Part 6 Reference

LIST OF FIGURES AND TABLES

Figures

No.	Title	Page
2.1	Structure of the Australian Research Council	11
2.2	ARC Outcome and Programmes, 2014–15	14
4.1	Discovery programme, number of new grants funded by scheme, 2012–13 to 2014–15	45
4.2	Discovery programme, total value of new grants, 2012–13 to 2014–15	45
4.3	Discovery programme, proportion of new grants by Strategic Research Priority, 2014–15	53
5.1	Linkage programme, number of new grants funded by scheme, 2012–13 to 2014–15	61
5.2	Linkage programme, total value of new grants funded by scheme, 2012–13 to 2014–15	61
5.3	Linkage Projects scheme, partner organisation contributions by type of organisation, 2014–15	66
5.4	Industrial Transformation Research Programme, partner organisation contributions by type of organisation, 2014–15	66
5.5	Linkage programme, proportion of new grants by Strategic Research Priority, 2014–15	71
7.1	ARC planning and reporting framework, 2014–15	101
A1.1	ARC strategic plan performance reporting framework, 2014–15	200

Tables

No.	Title	Page
4.1	Discovery, performance summary	42
4.2	Discovery, deliverables	43
5.1	Linkage, performance summary	58
5.2	Linkage, deliverables	59
6.1	Excellence in Research for Australia, performance summary	80
6.2	Excellence in Research for Australia, deliverables	81
9.1	Salary ranges of non-SES staff by classification	122
9.2	Training and development by classification, 2014–15	123
A1.1	Discovery, key performance indicators	201
A1.2	Linkage, key performance indicators	202
A1.3	ERA, key performance indicators	203
A1.4	Policy advice, key performance indicators	204
A1.5	Stakeholder engagement, key performance indicators	205
A1.6	Programme delivery, key performance indicators	206
A1.7	Organisation, key performance indicators	206
A1.8	Progress against 2014–15 key priorities	208
A2.1	Discovery, funding schemes	210
A2.2	Discovery, funding commencing in 2012–13 to 2014–15	211
A2.3	Discovery programme, number of research outputs, funding commencing in 2008 to 2010	212
A2.4	Discovery Projects scheme, number of research personnel outputs, funding commencing in 2010	213
A3.1	Linkage, funding schemes	214
A3.2	Linkage, funding commencing in 2012–13 to 2014–15	216
A3.3	Linkage programme, number of research outputs, funding commencing in 2008 to 2010	217
A3.4	ARC Centres of Excellence, number of research outputs, 2014	218
A3.5	Linkage Projects scheme, number of research personnel outputs, funding commencing in 2010	219
A4.1	Prizes and awards, ARC-funded researchers, 2014–15	220
A5.1	ARC Advisory Council, 2014–15	223
A5.2	ARC Audit Committee, 2014–15	223
A5.3	ARC College of Experts, 2014–15	224
A5.4	NCGP Selection Advisory Committees, 2014–15	230
A5.5	NCGP Appeals Committee, 2014–15	231
A5.6	NCGP Scrutiny Committee, 2014–15	231
A5.7	ARC Research Evaluation Committees, 2014–15	232
A5.8	ERA Scrutiny Committee, 2014–15	236
A5.9	Australian Research Integrity Committee, 2014–15	236
A6.1	Summary of performance against the ARC client service charter, 2014–15	237
A8.1	New ARC-funded research projects in the area of 'Living in a changing environment', funding commencing in 2014–15	241
A8.2	Australian Government ICT Sustainability Plan–summary of measures	243
A10.1	All staff by classification level	245
A10.2	All staff by employment category, employment status and gender	245
A10.3	All staff by classification level and gender	246
A10.4	Staff separations by classification level and employment category	246
A10.5	Employment arrangements covering staff	247
A11.1	Agency Resource Statement, 2014–15	248
A11.2	Expenses and Resources for Outcome 1	250

