Appendix 1: Performance Summary

Description

This appendix provides a summary report of the ARC's performance against the ARC 2014–15 to 2016–17 Strategic Plan.

As reported on page 14, under the Australian Research Council Act 2001, the ARC must report in its annual report on the performance measures identified in the strategic plan (now corporate plan) (Figure A1.1). While the performance indicators and measures for the ARC's three programmes—Discovery, Linkage and Excellence in Research for Australia—are the same in the Portfolio Budget Statements and strategic plan, the plan includes additional indicators for the ARC's four enabling functions (Policy Advice, Stakeholder Engagement, Programme Delivery and Organisation). To facilitate a consolidated report, this appendix summarises performance against all indicators (with reference to details provided in the body of the report where appropriate).

In 2014–15 the ARC identified 45 indicators/measures in its strategic plan, 26 addressing its programme objectives and 19 addressing its enabling functions objectives. Of the 45 indicators, 40 had identified targets of which:

34 targets were met (or partially met)
four targets were not met
two measures were not assessed.

Further information is provided in Tables A1.1 to A1.7 below.

In addition progress was made against each of the key priorities identified for 2014–15 in the strategic plan (see Table A1.8).

Figure A1.1: ARC strategic plan performance reporting framework, 2014–15

ARC strategic plan performance reporting framework, 2014–15

Performance indicators

Programme 1.1: Discovery

Table A1.1: Discovery, key performance indicators

Key Performance Indicator	2014–15 Target	2014–15 Result	Body of report
Outcomes of benefit to Australia
Evidence of economic, environmental, social, health and/or cultural benefits to Australia arising from Discovery research	Document ten case studies demonstrating benefits arising from the research	Met: Ten case studies documented	Part 2
Proportion of completed Discovery research projects that report their objectives were met	> 95 per cent	Met: 98.4 per cent	Part 2
Building Australia's research capacity—knowledge generation
Share of the outputs of Discovery research projects that are rated at world standard or above	> 80 per cent	Not measured	Part 2
Building Australia's research capacity—research training and careers
Winning of prestigious prizes and awards by Discovery researchers	No target identified	Met: Evidence available of prizes won by Discovery researchers	Part 2
Proportion of Discovery researchers who are early career researchers	> 20 per cent	Met: 21.5 per cent	Part 2
Proportion of completed Discovery research projects that report the research supported higher degree by research students	No target identified; to be benchmarked	79.5 per cent	Part 2
Proportion of fellowships and awards that are awarded to international applicants (foreign nationals and returning Australians)	> 20 per cent	Met: 35.5 per cent	Part 2
Building Australia's research capacity—international collaboration
Proportion of Discovery research projects that involve international collaboration	> 65 per cent	Met: 69.5 per cent	Part 2
Building Australia's research capacity—research in areas of priority
Evidence of economic, environmental, social, health and/or cultural benefits to Australia arising from Discovery research in areas of priority	Document five case studies demonstrating benefits arising from the research	Met: Five case studies documented	Part 2
Proportion of Discovery research projects in areas of priority	> 85 per cent	Not met: 81.7 per cent	Part 2

Programme 1.2: Linkage

Table A1.2: Linkage, key performance indicators

Key Performance Indicator	2014–15 Target	2014–15 Result	Body of report
Outcomes of benefit to Australia
Evidence of economic, environmental, social, health and/or cultural benefits to Australia arising from Linkage research	Document five case studies demonstrating benefits arising from the research	Met: Five case studies documented	Part 2
Proportion of completed Linkage research projects that report their objectives were met	> 95 per cent	Met: 98.4 per cent	Part 2
Building Australia's research capacity—knowledge generation
Share of the outputs of Linkage research projects that are rated at world standard or above	> 50 per cent	Not measured	Part 2
Building Australia's research capacity—collaboration
Average number of organisations involved in Linkage research projects	Centres: > 10 ITRP: > 5 LIEF: > 3 LP: > 2	Partially met: ITRP: 5.6 LIEF: 5.0 LP: 1.9 Centres: not available	Part 2
Proportion of partner organisations that rate the research partnerships supported through Linkage research projects as beneficial or very beneficial	LP: > 90 per cent	Met: 98.9 per cent	Part 2
Financial commitment (cash and in-kind) of partner organisations to Linkage research projects (for every dollar contributed by the ARC)	ITRH: > $1.50 LP: > $1.90	Partially met: ITRH: $1.47 LP: $1.93	Part 2
Proportion of Linkage funding allocated to research projects that involve collaboration with industry	No target identified; to be benchmarked	63.4 per cent	Part 2
Proportion of Linkage research projects that involve international collaboration	Centres: 100 per cent ITRH: > 80 per cent ITTC: > 70 per cent LIEF: > 40 per cent LP: > 40 per cent	Met: Centres: n/a ITRH: 100 per cent ITTC: 80 per cent LIEF: 40.9 per cent LP: 50.6 per cent	Part 2
Building Australia's research capacity—research training and careers
Proportion of Linkage researchers who are early career researchers	> 12 per cent	Not met: 11.9 per cent	Part 2
Proportion of completed Linkage research projects that report the research supported higher degree by research students	No target identified; to be benchmarked	79.5 per cent	Part 2
Support for research training in areas of strategic importance to Australian industries	ITTC: At least 10 higher degree by research and three postdoctoral positions funded per centre	Met: 10 HDRs and 4 postdoctoral positions per centre	Part 2
Building Australia's research capacity—research in areas of priority
Evidence of economic, environmental, social, health and/or cultural benefits to Australia arising from Linkage research in areas of priority	Document three case studies demonstrating benefits arising from the research	Met: Three documented case studies	Part 2
Proportion of Linkage research projects in areas of priority	> 90 per cent	Met: 91.4 per cent	Part 2

