Agency Statements - ARC - Section 9

• Outcome 1
• Description
• Strategic Priorities
• Resources for Outcome 1
• Commonwealth Programmes of Financial Assistance
• Agency Outputs
• Competitive Tendering

Outcome and Outputs Information

Australian research that advances the global knowledge and skills base leading to economic, social, cultural and environmental benefits for the Australian community.

Description

The Commonwealth’s investment in research and research training that is administered by the Council supports the Government’s commitment to three key elements of the process of innovation, as identified in the Government’s January 2001 statement, Backing Australia’s Ability: An Innovation Action Plan for the Future:

• strengthening Australia’s ability to generate ideas and undertake research;

• accelerating the commercial application of these ideas; and

• developing and retaining Australian skills.

The Commonwealth’s investment in research supports the generation of new knowledge and skills that are necessary to sustain innovation and the development of new businesses and jobs on which Australia’s prosperity and living standards depend.  It contributes to maintaining and improving the quality of Australian life through advances in the social and cultural spheres and environmental sustainability. 

The Commonwealth’s investment in research also encourages researchers to interact with businesses, industry and public sector and community organisations, facilitating the flow of people, knowledge and expertise both locally and internationally.

The Commonwealth’s specific investment in research training supports the development of highly trained personnel that are necessary for Australia’s research system to operate at a competitive level globally and for the ongoing renewal of that system.

Strategic Priorities

Consistent with the Government’s policy, as set out in Knowledge and Innovation: A Policy Statement on Research and Research Training, the Council’s key strategic objectives are to:

• develop and maintain a broad foundation of high quality world-class research across a wide range of disciplines;

• encourage and extend cooperative approaches to research by strengthening links within Australia’s innovation system and with innovation systems internationally;

• contribute to the support of research training that is of the highest quality, responsive to national needs and globally oriented;

• contribute to the development of a coordinated approach to setting priorities in research and research training;

• increase awareness and understanding among the community of the outcomes and benefits of Australian research; and

• implement a governance structure and management processes enabling the Council to achieve its objectives within a framework of greater transparency and accountability.

The following is a summary of these priority areas.

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

The Council fosters excellence in research by supporting open competition between investigator-initiated proposals, assessed for funding under an enhanced system of internationally benchmarked peer review. 

Flexible opportunities for researchers to undertake activities along a continuum from relatively small, discrete projects through to longer-term team-based programmes are vital for discoveries and innovation to occur. 

The Discovery element of the Council’s National Competitive Grants Programme provides this flexibility to enable:

• the needs of researchers in different disciplines and at different stages of their careers to be met;

• open access to funding for our best and most promising researchers; and

• incentives to build the scale of research activities, develop team-based approaches and contribute to the growth of networks of research excellence.

We will know that we have been successful if:

The NCGP produces nationally and internationally competitive outputs and outcomes across a broad range of disciplines, as revealed by international peer evaluations, supported by quantitative indicators. 

The NCGP contributes to the development of research strengths in areas of competitive advantage.  The ARC is developing a methodology and process for identifying research strengths and weaknesses, and emerging opportunities. 

The NCGP attracts to and retains within Australia researchers of international standing.  

The Council’s 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. 

The Council’s support for infrastructure development, in partnership with other Commonwealth agencies, delivers wide access to world-class facilities and equipment for Australian researchers, as revealed by the outcomes from programmes and collaborative initiatives.

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Encourage and extend cooperative approaches to research by strengthening links within Australia’s innovation system and with innovation systems internationally

Flexible opportunities that stimulate and extend collaborative approaches to research and research training are vital for building a critical mass of world-class research and capturing its benefits. 

The Linkage element of the National Competitive Grants Programme:

• enables a spectrum of research activities to be funded in partnership with industry, from discrete projects through to longer-term programmes of research;

• focuses the training of high quality postgraduate and postdoctoral researchers on the needs of the users of research by partnering them with industry;

• supports the cooperative development and use of major research facilities and equipment nationally;

• supports the development and maintenance of international research links, particularly through Australian participation in outstanding large-scale international cooperative research ventures; and

• leads to the development of the critical mass necessary to ensure Australian research is internationally competitive.

We will know that we have been successful if: 

There is an increase in the incidence of collaboration between researchers funded under the NCGP and those within others 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 Strategic Research Initiatives. 

