoing their postgraduate training. External study An evaluation of ARC industry linked research schemes conducted in 1999 concluded that the SPIRT Scheme had been instrumental in bringing small to medium enterprises (SMEs) into research and research training partnerships with university researchers. It found that more than 50 per cent of the postgraduate awards made under this scheme involved a SME as an industry partner. PROGRESS Planning has commenced for a stakeholder satisfaction survey to be conducted in 2003.

KPI.7

Surveys indicate that the expectations of stakeholders for increased flexibility and responsiveness of ARC funding schemes under Linkage are satisfied.

2003 Level of satisfaction of stakeholders (through survey of researchers, research offices, industry partners)

KPI.8

There is an increase in the incidence of collaboration between ARC-funded researchers and those within other sectors in the national innovation system, as revealed by analyses of data on the institutional affiliations of partner investigators, co-authorship of papers and co-patenting.

ANNUAL Institutional affiliations of partner investigators 2003 External study: Analysis of bibliometric and patent data (including incidences of co-authorship of papers and co-patenting)

OUTCOME (i) 790 DiscoveryProjects initially funded in 2002 involved 234 partner investigators, including 18 from the CSIRO and over 170 from overseas universities and research organisations (ii) 470 LinkageProjects initially funded in 2002 involved 470 partner investigators from a range of organisations including from industry (over 170), government departments both federal and State (over 120) and overseas institutions. PROGRESS Planning has commenced for a bibliometric study to be conducted in 200203.

KPI.9

There is an increase in the formation of discipline-based research networks, as revealed by analyses of data on the institutional affiliations of partner investigators, co-authorship of papers, co-patenting and the outcomes from Special Research Initiatives.

ANNUAL (i) Institutional affiliations of partner investigators (by discipline) (ii) Outcomes from projects funded under the Special Research Initiatives (SRI) program 2003 External study: Analysis of bibliometric and patent data (including incidences of co-authorship of papers and co-patenting) by discipline ANNUAL Number of licences, options, assignments, patents and spin-off companies (through survey of researchers, research offices and commercialisation offices)

PROGRESS (i) This performance measure will be addressed in 2003. (ii) In 200102, the ARC provided a contribution to Australias membership of the Global Biodiversity Information Facility (GBIF) under the SRI program.

KPI.10 ARC-funded research provides a strong basis for research commercialisation within Australian universities, as revealed by surveys of university research commercialisation.

PROGRESS In 200102, the ARC, NHMRC, and CSIRO surveyed the research commercialisation activities of universities, medical research institutes and divisions of the CSIRO (including patents, licences and start-up companies). The results of this survey are expected to be released in September 2002.

Sample of final reports assessed; a total of 340 SPIRT grants were initially funded in 1998.

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LINKAGE continued
KPI.11 There is an increase in the scale of research activities supported by the ARC, reflected in a higher incidence of linkages nationally and internationally, and as revealed by analyses of the sources and amount of funding leveraged by ARC schemes, nationally and internationally. ANNUAL LinkageProjects: (i) Financial contribution of partner organisations (ii) Number and nature of partner organisations Centres: (i) Number, nature and financial contribution of partner organisations DiscoveryProjects and LinkageProjects: (i) Incidences of international collaboration OUTCOME LinkageProjects: (i) The ARC funding contracts for LinkageProjects grants commencing in 2002 total $82.6m. The matching contribution, in cash and in kind from industry partners is $119.8m. (On average each $1 from the ARC resulted in $1.45 pledged by industry.) (ii) Across the new LinkageProjects grants and awards commencing in 2002 there are over 730 industry partners. Centres: (i) The Australian Centre for Plant Functional Genomics involves funding from the ARC and GRDC ($20m over five years) as well as the State Government of South Australia ($12m) and 3 contributing universities ($3.6m). Funding for National ICT Australia (the ICT Centre of Excellence) will comprise $129.5m over 5 years from the Commonwealth (ARC and Department of Communications, IT and the Arts) and some $96m from other partners (including State Governments, universities and the private sector). The Biotechnology Centre of Excellence has been assigned Commonwealth funding of $46.5m over 5 years (from the ARC and Biotechnology Australia). The headquarters of the Centre will be in Victoria with nodes in SA, NSW, Queensland and the ACT. DiscoveryProjects and LinkageProjects: (i) Across the 790 new DiscoveryProjects grants and fellowships commencing in 2002 there were 866 incidences of international collaboration. Under LinkageProjects there were 130 incidences of international collaboration across 258 projects and 212 APAI-only awards. KPI.12 Venture capital firms are able to assess opportunities to invest in the commercialisation of ARC-funded research and, subject to investigation, links with a range of venture capital organisations are established. ANNUAL Establishment of links with venture capital organisations BY 2002 (i) Establish a mechanism to enable venture capital firms to assess opportunities to invest in the commercialisation of ARCfunded research (ii) Establish links with the Australian Venture Capital Association Limited (AVCAL) PROGRESS In 2001, the ARC commissioned a study to investigate the feasibility of facilitating the commercialisation of ARC-funded research by establishing access to information of interest to potential investors. A project to establish such a database has commenced and will be completed in 200203.