LIST OF CASE STUDIES

No.	Page
Chapter 3: Outcome
Discovery: Building research capacity---Inspiring women: Science 50:50	21
Discovery: Building research capacity---Attracting and retaining the world's best researchers	22
Discovery: Generating benefits for Australia---Providing insight into Indigenous place names	23
Discovery: Generating benefits for Australia---Managing pests on the Great Barrier Reef	24
Discovery: Generating benefits for Australia---Improving health outcomes for children	25
Discovery: Generating benefits for Australia---Molecular biology discovery could lead to better treatment of nerve injuries	26
Discovery: Generating benefits for Australia---Looking back to predict future climate patterns	27
Discovery: Generating benefits for Australia---Low-cost, super-efficient offshore wind turbines	28
Discovery: Generating benefits for Australia---Impact of domestic violence	29
Discovery: Generating benefits for Australia---Changing the understanding of the origins of art	30
Linkage: Generating benefits for Australia---Investigating the depths of the ocean	31
Linkage: Ongoing collaboration---University-industry success story	32
Linkage: Generating benefits for Australia---Taking advantage of disease to study immunity	33
Linkage: Generating benefits for Australia---Revolutionising Australia's sewer systems	34
Linkage: Generating benefits for Australia---iLetter: digital communication and the war experience	35
ERA: Using ERA results	36
Policy: Research Integrity and Misconduct	37
Policy: Conflict of Interest	38
Policy: Gender equity	39
Chapter 4: Discovery
Discovery: New funding commencing in 2014–15---Australian Laureate Fellowships	54-55
Chapter 5: Linkage
Linkage: New funding commencing in 2014–15---Research hubs and training centres	76-77
Chapter 5: Excellence in Research for Australia
ERA: ERA Research Evaluation Committees	86
ERA: Reducing red tape---Single Higher Education Research Data Collection	87
Chapter 7: Corporate Governance
Organisation: Implementation of the PGPA Act	94
Organisation: ARC's contribution to the deregulation agenda	95
Chapter 9: Management of human resources
Organisation: State of the Service census results	125
Organisation: ARC Workplace Diversity Programme	126
Organisation: Learnhub	127

ABBREVIATIONS AND ACRONYMS

A
AAI	Accountable Authority Instructions
ABS	Australian Bureau of Statistics
ANAO	Australian National Audit Office
APS	Australian Public Service
APSC	Australian Public Service Commission
ARC	Australian Research Council
ARC Act	Australian Research Council Act 2001
ARIC	Australian Research Integrity Committee
ATSE	Australian Academy of Technological Sciences and Engineering
AWA	Australian Workplace Agreement
B
BCP	ARC Business Continuity Plan
C
Centres	ARC Centres of Excellence scheme
CEO	Chief Executive Officer
CSIRO	Commonwealth Scientific and Industrial Research Organisation
D
DI	Discovery Indigenous scheme
DECRA	Discovery Early Career Researcher Award
DP	Discovery Projects scheme
E
ECR	early career researcher
EOI	expression of interest
ERA	Excellence in Research for Australia
F
FL	Australian Laureate Fellowships scheme
FOI Act	Freedom of Information Act 1982
FoR	Field of Research
FT	Future Fellowships scheme
FTE	full-time equivalent
G
GST	goods and services tax
H
HDR	higher degree by research
HERDC	Higher Education Research Data Collection

I
ICT	information and communications technology
IFA	Individual Flexibility Agreements
IODP	International Ocean Discovery Program
IPS	Information Publication Scheme
ITRH	Industrial Transformation Research Hub
ITRP	Industrial Transformation Research Programme
ITTC	Industrial Transformation Training Centres
J
JCU	James Cook University
JDRF	Juvenile Diabetes Research Foundation
K
KPI	key performance indicator
kWh	kilowatt hour
L
LASP	Linkage Learned Academies Special Projects scheme
LIEF	Linkage Infrastructure, Equipment and Facilities scheme
LP	Linkage Projects scheme
M
Macquarie	Macquarie University
N
NABERS	National Australian Building Environment Rating System
NCGP	National Competitive Grants Programme
NCGRT	National Centre for Groundwater Research and Training
NHMRC	National Health and Medical Research Council
NICTA	National ICT Australia
NIRAKN	National Indigenous Research and Knowledges Network
NRP	national research priority
NWC	National Water Commission
O
ORCID	Open Researcher and Contributor ID
P
PBS	Portfolio Budget Statements
PGPA Act	Public Governance, Performance and Accountability Act 2013
PGPA Rule	Public Governance, Performance and Accountability Rule 2014
PhD	Doctor of Philosophy
PS Act	Public Service Act 1999

