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Strategic Plan 2006-2008

Australian Research Council
Strategic Plan 2006-2008

Australian Research Council, Canberra
© Commonwealth of Australia, May 2006
ISSN 1832-4347
Printer: Union Offset Printers
Publisher: Australian Research Council

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Contents

Message from the Minister
Foreword
Mission
Guiding Principles
Key Objectives
Operating Environment
The Plan
Objective 1: Discovery
Objective 2: Linkage
Objective 3: Research Training and Careers
Objective 4: Research Infrastructure
Objective 5: Research Priorities
Objective 6: Public Engagement
Objective 7: Effective Organisation
Performance Framework
Appendices
   1. Program and Operating Budgets
   2. National Competitive Grants Program
   3. Additional Information

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Message from the Minister

As the Minister for Education, Science and Training, I am pleased to introduce the Australian Research Council's strategic plan for the triennium 2006 to 2008.

The themes of the ARC's plan reflect a number of key characteristics which underpin Australia's research and innovation capability today. These characteristics include:

• a capacity for the development of new ideas and innovations;
• the existence of strong and growing research partnerships; and
• the need to attract and retain highly skilled researchers.

The Australian Government is committed to building Australia's research and innovation capability. Over the decade to 2010-11, the $8.3 billion Backing Australia's Ability packages will provide opportunities for researchers to conduct exciting and innovative research. This investment will enhance Australia's international competitiveness and economic prosperity. At a practical level, it represents new products and processes across all areas of endeavour - from safer cars through to cooler houses in summer.

The ARC strategic plan reaffirms the ARC's commitment to advancing Australia's research excellence and provides clear guidance for stakeholders as to the ARC's priorities over the coming year.

This is the final strategic plan to be prepared by the ARC Board. Under the new governance arrangements, the Chief Executive Officer (CEO) will be responsible for preparing future strategic plans for the ARC.

To ensure that the ARC can continue to be responsive to the interests in research of community, the business and higher education sectors, I will be creating an Advisory Committee to provide advice to the CEO on the broad strategic direction of the ARC. The Committee will provide the ARC with a broad range of advice to address emerging research priorities and ensure the ongoing success of the ARC.

I would like to thank Board Members, and in particular the Chair, Mr Tim Besley AC, for their contribution to the ARC.

I look forward to receiving reports on progress against the initiatives in the current plan and I wish the ARC success in its endeavours.

The Hon Julie Bishop MP
Minister for Education, Science and Training
May 2006

FOREWORD

It is a pleasure to present the ARC's strategic plan for the period 2006 to 2008.

Under the Australian Research Council Act 2001 (ARC Act), the ARC is required to prepare a strategic plan each year for the approval of the Minister. In today's research environment - where change is often rapid and at times unforeseen - this opportunity to regularly review the direction of the organisation is welcomed.

This plan has been prepared by the ARC Board and describes the ARC's agenda to fulfil its mission through ongoing activities in the ARC's seven key areas of (see also page 9):

• Discovery
• Linkage
• Research training and careers
• Research infrastructure
• Research priorities
• Public engagement
• Effective organisation.

The plan identifies specific actions the ARC will undertake in these key areas and indicators of success that it will use to measure its progress in delivering results that benefit Australia.

The actions in the ARC's strategic plan are adjusted each year to take account of what has been achieved by the organisation in respect of its ongoing policy and program responsibilities. Over the past year, for example, the ARC has engaged with a range of strategic issues, many of which were foreshadowed in the ARC Strategic Plan 2005 - 2007.

The ARC's activities in these areas, which are outlined below, were informed by a strong program of consultation with stakeholders which included institutional visits, a very well attended research managers' conference, dissemination of discussion papers and participation in various discussion forums.