RESEARCH TRAINING AND CAREERS


KPI.13 The quality of research training supported under ARC funding schemes is competitive internationally as revealed by international peer and end-user evaluation. KPI.14 ARC research training and career development schemes develop researchers of international standing across a broad range of disciplines, as revealed by international peer evaluation, bibliometrics and patent data. 2003 External study: Assessment of the quality of ARC-funded research training against international best practice ANNUAL (i) Academic outputs (including publications and patents) 200203 External study: International comparisons of bibliometric and patent data Qualitative assessments of the impact of ARC-funded research as revealed by international peer review 2003 Level of satisfaction of stakeholders (through survey of researchers, research offices) This performance measure will be addressed in 2003.

OUTPUTS 1996 : 73 Research Fellowships initially funded in 1996 produced a total of 1,604 academic outputs including 800 articles in refereed journals, 78 authored books and two patents. PROGRESS Planning has commenced for a bibliometric study to be conducted in 200203.

KPI.15 Surveys indicate that ARC research training and career development schemes satisfy the expectations and needs of stakeholders.

PROGRESS Planning has commenced for a stakeholder satisfaction survey to be conducted in 2003.

Sample of final reports assessed; a total of 100 Research Fellowships were initially funded in 1996.

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RESEARCH TRAINING AND CAREERS continued


KPI.16 There is an increasing incidence of collaborative links under ARC-funded research-training schemes. ANNUAL (i) Number of new APAIs and APDIs awarded (ii) Number of ongoing APAIs and APDIs OUTCOME In 2002, the ARC is supporting a total of 1,316 Australian Postgraduate Awards Industry (APAIs) and 103 Australian Postdoctoral Fellowships Industry (APDIs). The total comprises: (i) 397 new APAIs, and 32 new APDIs (ii) 919 ongoing APAIs, and 71 ongoing APDIs. OUTCOME In 2002, the ARC is supporting 54 new International Awards under LinkageInternational (from two rounds of applications). 126 Australian early career researchers are participating in these awards as collaborators (including 86 postgraduate students and 40 postdoctoral researchers). The awards involve 76 incidences of international collaboration across 20 countries.

KPI.17 There is an increasing incidence of postgraduate and postdoctoral researchers participating in international exchanges through ARC funding schemes.

ANNUAL Number of early career researchers participating as research collaborators on LinkageInternational Awards

RESEARCH INFRASTRUCTURE
KPI.18 ARC support for infrastructure development, including e-research developments, in partnership with other government agencies, delivers wide access to world-class facilities and equipment for Australian researchers, as revealed by outcomes from programs and collaborative initiatives. ANNUAL (i) Number of international research facilities funded partly by the ARC (ii) Access to international research facilities (number of researchers or time allocated) BY 2004 External study Monitor and report on the level of access to research infrastructure, the quality of equipment and facilities and the extent of collaborative links OUTCOME (i) In 2002, the ARC is providing funding of $3.6m to support Australian participation in four major international research facilities: the International Ocean Drilling Program ($1.5m); the International Gemini Partnership ($1.6m); ISIS (the intense neutron spallation source) ($250,000); and the Experimental High Energy Physics Program ($225,000). (ii) Access in 2001: Gemini (15 Australian research teams) Ocean Drilling Program (seven Australian researchers) ISIS (15 Australian researchers) Experimental High Energy Physics Program (15 visits by staff and students) OUTCOME The 70 LinkageInfrastructure projects funded in 2002: (i) attracted $21.3m in contributions from partner organisations (to the ARCs $27.2m) (ii) involve 270 partner organisations (including the administering institutions): a majority (69%) of the projects involve three or more collaborating partners 27 involve partner organisations (53) from outside Australian universities (including CSIRO, government agencies, industry and overseas institutions). (iii) include 35 projects which involve 101 incidences of international collaboration with 25 countries. OUTCOMES FROM PREVIOUS YEARS Australia was an active participant in the development of the international memorandum of understanding that established the Global Biodiversity Information Facility (GBIF) in 2001. Australia was a founding signatory to the MoU and will establish an Australian node. PROGRESS The ARC is participating in the Bandwidth Committee of the Department of Education, Science and Training which has been established to provide the Minister with advice about bandwidth issues facing the higher education sector. This performance measure will be addressed in 2003.