R
R&D	research and development
RAP	Reconciliation Action Plan
REC	Research Evaluation Committee
RMIT	RMIT University
S
SAC	Selection Advisory Committee
SEARCH	South-Eastern Australia Recent Climate History
SEER	System to Evaluate the Excellence of Research
SES	Senior Executive Service
SLRC	Science of Learning Research Centre
SME	Small to Medium Enterprises
SMG	Senior Management Group
SRP	strategic research priority
SRI	Special Research Initiatives scheme
STEM	science, technology, engineering and mathematics
U
UNSW	The University of New South Wales
UoE	unit of evaluation
UQ	The University of Queensland
USyd	The University of Sydney
W
WDP	ARC Workplace Diversity Programme
WHS Act	Work Health and Safety Act 2011 (Cth)

GLOSSARY

Adminfundingistered

Funding that is managed by agencies on behalf of the government.

Chief investigator

A researcher who: satisfies the eligibility criteria for a Chief Investigator under the Discovery programme or Linkage programme funding rules; and takes responsibility for the conduct of an ARC-funded project.

Citation

A reference to a research publication in another research publication. The number of citations received by a publication is considered to provide an indication of the potential use of a researcher's work by fellow researchers.

Departmental items

Those assets, liabilities, revenues and expenses controlled by agencies or authorities and used in producing their outputs.

Discovery

Programme 1.1 of the 2014–15 Portfolio Budget Statements, which provides funding for investigator-initiated research projects and research fellowships and awards. The Discovery programme comprises the Australian Laureate Fellowships, Discovery Early Career Researcher Award, Discovery Indigenous, Discovery Projects, Future Fellowships and Super Science Fellowships schemes.

Early career researcher

A researcher who has held a PhD or equivalent qualification for a period less than or equal to five years at the time of their application.

Excellence in Research for Australia

Programme 1.3 of the 2014–15 Portfolio Budget Statements, which provides Australian Government, industry, business and the wider community assurance of the excellence of research conducted in Australia's higher education institutions through an evaluation framework that identifies universities and disciplines that are internationally competitive and highlights areas where there are opportunities for further development and investment.

Field of Research (FoR) classification

A classification based on the methodology used in the R&D that is being considered. The Australian Bureau of Statistics (ABS) develops the FoR codes in consultation with stakeholders in the research sector. Full code descriptions are available on the ABS website <www.abs.gov.au>.

Final report

A report to the ARC that researchers must submit within 12 months of completing their research project. The report includes a range of data and information including a description of research outcomes, academic and commercialisation outputs and details of collaboration.

Funding agreement

The agreement entered into by the ARC and an Administering Organisation when a proposal from that organisation is approved for funding.

Funding round

The year funding for new grants commences.

Funding rules

Documents published on the ARC website for each funding scheme which provide applicants with information about a scheme, eligibility requirements, the application, selection and approval processes, and requirements for the administration of funding.

Invention disclosure

That which occurs when a device, substance, method or process that is apparently new, useful and involves an inventive step is made known to personnel within an institution who have responsibility for managing the institution's patenting and research commercialisation activities.

Linkage

Programme 1.2 of the 2014–15 Portfolio Budget Statements, which provides funding for research projects, infrastructure, hubs and centres that foster collaboration among researchers and research teams in Australia and internationally, and with industry and other end-users of research. The Linkage programme comprises the ARC Centres of Excellence; Co-funded Research Centres; Industrial Transformation Research Hubs; Industrial Transformation Training Centres; Linkage Infrastructure, Equipment and Facilities; Linkage Learned Academies Special Projects; Linkage Projects and Special Research Initiatives schemes.