• Implementation of Backing Australia's Ability initiatives: The ARC made a significant contribution to the development of models for implementation of the proposed Research Quality Framework and the National Collaborative Research Infrastructure Strategy. The Department of Education, Science and Training has primary carriage for these initiatives which were originally announced in May 2004 (as part of Backing Australia's Ability).
• Enhancements to the ARC systems capability: The ARC continued to implement structural enhancements under the National Competitive Grants Program (NCGP) aimed at maximising the benefits of this investment and at streamlining operations, notably by the in-house development of a proposed new integrated Research Management System.
• Funding rules: Informed by stakeholder feedback and strategic considerations, the funding rules for all schemes of the NCGP were revised extensively to enhance clarity and consistency across the different schemes.
• Post-award management: The ARC undertook several actions to improve its post-award management processes. In addition to ongoing work on the proposed new Research Management System, the ARC developed a program of institutional reviews and implemented a stronger tracking process for progress and final reports.
• Discovery Fellowships: The ARC consulted widely about support provided for Fellowships under the NCGP, in particular for those researchers at mid-career and senior levels where the success rates for Fellowship applications are lowest. As a result, a number of changes were made to the model of funding support provided under Discovery Projects.
• Linkage Projects: Under the Linkage Projects scheme, in response to industry demand, the ARC increased the level of funding obtainable for individual projects - and as a result the largest-ever grant under the scheme was approved. The Board strongly supported this change, as an important means of encouraging industry to engage with university researchers at a larger scale and to develop longer-term strategic relationships.
• ARC Research Centres: Following Board discussions about the pipeline implications of funding support provided for ARC Research Centres, the ARC made a strategic decision not to conduct a selection round for new centres in the immediate future but rather to consider, following performance reviews, an extension of funding for existing centres awarded in 2003 which are performing at a particularly high level. The ARC remains strongly committed to centres as an ongoing feature of its investment.

Consideration of a number of these issues will be ongoing into the new triennium. The ARC will, for example, be according high priority to the resource-intensive area of post-award management. One of the keys to ensuring the best returns on the ARC's investment is to ensure that the best researchers and the best projects receive funding. As we indicated in our previous plan, for that reason, the ARC has focussed strongly on the front-end of the NCGP and will continue to accord this area very high priority. Nevertheless, monitoring the progress and outcomes of the research it supports is a critical element in the ARC's responsibilities.

The actions in the ARC's plan are also adjusted each year to reflect the changing research environment. In the next triennium, changes in the research environment may include the implementation of a Research Quality Framework (RQF). In the 2006-07 Budget, the Government announced that it would provide $3 million to finalise development of an RQF model. Depending on the results of that exercise, the monitoring functions and requirements of the ARC could be affected.

In the next year, changes will include the retirement of the ARC Board. Following an examination of the ARC's governance arrangements through the Government's 'Uhrig Review'¹, the then Minister for Education, Science and Training announced in July 2005 that he had decided to retire the ARC Board, subject to necessary legislative changes to the ARC Act. Importantly, the then Minister announced that the ARC would continue as a statutory agency and that the peer-review process would be maintained.

In the coming triennium, the ARC will need to make adjustments to its governance arrangements in light of the expected changes to the ARC Act. Those adjustments will include the establishment of new mechanisms for the ARC to obtain the high-level advice previously supplied by the Board.

Whatever shape those mechanisms take, the ARC will continue to seek out and be open to the advice and views of its stakeholders on issues across the range of its functions. The release of this Strategic Plan forms a good starting point from which to formulate an informed dialogue and we hope that stakeholders will find it useful.

As required under the ARC Act, the ARC Strategic Plan has been approved by the Minister for Education, Science and Training, the Hon Julie Bishop MP, and tabled in the Parliament.

M A (Tim) Besley AC
Chairman
January 2005

Professor Peter Høj
Chief Executive Officer
January 2005

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¹ Review of the Corporate Governance of Statutory Authorities and Office Holders, Commonwealth of Australia, June 2003

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MISSION

The ARC's mission is to: 'Advance Australia's research excellence to be globally competitive and deliver benefits to the community'.

The ARC was established under the Australian Research Council Act 2001 (ARC Act) on 1 July 2001.

The functions of the ARC, as set out in the ARC Act, are to:

• administer the research programs for which it has responsibility (that is, the National Competitive Grants Program (NCGP));
• make recommendations to the Minister for Education, Science and Training on the allocation of funds within the research program; and
• provide advice to the Minister on research matters.