KPI.19 There is an increase in the scale of research activities supported by the ARC, reflected in a higher incidence of linkages nationally and internationally, and as revealed by analyses of the sources and amount of funding leveraged by ARC schemes, nationally and internationally.

ANNUAL LinkageInfrastructure: i) Financial contribution of partner organisations (ii) Number and nature of partner organisations (iii) Incidences of international collaboration

KPI.20 By 2003, Australia becomes a partner in one major new international research facility or networkfor example, the AsiaPacific nanotechnology network.

2002 Progress towards Australia becoming a partner in one major international research facility 2003 Australia becomes a partner in one major new international research facility or network ANNUAL Progress by Australia towards gaining access to e-research facilities

KPI.21 Australia gains access to e-research facilities such as the grid for networked high-performance computing.

KPI.22 Australia develops a national strategy for research infrastructure.

ANNUAL Progress towards development of a national strategy for research infrastructure (in partnership with Commonwealth and State Government bodies and research organisations) 2003 In partnership with Commonwealth and State Government bodies and research organisations facilitate the development of a national strategy for research infrastructure

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PRIORITY SETTING
KPI.23 The expectations of stakeholders that ARC programs are responsive to government priorities, disciplinary requirements, the needs of individual researchers and industryare satisfied, as indicated by: the outcomes of a formal review by the Minister and the Prime Ministers Science, Engineering and Innovation Council (PMSEIC) members; surveys of researchers in the different disciplines and their industry partners;and surveys of particular categories of researchersfor example, those early in their careers. KPI.24 The target specified in the Governments direction on priorities is achieved 33 per cent of funds in the 2003 funding round is allocated to the priority areas identified for the ARC. 2003 Level of satisfaction of stakeholders (through survey) PROGRESS Planning has commenced for a stakeholder satisfaction survey to be conducted in 2003.

ANNUAL Per cent of funds allocated in each granting round to priority areas identified for the ARC

PROGRESS In January 2002, the Minister directed the ARC to allocate 33 per cent of funds in the 2003 funding round to four priority areas nano-materials & bio-materials, genome/ phenome research, complex/intelligent systems and photon science and technology. Of 3,601 applications received for DiscoveryProjects in 2002 (for initial funding in 2003), 43 per cent identified themselves as priority area applications. Of 662 applications received under the first round of LinkageProjects in 2002 (for initial funding in 2003), 34 per cent identified themselves as priority area applications. OUTCOME In 2002, the ARC is providing support for the following priority areas: research training in ICT (70 new and 132 ongoing APAIs) rural and regional projects (207 new Linkage grants) early career researchers (161 new ECRs) Australian Centre for Plant Functional Genomics ($2.044 million) Of new grants funded in 2002, the ARC is also providing $74.3 million (over the life of the grants) to grants and awards in the four priority areas identified for funding in 2003. OUTCOME In 200102, the ARC and National Health and Medical Research Council (NHMRC) shared the costUS$54,000of a study to benchmark research commercialisation activities of universities and medical research institutes in Australia. OUTCOME 509 Large Research grants initially funded in 1997 resulted in 16 patents; 474 Large Grants 4 initially funded in 1998 resulted in 11 patents. 111 collaborative research grants and awards initially funded in 1997 resulted in eight published patents and 17 submitted patents; 140 SPIRT grants initially funded in 1998 5 produced one patent .

KPI.25 Support contributes to the development of research strengths in identified priority areas, as indicated by a range of inputs and outputs.

ANNUAL ARC support for priority areas 200(X) External study: International comparisons of bibliometric and patent data Expert judgment of Australian research strengths within an international context

KPI.26 There is an increasing level of collaborative investment by other agencies (in both the public and private sectors) in ARC-funded activities.

ANNUAL (i) Number of ARC activities jointly funded by other agencies (ii) Collaborative investment by other agencies in joint activities

KPI.27 There is an increase in the level of intellectual property generated from ARC-funded research.

ANNUAL Number of patents generated from ARC-funded research (including Discovery and Linkage programs)

COMMUNITY AWARENESS
KPI.28 There is an increasing awareness within the community of the ARC and the outcomes of ARC-funded research as well as increasing support for the ARC, as indicated by: increases in ARC funding; monitoring of media exposure; monitoring of visits to the ARC website; and feedback from Ministers. ANNUAL (i) ARC funding (ii) Number of visits to ARC website (iii) Number of references to the ARC or ARC-funded research in press articles, on radio or television (iv) Feedback from Ministers 200(X) Level of community awareness of research and role of ARC (through survey) OUTCOME (i) In 2002 the ARC has program funding of $272m. An additional $19.2m has been provided in 200102 from Backing Australias Ability. (ii) In 200102, the ARC website received 397,733 hits. (iii) In 200102, ARC-funded research received coverage in newspapers and on TV. (iv) During 200102, the Ministers participated in a number of ARC media events organised to promote ARC activities or the outcomes of ARC-funded research.