Mid-career researchers

A researcher with between 5 and 15 years research experience since the award of a PhD or equivalent qualification at the time of their application.

National Competitive Grants Programme

Comprises Discovery and Linkage programmes, under which the ARC funds a range of complementary schemes to support the highest-quality fundamental and applied research, research training and collaboration or partnerships and infrastructure across all research disciplines.

National Research Priorities

A set of priority areas identified by the Australian Government. In 2012–13 the Australian Government's four National Research Priorities were: An environmentally sustainable Australia (Environment); Promoting and maintaining good health (Health); Frontier technologies for building and transforming Australian industries (Frontier technologies); and Safeguarding Australia. In 2013 the National Research Priorities were replaced by Strategic Research Priorities.

Non-traditional research outputs

Research outputs which do not take the form of traditional research books, book chapters, journal articles, conference publications.

Open access

The idea that research outcomes, particularly those arising from publicly funded research projects, should be available as broadly as possible.

Open data

The idea that data collected and used as part of a research project, particularly a publicly funded research project, should be freely available to other researchers and the wider community.

Partner investigator

A researcher who: satisfies the eligibility criteria for a Partner Investigator under the Discovery programme or Linkage programme funding rules; and takes significant intellectual responsibility for the research.

Partner organisations

National or international organisations that satisfy the eligibility criteria for a partner organisation as defined under Linkage funding rules, and contribute to the research project in accordance with the requirements of the scheme.

Patent

An intellectual property right relating to inventions. A patent for an invention is granted to the applicant, and gives him or her the right for a limited period to stop others from making, using or selling the invention without permission.

Peer review

Evaluation of research proposals or outputs by experts in the same research discipline.

Start-up companies

Companies engaged in businesses that were dependent, for their formation, upon licensing or assignment of technology developed in ARC-funded research projects.

Strategic Research Priorities

A set of priority areas identified by the Australian Government that replaced the National Research Priorities in 2013.

Success rate

The number of awards made in a year or funding round as a percentage of the total number of applications. Withdrawn applications are excluded from calculations.

Units of evaluation

A discipline for a specific higher education institution at the two- or four-digit field of research level.

COMPLIANCE INDEX

Australian Research Council Act 2001

Ref	Report section / description	Requirement	Page(s) of hard copy report
	Description
33C	Particulars of any directions given by the Minister to the CEO about the performance of the CEO's functions	Mandatory	92
45	An assessment of the CEO's performance of his or her functions using the performance indicators set out in the corporate plan	Mandatory	200–207
46	Preparation in accordance with the provisions of the Public Governance, Performance and Accountability Act 2013 and any other matters the Minister requires to be dealt with	Mandatory	See below
	Ministerial directions issued under the ARC Act
	There were no Ministerial directions issued to the ARC under the ARC Act in 2014–15.	Mandatory	n/a