Research funded under the NCGP 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 under the NCGP, reflected in a higher incidence of linkages nationally and internationally, and as revealed by analyses of the sources and amount of funding leveraged by the Programme, nationally and internationally. 

The feasibility of implementing mechanisms to enable technology investors to assess opportunities to invest in the commercialisation of research supported under the NCGP is established. 

One major international research facility is established in Australia by 2002.

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Contribute to the support of research training that is of the highest quality, responsive to national needs and globally oriented

Excellent research training environments expose students to the world’s leading edge research within a cross-disciplinary context responsive to the potential for application within the wider society.  Under the Linkage element of the National Competitive Grants Programme, Australian Postgraduate Awards (Industry) and Australian Postdoctoral Awards (Industry) expose a number of our best research students to commercial and industrial objectives and practical problem-based and team-based research. 

Through its Indigenous Researchers Development Scheme, the Council makes a specific commitment to supporting research training for Indigenous Australians. 

We will know that we have been successful if:

The quality of research training supported under the NCGP is competitive internationally as revealed by international peer and end-user evaluation. 

Research training funding schemes under the NCGP develop researchers of international standing across a broad range of disciplines, as revealed by international peer evaluation, bibliometrics and patent data. 

There is an increasing incidence of collaborative links promoted by research training schemes under the NCGP. 

There is an increasing incidence of postgraduate and postdoctoral researchers participating in international exchanges through funding schemes under the NCGP.

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Contribute to the development of a coordinated approach to setting priorities in research and research training

The Council’s approach to priority setting aims to reward excellence and offer incentives to deliver the greatest benefit from research to the community. 

The key criteria of excellence and benefit underpin the Council’s peer assessment process for investigator-initiated research proposals.  Excellence is vital for international competitiveness and the advancement of knowledge.  Benefit, as a criterion, ensures maximum return on investment in research. 

The Council contributes to the identification and coordination of priorities for research primarily through its advice to the Minister for Education, Training and Youth Affairs and through its membership of the Prime Minister’s Science, Engineering and Innovation Council. 

The Council also works closely with public and private sector agencies to identify areas of strategic importance for research where there is a common interest and the potential to enter into collaborative partnerships and investment in research. 

The Council will undertake assessments of Australia’s research performance, new developments and the national return on investment in research to inform priority setting.

We will know that we have been successful if:

The expectations of stakeholders, that the National Competitive Grants Programme is responsive to government priorities, disciplinary requirements, the needs of individual researchers and industry is satisfied, as indicated by:

• feedback from the Minister for Education, Training and Youth Affairs and the Prime Minister’s Science, Engineering and Innovation Council;

• surveys of researchers in the different disciplines and their industry partners;

• surveys of particular categories of researchers, for example those early in their careers.

There is an increasing level of collaborative investment by other agencies (in both the public and private sectors) in research supported under the NCGP.

There is an increase in the level of intellectual property generated from research supported under the NCGP.

Increase awareness and understanding among the community of the outcomes and benefits of Australian research

The Council will continue to develop and refine its communications strategy in order to promote widespread awareness and understanding of the importance of research to Australia’s economic, social and environmental well-being.   A high level of awareness and understanding within the community will be necessary to maintaining public support for investment in research and encouraging more and more young people to embrace a career in research. 

The Council coordinates its communication activities with the information campaigns of other stakeholders in the national innovation system. 

We will know that we have been successful if: 

There is an increasing awareness within the community of the outcomes of ARC funded research and the role of the Council, as indicated by:

• monitoring of media exposure;

• monitoring of visits to the Council’s website; and

• feedback from Government Ministers.

There is an increasing level of contact and communication with stakeholders through the Council’s participation in a growing number of outreach activities.

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Implement a governance structure and management processes enabling the ARC to achieve its objectives within a framework of greater transparency and accountability

The Australian Research Council Act 2001 will be proclaimed in 2001, establishing the Council as an independent body within the Education, Training and Youth Affairs portfolio.

Under the Act, the Council will be accountable to the Australian community through the Minister for Education, Training and Youth Affairs.  The Act will enable an increase in the level of transparency and accountability in the Council’s operations and effectiveness via a requirement that, each year, the Council prepare a strategic plan and annual report for the Minister’s approval. 