The NCGP is the primary vehicle by which the ARC pursues its mission. Through its management of the NCGP the ARC promotes the conduct of research and research training that is of the highest quality for the benefit of the Australian community across all disciplines (except clinical medicine and dentistry).

The NCGP provides funding through two elements - Discovery and Linkage (see Appendix 2). Across those elements, incentives are provided to researchers through a program structure that, broadly, targets funding in two areas:

• building research capability; and
• achieving focus through critical mass and collaboration.

The building of research capability occurs by nurturing the skills and expertise of individuals, encouraging partnerships through the formation of teams, and providing access to leading-edge infrastructure.

Achieving focus occurs by supporting greater connectivity through the formation of networks and by promoting the building of critical mass in the form of research centres.

GUIDING PRINCIPLES

The activities of the ARC are underpinned by the following seven principles:

EXCELLENCE
Ensure high-quality and innovative research that is internationally competitive.

CONCENTRATION
Provide a critical mass of support for research activities to foster world-class research outcomes.

PARTNERSHIP
Encourage and increase partnerships among universities, research institutions, government, business and the wider community at the local, national and international level.

FLEXIBILITY
Provide flexible and responsive schemes to ensure that a range of research needs and opportunities are supported.

STRATEGIC DIRECTION
Deliver the greatest benefit to the community by encouraging research in areas of national priority.

BROKERAGE
Act as a catalyst and broker to create opportunities.

ACCOUNTABILITY
Demonstrate accountability to the Government and the community by operating within a transparent and performance-driven framework, highlighting the return on the investment in research.

KEY OBJECTIVES

The ARC has seven key objectives:

Objective 1
Discovery:
Develop and maintain a broad foundation of world-class research across a wide range of disciplines.

Objective 2
Linkage:
Encourage and extend cooperative approaches to research and improve the use of research outcomes by strengthening links within Australia's innovation system and with innovation systems internationally.

Objective 3
Research training and careers:
Contribute to high-quality research training and foster career opportunities for Australia's best and brightest researchers.

Objective 4
Research infrastructure:
Facilitate access for Australian researchers to state-of-the-art facilities and equipment and provide incentives for the cooperative development of research infrastructure.

Objective 5
Research priorities:
Encourage excellent research and research training across the broad range of national research priorities and ARC structural priorities.

Objective 6
Public engagement:
Increase awareness, understanding and support among stakeholders and the community of the outcomes and benefits of Australian research.

Objective 7
Effective organisation:
Implement a governance and organisation structure, together with management processes, to enable the ARC to achieve its objectives within a framework of transparency and accountability.

OPERATING ENVIRONMENT

The ARC's delivery against its key objectives will continue to be influenced by a number of factors in the next triennium.

The Key Investment Strategies and Actions identified in the ARC strategic plan are adjusted each year to fit the changing research environment.

BACKING AUSTRALIA'S ABILITY

The national policy framework for research and innovation is established in part by Backing Australia's Ability (BAA), an $8.3 billion decadal package of initiatives identified by the Australian Government to support activities in three areas:

• the generation of new ideas;
• the commercial application of ideas; and
• developing and retaining skills.

Further details about BAA are available at http://backingaus.innovation.gov.au/default.htm.

Funding for the National Competitive Grants Program (NCGP)

Allocations to the ARC's NCGP have more than doubled since the introduction of BAA in 2001. In the financial year 2005-06, ARC funding for new and ongoing research projects will reach $556.5 million, a 16 per cent increase over the 2004-05 figure of $480 million. Through BAA, funding for the NCGP will be maintained at this level through to 2010-11.

National Collaborative Research Infrastructure Strategy (NCRIS)

In May 2004, the Government announced the establishment of NCRIS - a five-year $542 million scheme to provide researchers with major research facilities, supporting infrastructure and networks necessary for world-class research. Initial investment priorities under NCRIS were identified in early 2006 and funding is expected to be available from July 2006.

Research Quality Framework (RQF)

Also in May 2004, the Government announced that it would provide $2.8 million to the Department of Education, Science and Training (DEST) over the next two years to develop a model for a Quality and Accessibility Framework for Publicly Funded Research. Funding of $3 million was provided in the 2006-07 Budget to finalise development of the RQF model.