Programme 1.3: Excellence in Research for Australia

Table A1.3: ERA, key performance indicators

Key Performance Indicator	2014–15 Target	2014–15 Result	Body of report
Establishment of a high-quality evaluation framework
Evidence of stakeholder confidence in the ERA framework as indicated by use of ERA data and results to inform policy advice across government and the strategic research agendas of higher education institutions	Feedback from stakeholders demonstrates confidence in ERA	Met	Part 2
Successful implementation of the 2015 ERA evaluation
Achievement of milestones for delivery of ERA 2015	All milestones met	Met	Part 2
Sector contribution to development of ERA 2015	Sector is provided with opportunities to contribute	Met	Part 2

Enabling function: Policy advice

Table A1.4: Policy advice, key performance indicators

Key Performance Indicator	2014–15 Target	2014–15 Result	Body of report
Policies that support a strong research sector
Evidence that policy advice supports the effective delivery of programme responsibilities	Feedback from stakeholders indicates they are satisfied with advice (assessed through formal and informal feedback mechanisms)	Met	n/a
Contribution to research policy through participation in key forums and committees and contribution to national policy discussions	Opportunities to participate are identified and taken up	Met During 2014–15 the ARC participated in a range of key forums and committees including the National Science, Technology and Research Committee, the Deputy Secretaries Working Group for Boosting the Commercial Returns of Research.	n/a
Policies that incorporate government priorities
Extent to which government priorities are considered and reflected in ARC-related research policy and programme development	Government priorities are addressed in policy and programme development	Met In 2014–15 the Australian Government's Special Research Priorities were implemented under all funding schemes of the NCGP.	Part 2

Enabling function: Stakeholder engagement

Table A1.5: Stakeholder engagement, key performance indicators

Key Performance Indicator	2014–15 Target	2014–15 Result	Body of report
Stakeholder and community awareness of the outcomes and benefits of ARC-funded research
Media coverage of ARC-funded outcomes	Evidence of coverage across a range of media	Met ARC-funded outcomes are regularly reported across all forms of media.	n/a
Media activities and events to publicise ARC support for research	Appropriate opportunities identified and acted on	Met Media activities conducted during 2014–15 included a number of grants announcement events.	n/a
ARC publications publicising ARC support for research	Publish ARChway, content of the ARC website and the ARC annual report	Met During 2014–15 the ARC published four issues of ARChway, reviewed the content of the ARC website in preparation for the launch of a new website in 2015–16 and published the ARC Annual Report 2013–14.	n/a
Number of ARC website hits	Increased number of hits compared to previous year	Not met The total number of sessions in 2014–15 was 1,052,130 compared to 1,143,666 in 2013–14.	n/a

Enabling function: Programme delivery

Table A1.6: Programme delivery, key performance indicators

Key Performance Indicator	2014–15 Target	2014–15 Result	Body of report
Efficient and effective development, implementation and delivery of programmes
Number of appeals	Number of appeals received is less than one per cent of total NCGP proposals received	Met 0.1 per cent	Part 3
Achievement of our service standards	Client Service Charter service standards are met	Met No issues were identified during 2014–15.	Part 5
Timeliness of delivery of programme milestones	Adherence to published timeframes (ERA and NCGP calendars)	Partially met Published deadlines were met, except for those for Future Fellowships which were outside the ARC control.	n/a
Consultation with stakeholders about possible changes to programmes	Stakeholders are provided with opportunities to comment on key changes	Met Consultations undertaken during 2014–15 included invitations to provide feedback on Discovery and Linkage funding rules, revisions to post-award documentation and End of Year functionality.	Part 3