4 5

Sample of final reports assessed; a total of 640 and 655 Large Research Grants were initially funded in 1997 and 1998 respectively. Sample of final reports assessed; a total of 201 Collaborative Research Grants and 205 Australian Postgraduate Awards Industry were initially funded in 1997 and 340 SPIRT grants in 1998.

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PERFORMANCE MEASURES

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COMMUNITY AWARENESS continued


KPI.29 There is an increasing level of contact and communication with stakeholders through ARC participation in a growing number of outreach activities. ANNUAL Number of outreach activities including: (i) Board meetings (ii) Institutional visits (iii) Visits to universities (iv) Sponsorship of forums OUTCOME (i) The ARC Board held seven meetings in Canberra and one meeting in Brisbane. (ii) Representatives of ARC senior management visited eight universities in NT, NSW and Qld. (iii) Representatives of ARC senior management visited over 30 universities to provide information about the ARC and its granting processes. (iv) The ARC participated in, and provided funding support for Science Meets Parliament Day (August 2001). It also sponsored three early career researchers to attend an Advanced Studies Institute in robotics in Tokyo (July 2001) and three early career researchers to attend Science at the Shine Dome (May 2002).

GOVERNANCE
KPI.30 The responsible Minister is satisfied with the effectiveness of ARC governance as indicated by approval of the ARC strategic plan, annual program budget and annual report. ANNUAL (i) Ministers approval of: ARC Strategic Plan ARC Program Budget ARC Annual Report (ii) Number and quality of ministerial briefs OUTCOME (i) Ministers approval The Minister approved the ARC Strategic Action Plan without amendments on 10 May 2002. The plan was tabled in both Houses of Parliament on 19 June 2002. The Minister accepted the ARC Boards recommendations regarding the funding split of the program budget. The previous Minister for Education, Training and Youth Affairs tabled the ARC Annual Report 200001 on 7 November 2001. (ii) During 200102, the ARC produced over 65 briefings for the Ministers consideration. Under a rating system introduced in April 2002, all briefs subsequently forwarded by the ARC were judged to be satisfactory or better, with 22 per cent receiving the highest rating against all criteria timeliness, quality and presentation. OUTCOME (i) Representatives of the ARC appeared before Senate Estimates hearings twice in 200102 and responded to 19 questions on notice. (ii) In its Report on the Examination of Annual Reports (March 2002), the Senate Employment,Workplace Relations and Education Legislation Committee found that the ARC Annual Report 200001 met all of its statutory requirements. This performance measure will be addressed in 2001.

KPI.31 The Parliament is satisfied with the performance of the ARC against its accountability requirements, as indicated by feedback from Senate Estimates Committees.

ANNUAL Level of satisfaction of Senate Estimates Committees as indicated by: (i) number of questions on notice (ii) comments on the ARC Annual Report

KPI.32 The ARC annual report is of high quality as judged against those of other comparable agencies. KPI.33 There is satisfaction with ARC processes for administering applications and grants, as indicated by: stakeholder surveys; and trends in the number and success rate of appeals against administrative decisions.

ANNUAL Judgment about the relative merit of the ARC Annual Report ANNUAL (i) Number and success rate of appeals (ii) Number and success rate of complaints to external bodies (iii) Survey of stakeholder satisfaction

OUTCOME (i) In the 2001 application round (for projects initially funded in 2002), the ARC received 40 appeals (of which three were subsequently withdrawn). Of the 37 appeals, three were upheld by the Appeals Committee and returned to the relevant Expert Advisory Committee. Of these three appeals, one was recommended for funding, one for reserve funding and one was excluded on the grounds of being uncompetitive. (ii) In 200102, there were no complaints made to other bodies (e.g. Federal Court, Commonwealth Ombudsman, Administrative Appeals Tribunal). (iii) Planning has commenced for a stakeholder satisfaction survey to be conducted in 2003. PROGRESS (i) The ARC is currently developing a process to elicit feedback from the Board about the organisations performance. (ii) In June 2002, the ARC established a staff consultative committee to enable consultation between employees and management on matters of policy and procedures relating to the agency.

KPI.34 There is a high level of Board and staff satisfaction with the ARCs performance as measured by surveys.

ANNUAL (i) Level of satisfaction of Board members (through survey) (ii) Level of satisfaction of ARC staff (through survey)

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