NATIONAL RESEARCH PRIORITIES

Australia's national research priorities were announced by the Prime Minister in late 2002 and were enhanced and refined in 2003 to take greater account of the contributions of the social sciences and humanities research. The four priorities are:

• an environmentally sustainable Australia;
• promoting and maintaining good health;
• frontier technologies for building and transforming Australian industries; and
• safeguarding Australia.

The ARC has developed an implementation plan that describes the initiatives it is pursuing in order to meet the Government's requirements for investment in national research priority areas.

THE PLAN

The plan describes the strategies and actions underpinning the ARC's seven objectives.

The following sections of the plan set out, for each of the ARC's seven objectives, the elements described opposite.

To simplify presentation, individual Actions have been allocated to a single Objective. They will, however, often contribute to the achievement of a number of Objectives.

OBJECTIVE

DESCRIPTION
An overview of the strategic intent of the objective.

SELECTED PRIORITIES FOR 2006
Specific initiatives which will be undertaken in the short-term to address the objective.

SCHEMES
List of relevant schemes under the NCGP.

PLANNING FRAMEWORK
Details (in the following format) of the key investment strategies and actions that will be pursued to achieve the objective.

Objective

Objective 1: Discovery

DESCRIPTION

The focus of the discovery research supported by the ARC is excellent research and research training identified through peer review and open competition.

Excellent research outcomes leading to innovation require flexible opportunities along a continuum from relatively small discrete research projects through to longer-term, team-based programs, research networks and centres of excellence. Concentration, scale and mass improve the global visibility and impact of Australian research.

SELECTED PRIORITIES FOR 2006

Commission an external review of the Federation Fellowships scheme to evaluate the effectiveness of the scheme in meeting its objectives.

Discovery schemes

Discovery Indigenous Researchers Development comprising:

• project grants
• fellowships

Discovery Projects comprising:

• project grants
• fellowships

Federation Fellowships

Objective
Develop and maintain a broad foundation of world-class research across a wide range of disciplines.
Key investment strategies
S.1 Ensure a broad foundation of excellence through: (i) peer review that is recognised to be of high international standard, and (ii) provision of internationally competitive levels of support.	S.2 Maintain and develop flexible and responsive research funding schemes to meet the different needs for research and to capitalise on emerging research opportunities.	S.3 Foster innovative approaches to research, cross-disciplinary research and early-career researchers.
Actions
Continually improve ARC peer review processes to optimise selection from open competition. Specifically: make high-quality appointments to the ARC College of Experts; and enhance the readership base and the involvement of international assessors (Ongoing). Maintain a quality assurance panel to recommend adjustments to funding between disciplines on the basis of quality (Ongoing). Ensure internationally competitive support for ARC researchers by funding the direct costs of research (Ongoing). Provide longer-term grants to the best and most creative researchers (Ongoing).	Maintain a flexible portfolio of schemes under the Discovery element of the National Competitive Grants Program (Ongoing). Maintain funding support across a broad range of research fields (Ongoing).	Maintain a scheme for early-career researchers (Ongoing). Establish new and/or maintain existing centres and networks in areas of national research priority – the new centres and networks to feature cross-disciplinary approaches to research, and accommodate early-career researchers (Ongoing).
Outcome
Knowledge is advanced leading to new discoveries and innovations.

Objective 2: Linkage

DESCRIPTION

Linkage research supported by the ARC is
focused on:

• promoting research partnerships with business and industry and other publicly funded research agencies; and
• connecting Australian researchers with the world's leading-edge knowledge, expertise and techniques in overseas businesses and research centres.

By supporting the development of partnerships, the ARC encourages the transfer of skills, knowledge and ideas as a basis for securing commercial and other benefits of research. Effective linkages with industry and end-users facilitate the translation of research outcomes into practice so that the Australian community can benefit from the Government's investment in research and research training.