Enabling function: Organisation

Table A1.7: Organisation, key performance indicators

Key Performance Indicator	2014–15 Target	2014–15 Result	Body of report
Effective corporate governance and organisational efficiency
Volume of ministerial and parliamentary documents	No target identified	A total of 82 ministerial and parliamentary documents were finalised during 2014–15.	n/a
Timeliness of preparation of ministerial and parliamentary documents	All responses are submitted by deadline	Met	n/a
Compliance with legislative and government policy requirements	Comply with content and timing requirements	Met Requirements include planning and reporting framework and PGPA Act implementation	Part 3
Risk management framework and processes applied consistently and appropriately	All key risks across all levels of the agency identified, treated (if required), and monitored	Met Audit Committee monitored ARC process for identification, treatment and monitoring of risks	Part 3
Appropriateness of response to internal audit	Address recommendations of internal and external audits, where appropriate	Met Audit Committee monitored appropriateness of ARC response to recommendations	Part 3
ICT systems
Availability of ARC ICT systems	ARC systems will be available 98 per cent of business hours	Met ARC externally accessible systems (www, RMS, SEER and email) were available for 99.97 per cent of business hours	n/a
Attraction, retention and development of staff
Staff turnover (proportion of ARC staff at 1 July 2014 who left the organisation before 1 July 2015)	Staff turnover is at an acceptable level (comparable with agencies of a similar size)	Met 2014–15 staff turnover rate was nine per cent, which is low.	Part 3
Staff satisfaction with current job	Staff satisfaction is at an appropriate level (greater than 80 per cent)	Not met Staff satisfaction, as assessed by the 2014 APS Employee Engagement Model, is 74 per cent compared to the APS wide result of 65 per cent.	Part 3

Key priorities

Table A1.8: Progress against 2014–15 key priorities

Key priority	Progress	Body of report
1. Fund excellent research and research training through the National Competitive Grants Programme	Fund excellent research and research training across all disciplines through the Discovery and Linkage programmes	Part 2
2. Deliver new funding initiatives aimed at boosting research into tropical health and medicine, dementia, diabetes and the Antarctic and Southern Ocean	Through the Special Research Initiatives scheme deliver the Australian Government's commitment to support these areas of priority Following selection rounds, funding was awarded to the following organisations to administer these initiatives: Tropical health and medicine: James Cook University ($42 million commencing in 2014 ) Diabetes: the Juvenile Diabetes research Foundation ($35 million in 2014) Antarctic and Southern Ocean: University of Tasmania ($24 million commencing in 2014).	Part 2
	The ARC delivered funding for dementia research in conjunction with the National Health and Medical Research Council.	Part 2
3. Review the ARC's approach to identifying and reporting the benefits of ARC-funded research	Improve the identification of research benefits to enhance the nation's competitiveness The ARC provided input into government consultations to support the formation of public policy and initiatives to enhance the nation's competiveness, including Boosting the Commercial Returns from Research Strategy (May 2015) and the Department of Science and Industry's Cooperative Research Centres review.	n/a
	Review schemes to enhance links to industry The ARC considered industry participation issues when reviewing scheme funding rules and undertook data analytic work to demonstrate the significant networks that ARC funding supports between research organisations and industry.	n/a
	Provide clearer information on grant success, research quality and public benefit of research In 2014–15 the ARC continued to improve its capacity to capture and report the outcomes of research. As part of ARC activities to update the Research Management System (RMS), a new dynamic funding announcement page was developed to display funding outcomes following announcement of awarded grants. The announcement module is designed to make it easier for users, including industry partners, to obtain information on successful grants.	n/a
4. Implement the government's commitment to the reduction of red tape	Continue to upgrade and enhance the ICT systems the ARC has in place to support all phases of the granting process In August 2014 the ARC released the first stage of a new grants management system, Research Management System (RMS) 2.0. RMS 2.0 is designed to reduce the time taken by researchers and universities completing ARC funding proposals. In developing the system, the ARC considered ways to increase the efficiency of its grant application processes, specifically the format and content of its application forms. The ARC critically considered what information it must collect and how the information can be collected in the most efficient manner. As it becomes fully operational, RMS 2.0 will also allow for improved data use for reporting by the ARC. To date, feedback from the sector has been positive—users have expressed their satisfaction with the improved user experience provided by RMS 2.0, including quality of data captured, system reliability, ARC response time and ease of use.	n/a
	Investigate options for the development of a single higher education research data collection	Part 2
5. Deliver ERA 2015	Undertake a third ERA evaluation in 2015 The first stages of the ERA2015 evaluation were undertaken in the first half of 2015.	Part 2
6. Build a positive, forward thinking and sustainable agency	Ensure staff know what is expected of them During 2014–15 the ARC maintained a robust performance management framework. It communicated regularly with staff through a fortnightly internal newsletter and fortnightly morning tea.	n/a
	Ensure that the workplace is safe The ARC maintained appropriate work health and safety arrangements.	Part 3
	Ensure that staff skills and contributions are recognised and valued The ARC finalised its Workplace Diversity Programme. It also continued to participate in Australia Day Awards.	Part 3
	Ensure that training and development is provided to support career progression In the first half of 2015 the ARC established e-Learning capability within the agency.	Part 3