The Act will enable the appointment of a Board, a part-time Chair and a full-time CEO.  The CEO will be supported by programme managers who currently oversee management of the Council’s funding schemes and the peer review process across six broad disciplinary groupings.  Each programme manager is supported by an expert advisory committee and discipline-specific readers, including local and overseas experts who assess and rank investigator-initiated proposals in each research discipline. 

We will know that we have been successful if: 

The Minister for Education, Training and Youth Affairs is satisfied with the effectiveness of the Council’s governance as indicated by approval of its strategic plan and annual report. 

There is satisfaction with the Council’s processes for administering applications and grants, as indicated by: 

• stakeholder surveys; and

• trends in the number and success rate of appeals against administrative decisions.

Resources for Outcome 1

Table 9.1 shows the total resourcing for Outcome 1, including Total Administered Expenses, Revenue from Government (Appropriation) for Outputs, Revenue from other sources, and the Total Price of Outputs.

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The Commonwealth’s investment in research and research training that is administered by the ARC to support the achievement of Outcome 1 consists of Administered Items, which comprise funding for third parties (principally universities), and Agency Outputs, which are the services that the Council provides. 

Output Group – Competitive Research Schemes

The Council’s Administered Items consist of a number of competitive funding schemes for research and research training.  Together, these schemes constitute the Council’s National Competitive Grants Programme.

The Discovery element of the NCGP provides Australia’s best and most promising researchers with open and transparent access to funding support, and offers incentives for researchers to build the scale of their work, develop teams and support the growth of networks of research excellence.  It supports the development of young researchers and the testing of new, innovative ideas and research techniques. 

The Linkage element of the NCGP encourages collaborative research, both nationally and internationally, between universities, businesses, industry and government and community organisations.  It also funds investment in strategic national research infrastructure and access to major international research facilities. 

Special Research Centres and Key Centres of Teaching and Research support research requiring significant national and international collaboration.  They encourage the growth of clusters and networks of research and research training as platforms for innovation. 

Measures disclosed in the 2001-02 Budget

Double funding for National Competitive Research Grants

The Government will provide an additional $736.4 million over five years to double funding for the national competitive research grants administered by the Australian Research Council by 2006. This measure will ensure the continuing supply of new ideas, new applications of knowledge and the identification of new areas of inquiry which are essential to innovation. 

ACCOUNTABILITY REQUIREMENTS 

The Council will ensure the proper administration of all financial and other accountability requirements that apply to third parties in receipt of funds under the Council’s Administered Items.  These accountability requirements are set out in the Australian Research Council Act 2001 and in ARC programme guidelines (referred to as governing funding rules in the Act).

Agency Outputs

Agency Outputs are those services provided by the Council to support the achievement of Outcome 1.  A summary of these follows. 

Administration 

Administration is concerned with implementing and managing the Council’s programmes.  It includes communicating information about the Council, its objectives and programmes to clients and other stakeholders.  The Council will ensure that it undertakes administration in accordance with relevant legislation and guidelines. 

In 2001-02, the Council will implement a range of specific initiatives announced in the Government’s January 2001 statement, Backing Australia’s Ability: An Innovation Action Plan for the Future.   

Policy Advising

Policy advice covers the provision of a policy advice service to the Minister for Education, Training and Youth Affairs.  The Council will ensure that the Minister is satisfied with the timeliness and quality of advice it provides. 

Ministerial and Parliamentary Services

The Council provides a range of services to the Minister for Education, Training and Youth Affairs and to the Parliament.  These services include responding to Questions on Notice and Parliamentary Reports.  The Council will ensure that it provides high quality and timely responses to requests for services. 

Research, Analysis and Evaluation 

Research, analysis and evaluation is undertaken to develop policy and measure the effectiveness of performance in achieving outcomes.  The Council will oversee high quality research, analysis and evaluation studies to address policy and programme requirements, within agreed timelines. 

In 2001-02, research projects will be undertaken to establish national benchmarks for the commercialisation of research conducted by Australia’s universities, and to assess opportunities to accelerate research commercialisation by making available to technology investors information about the outcomes from ARC funded research to assist in their investment decision-making.

The following Agency Outputs will be subject to contracting out of all or part of service delivery to external providers during 2001-02:

• electronic capture, indexation, storage and distribution of applications and associated material related to the National Competitive Grants Programme;

• maintenance and development of the Council’s grants management systems; and

• reader assessments of applications for funding under the NCGP.

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