SELECTED PRIORITIES FOR 2006

• Monitor the growing demand for support under the Linkage Projects scheme (both large and small grants) and explore the resource implications of this pressure.
• Continue to:
  
  – identify opportunities to develop targeted, high-profile linkages with overseas research funding agencies, and
  – explore opportunities to develop co-investment proposals with those agencies.
• Develop an implementation plan to underpin the ARC's international strategy, including the identification of concrete actions aimed at ensuring the objectives articulated in the plan are met.
• Work with stakeholders to identify options for maximising the efficiency and effectiveness of the Linkage International scheme.

Linkage schemes

ARC Research Centres comprising:

• ARC Centres
• ARC Centres of Excellence
• co-funded Centres of Excellence
• Special Research Centres

ARC Research Networks

Linkage Infrastructure, Equipment and Facilities

Linkage International comprising:

• awards
• fellowships

Linkage Learned Academies Special Projects

Linkage Projects comprising:

• project grants
• postgraduate awards
• fellowships

Special Research Initiatives

Objective
Encourage and extend cooperative approaches to research and improve the use of research outcomes by strengthening links within Australia's innovation system and with innovation systems internationally.
Key investment strategies
S.4 Develop research funding schemes that support linkage throughout the national innovation system and are responsive to the needs of business, industry, government and the wider community.	S.5 Promote collaborative approaches to research that encourage the development of research networks, leverage additional funding for research and provide opportunities to link into global innovation networks.
Actions
Maintain a flexible portfolio of funding schemes under the Linkage element of the National Competitive Grants Program (Ongoing). Encourage the mobility of research personnel between public and private sector organisations through the provision of fellowships and postgraduate awards (Ongoing). In collaboration with business, industry, government and community partners, foster innovation transfer and commercialisation of research by: (i) encouraging researchers across the national innovation system to explore opportunities to work collaboratively (Ongoing); and (ii) building and sustaining collaborative activities with industry and end-users including, for example, industry bodies such as the Australian Chamber of Commerce and Industry, the Australian Industrial Research Group and the Business Council of Australia (Ongoing).	Foster opportunities for research collaboration and strengthen research networks (both nationally and internationally), particularly in national research priority areas and in e-research (Ongoing). Encourage development of strong research partnerships through establishment of ARC Centres of Excellence and ARC Research Networks (Ongoing). Contribute to the joint funding of centres of excellence in information and communications technology, biotechnology and plant functional genomics (Ongoing). Form strategic alliances with targeted research agencies internationally and participate in international research consortiums (Ongoing). Pursue opportunities for Australian researchers to link into global innovation networks and enter international markets (Ongoing).
Outcome
Economic, social and cultural benefits of research are fully captured at the regional, national and international levels.

Objective 3: Research training and careers

DESCRIPTION

Fostering research training and career opportunities for our brightest researchers will ensure:

• the excellence and international competitiveness of Australian research, and
• the supply of highly innovative employees to private and public organisations.

The ARC supports postgraduate research students, the career development of researchers and high-profile internationally renowned researchers by assisting them to come to, return to, or remain in, Australia.

SELECTED PRIORITIES FOR 2006

• Monitor the impact of changes reflected in the Discovery Projects Funding Rules for funding commencing in 2007 - under the revised rules researchers are in effect able to reapply for Australian Professorial Fellowships, Australian Research Fellowships and Queen Elizabeth II Fellowships with 50% ARC salary support.

Research training and careers schemes

Discovery Indigenous Researchers Development

• Fellowships

Discovery Projects

• Australian Postdoctoral Fellowships
• Australian Professorial Fellowships
• Australian Research Fellowships
• Queen Elizabeth II Fellowships

Federation Fellowships

Linkage International

• ARC International Fellowships

Linkage Projects

• Australian Postdoctoral Fellowships Industry
• Australian Postgraduate Awards Industry
• Linkage Industry Fellowships