Requirements for annual reports

Ref⁽¹⁾	Part of report/ description	Requirement	Page(s) of hard copy report
8(3) & A.4	Letter of transmittal	Mandatory	iii
A.5	Table of contents	Mandatory	iv–v
A.5	Index	Mandatory	268–272
A.5	Glossary	Mandatory	261–263
A.5	Contact officer(s)	Mandatory	274
A.5	Internet home page address and Internet address for report	Mandatory	ii
9	Review by Chief Executive Officer
9(1)	Review by Chief Executive Officer	Mandatory	2–7
9(2)	Summary of significant issues and developments	Suggested	3–5
9(2)	Overview of performance and financial results	Suggested	3–5
9(2)	Outlook for following year	Suggested	6–7
9(3)	Significant issues and developments–portfolio	Portfolio departments– suggested	n/a
10	Departmental overview
10(1)	Role and functions	Mandatory	9
10(1)	Organisational structure	Mandatory	11
10(1)	Outcome and programme structure	Mandatory	14
10(2)	Where outcome and programme structures differ from PB Statements/PAES or other portfolio statements accompanying any other additional appropriation bills (other portfolio statements), details of variation and reasons for change	Mandatory	n/a
10(3)	Portfolio structure	Portfolio departments– mandatory	n/a
11	Report on performance
11(1)	Review of performance during the year in relation to programmes and contribution to outcomes	Mandatory	17–87
11(2)	Actual performance in relation to deliverables and KPIs set out in PB Statements/PAES or other portfolio statements	Mandatory	42–53 58–75 80–85
11(2)	Where performance targets differ from the PBS/PAES, details of both former and new targets, and reasons for the change	Mandatory	42, 58, 80
11(2)	Narrative discussion and analysis of performance	Mandatory	17–87
11(2)	Trend information	Mandatory	43–53, 59–75, 81–85, 211–212, 216–217
11(3)	Significant changes in nature of principal functions/services	Suggested	n/a
11(3)	Performance of purchaser/provider arrangements	If applicable, suggested	n/a
11(3)	Factors, events or trends influencing departmental performance	Suggested	3–6
11(3)	Contribution of risk management in achieving objectives	Suggested	104
11(4)	Performance against service charter customer service standards, complaints data, and the department's response to complaints	If applicable, mandatory	111, 237–238
11(5)	Discussion and analysis of the department's financial performance	Mandatory	135
11(6)	Discussion of any significant changes in financial results from the prior year, from budget or anticipated to have a significant impact on future operations.	Mandatory	135
11(7)	Agency resource statement and summary resource tables by outcomes	Mandatory	248–251
12	Management and accountability
	Corporate governance
12(1)	Agency heads are required to certify their agency's actions in dealing with fraud	Mandatory	iii
12(2)	Statement of the main corporate governance practices in place	Mandatory	92–111
12(3)	Names of the senior executive and their responsibilities	Suggested	12–13
12(3)	Senior management committees and their roles	Suggested	96–100
12(3)	Corporate and operational plans and associated performance reporting and review	Suggested	101–102
12(3)	Internal audit arrangements including approach adopted to identifying areas of significant financial or operational risk and arrangements to manage those risks	Suggested	103–105
12(3)	Policy and practices on the establishment and maintenance of appropriate ethical standards	Suggested	106–108
12(3)	How nature and amount of remuneration for SES officers is determined	Suggested	122
	External scrutiny
12(4)	Significant developments in external scrutiny	Mandatory	113
12(4)	Judicial decisions and decisions of administrative tribunals and by the Australian Information Commissioner	Mandatory	114–115
12(4)	Reports by the Auditor-General, a Parliamentary Committee, the Commonwealth Ombudsman or an agency capability review	Mandatory	114–115
	Management of human resources
12(5)	Assessment of effectiveness in managing and developing human resources to achieve departmental objectives	Mandatory	119
12(6)	Workforce planning, staff retention and turnover	Suggested	121, 246
12(6)	Impact and features of enterprise or collective agreements, individual flexibility arrangements (IFAs), determinations, common law contracts and Australian Workplace Agreements (AWAs)	Suggested	121–122
12(6)	Training and development undertaken and its impact	Suggested	123
12(6)	Work health and safety performance	Suggested	124
12(6)	Productivity gains	Suggested	n/a
12(7)	Statistics on staffing	Mandatory	120, 245–247
12(8)	Statistics on employees who identify as Indigenous	Mandatory	120
12(9)	Enterprise or collective agreements, IFAs, determinations, common law contracts and AWAs	Mandatory	121–122
12(10) & B	Performance pay	Mandatory	122
	Assets management
12(11)-(12)	Assessment of effectiveness of assets management	If applicable, mandatory	130
	Purchasing
12(13)	Assessment of purchasing against core policies and principles	Mandatory	130
	Consultants
12(14)-(23)	The annual report must include a summary statement detailing the number of new consultancy services contracts let during the year; the total actual expenditure on all new consultancy contracts let during the year (inclusive of GST); the number of ongoing consultancy contracts that were active in the reporting year; and the total actual expenditure in the reporting year on the ongoing consultancy contracts (inclusive of GST). The annual report must include a statement noting that information on contracts and consultancies is available through the AusTender website.	Mandatory	131
	Australian National Audit Office access clauses
12(24)	Absence of provisions in contracts allowing access by the Auditor-General	Mandatory	131
	Exempt contracts
12(25)	Contracts exempted from publication in AusTender	Mandatory	131
	Small business
12(26)-(28)	Procurement initiatives to support small business	Mandatory	130
	Financial statements
13	Financial Statements	Mandatory	136–197
	Other mandatory information
14(1) & C.1	Work health and safety (Schedule 2, Part 4 of the Work Health and Safety Act 2011)	Mandatory	124
14(1) & C.2	Advertising and Market Research (Section 311A of the Commonwealth Electoral Act 1918) and statement on advertising campaigns	Mandatory	239
14(1) & C.3	Ecologically sustainable development and environmental performance (Section 516A of the Environment Protection and Biodiversity Conservation Act 1999)	Mandatory	240–243
14(1)	Compliance with the agency's obligations under the Carer Recognition Act 2010	If applicable, mandatory	n/a
14(2) & D.1	Grant programmes	Mandatory	210, 214–215
14(3) & D.2	Disability reporting – explicit and transparent reference to agency-level information available through other reporting mechanisms	Mandatory	116–117
14(4) & D.3	Information Publication Scheme statement	Mandatory	117
14(5)	Correction of material errors in previous annual report	If applicable, mandatory	117, 244
E	Agency Resource Statements and Resources for Outcomes	Mandatory	248–251
F	List of requirements	Mandatory	264–267