Objective
Contribute to high-quality research training and foster career opportunities for Australia’s best and brightest researchers.
Key investment strategies
S.6 Integrate research training and research under the National Competitive Grants Program.	S.7 Enhance research training opportunities through national and international collaboration.	S.8 Align ARC-funded research training to the needs of end users.	S.9 Ensure a balance of opportunities across the ARC’s fellowships portfolio for early- to mid-career and senior researchers.
Actions
Monitor the quality of research training environments (Ongoing). Monitor the quality of ARC-funded research training against international best practice (Ongoing). Benchmark remuneration and support under ARC postgraduate and fellowship awards to develop, attract and retain researchers of international standing (Ongoing). Foster research careers for Indigenous Australians through funding provided through the NCGP (Ongoing).	Encourage Australian postgraduate research students and postdoctoral researchers to participate in collaborative research with industry, CSIRO, and other government research institutes (Ongoing). Maintain collaborative initiatives with overseas research agencies to generate new opportunities for postgraduate and postdoctoral researchers to link into leading-edge international research networks at an early stage in their careers (Ongoing).	Consult with stakeholders to identify research training requirements and to ensure that ARC funding schemes are responsive to needs (Ongoing). Monitor the employment destinations and career pathways of research graduates (Ongoing).	Monitor support for early- to mid-career and senior research fellowships under the NCGP and within the national innovation system, in particular: (i) the balance between the numbers of fellowships provided at various levels; (ii) the concordance of career structures with fellowship programs offered by the NHMRC; and (iii) the total number of fellowships offered (Ongoing). Ensure that opportunities for early-career investigators are emphasised in both the Discovery and Linkage elements of the NCGP (including in ARC Centres of Excellence and ARC Research Networks) (Ongoing).
Outcome
Highly trained personnel and rewarding research career opportunities in the public and private sectors enable Australia’s research and innovation system to operate at a competitive level globally, leading to increased national benefit.

Objective 4: Research infrastructure

DESCRIPTION

Access to world-class facilities and equipment for Australian researchers is critical to the achievement of nationally and internationally competitive research outcomes.

To achieve this, the ARC aims to ensure that leading-edge infrastructure supports research excellence. Facilities are often most appropriately supported through collaboration involving consortia of research organisations, including with overseas partners in the case of international facilities.

SELECTED PRIORITIES FOR 2006

• Monitor the outcomes and impact of the first selection round under the National Collaborative Research Infrastructure Strategy and identify adjustments (if any) required to the level and nature of support offered under the ARC Linkage Infrastructure, Equipment and Facilities scheme.

Research infrastructure scheme

Linkage Infrastructure Equipment and Facilities

Objective
Facilitate access for Australian researchers to state-of-the-art facilities and equipment and provide incentives for the cooperative development of research infrastructure.
Key investment strategies
S.10 Develop and maintain funding schemes that: (i) extend access to research infrastructure throughout the national innovation system and within innovation systems overseas, and (ii) are responsive to the needs of business, industry, government and the wider community.	S.11 Ensure the provision of infrastructure at funding levels and through funding mechanisms appropriate to supporting internationally competitive research.	S.12 Promote collaborative approaches to investment in research infrastructure that encourage the development of networks, leverage additional funding and provide opportunities to link into global innovation networks.
Actions
Contribute to a whole-of-government approach to investing in access to strategic research infrastructure, nationally and internationally (Ongoing). Foster access to major national and international facilities (Ongoing). Monitor and report on the level of access to research infrastructure, the quality of equipment and facilities and the extent of collaborative links (Ongoing).	Develop and maintain funding schemes that provide state-of-the-art infrastructure to support research excellence (Ongoing).	Encourage the shared development and use of research infrastructure and major facilities in Australia and overseas (Ongoing). Encourage the development of a comprehensive inventory of research infrastructure at the national level (Ongoing). In partnership with Commonwealth, State and Territory government bodies and research organisations, facilitate the development of a national strategy for research infrastructure (Ongoing). Help ensure Australia is a participant in the next generation of international e-Research developments, such as grid computing (Ongoing).
Outcome
The quality and profile of Australian research is enhanced and its links to major centres of international research excellence are extended.

Objective 5: Research priorities

DESCRIPTION

Identification of priorities on the basis of excellence and national benefit helps ensure that positive outcomes from research are delivered to the community.

The Government has identified four national research priority areas, which focus the national research effort on key challenges for Australia today and into the future. They build on existing strengths while seeking new opportunities in emerging areas.

SELECTED PRIORITIES FOR 2006

• Initiate a review of the ARC's structural priorities, ie. early-career researchers, research training in ICT and research in regional and rural issues.
• Review the ARC Centres and ARC Centres of Excellence established in 2003. Centres judged to be performing at a high level will have the opportunity for their funding to be extended (to 2010–11).