(1) Requirements for Annual Reports for Departments, Executive Agencies and Other Non-Corporate Commonwealth Entities, Department of the Prime Minister and Cabinet, 25 June 2015

ALPHABETICAL INDEX

Page numbers in italic indicate photographs.

abbreviations 258–60

Aboriginal and Torres Strait Islanders

Researchers' Network see National

Indigenous Research and Knowledges Network

Academy of Technological Sciences and

Engineering Clunies Ross Awards 221

Accountable Authority Instructions 94, 103, 130

acronyms 258–60

administering organisations, grants made to 44, 46, 60, 62

advertising agencies 239

Agency Multicultural Plan 126

agency resource statements 248–51

Antarctic Gateway 3, 57, 72, 208,217

appeals 99, 111, 206

Appeals Committee 99, 231

ARC Advisory Council 96, 223

ARC Centre Directors' Forum 109

ARC Centres of Excellence information sessions 110

ARC College of Experts 98, 224-9

ARC/NHMRC Research Administrators'

Seminar 109

assessors, ethical conduct by 106

assets, management of 130

audit

Auditor's Report 137–8

Australian National Audit Office reports 114

internal arrangements 103

see also Australian National Audit Office

Audit Committee 97, 103, 223

Australian Academy of Science Awards 220-1

Australian Code for the Care and Use of Animals for Scientific Purposes 107

Australian Code for the Responsible Conduct of Research 7, 37, 91, 100, 107

Australian Government ICT Sustainability Plan 242-3

Australian Institute of Aboriginal and Torres Strait Islander Studies Guidelines for Ethical Research

in Australian Indigenous Studies 107

Australian Laureate Fellowships 21-2, 43-5, 49, 54-5, 110, 210-1, 241

Australian Museum Eureka Prizes 27, 220

Australian National Audit Office 114, 131

Australian Research Council Act 2001 91-2, 94, 97, 102

Australian Research Integrity Committee 100

Australian Synchrotron 73-4

Australian Workplace Agreements 121, 247

awards see prizes and awards

Bionic Vision Science and Technology Initiative 74

Boosting Dementia Research 72

business continuity 105

Byrne, Professor Aidan 3, 12, 54, 96

CONTACT INFORMATION

ARC office

11 Lancaster Place
Canberra Airport ACT 2609
GPO Box 2702
Canberra ACT 2601

Annual report

General enquiries and comments about this report can be directed to:

Director, Policy and Governance
Australian Research Council

Tel: +61 2 6287 6600

Fax: +61 2 6287 6601

Email: ARC-AnnualReport@arc.gov.au

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