Priority areas

ARC research priorities*

• nanomaterials and biomaterials
• genome/phenome research
• complex/intelligent systems
• photon science and technology

Co-funded Centres of Excellence in Biotechnology and Information and Communications Technology (ICT)

• Australian Stem Cell Centre
• National ICT Australia

Early-career researchers

Discovery Projects

National research priorities

• an environmentally sustainable Australia
• promoting and maintaining good health
• frontier technologies
• safeguarding Australia

Research training in ICT

• Australian Postgraduate Awards Industry (Information Technology)

Research in regional and rural issues

• Linkage Projects

* applied only to new grants awarded under the National Competitive Grants Program for funding commencing in 2003

Objective
Encourage excellent research and research training across the broad range of national research priorities and ARC structural priorities.
Key investment strategies
S.13 Align ARC research funding schemes with its role within the national innovation system.	S.14 Implement national priorities for research and research training.	S.15 Identify technologies that are critical to national development, problems of regional or national significance and broad national goals that will influence funding between discipline areas or allocations to specific issues.	S.16 On the basis of assessment of Australia’s research strengths, weaknesses and opportunities, maintain a balanced set of priorities for allocating funds for research and research training under the National Competitive Grants Program.
Actions
Maintain ARC funding schemes under two elements–Discovery and Linkage (Ongoing). Nurture new ARC centres of excellence in national priority areas (Ongoing).	Ensure ARC funding schemes are responsive to national priorities and monitor the impact of this initiative (Ongoing). Pursue opportunities to collaborate with other agencies to establish joint initiatives for funding research and research training, particularly in national research priority areas (Ongoing). Maintain ARC research networks and centres in national priority areas (Ongoing).	Establish alliances with other research funding agencies to invest in the development of technologies critical to national development (Ongoing). Pursue opportunities to link ARC-funded research to end-user needs to foster technology transfer (Ongoing).	Assess the impact of research funded under ARC schemes, as a basis for monitoring areas of strength and weakness and for identifying opportunities (Ongoing). Maintain early-career researchers, rural and regional research, and research training in IT as ARC structural priorities (taking into account the outcomes of the proposed review as required) (Ongoing). Monitor developments in priority setting in Australia against developments overseas (Ongoing).
Outcome
Australia capitalises on excellence and utility, leading to greater competitiveness and enhanced benefit to the community.

Objective 6: Public engagement

DESCRIPTION

The ARC's communications strategy will develop and improve public understanding and appreciation of the contribution that research makes to the economic, social and cultural benefit of the community. It will also promote the relevance and value of:

• research as a career;
• the framework of ethical standards governing research in Australia to meet community standards;
• the framework in Australia for the protection and exploitation of intellectual property; and
• the commercialisation of research outcomes for the national benefit.

SELECTED PRIORITIES FOR 2006

• Continue to identify opportunities to liaise with stakeholders, for example, through institutional visits, report-back tours and the Research Administrators' conference.
• Continue to identify opportunities to raise the profile of research in the Australian community.

Objective
Increase awareness, understanding and support among stakeholders and the community, of the outcomes and benefits of Australian research.
Key investment strategies
S.17 Develop and maintain a communications strategy to demonstrate the benefits of research and research training to stakeholders and the community.	S.18 Collaborate with key stakeholders to promote outreach programs and support research-related activities.
Actions
Maintain a communications plan that identifies target audience groups, tailors key messages to each, and sets out communications strategies appropriate to those messages (Ongoing). Maintain a website linked to major research organisations and activities and encourage ARC-funded researchers to recognise the ARC and the Australian Government on their websites (Ongoing). Maintain an informative newsletter for wide circulation (Ongoing). Prepare reports, including the ARC’s Annual Report, on research outcomes and the return on investment in research in Australia (Ongoing). Maintain a program of ARC visits to higher education institutions, incorporating Board meetings and consultations with state government representatives and business (Ongoing). Conduct briefings for members of Parliament, industry bodies and community groups on research outcomes and the role of the ARC (Ongoing). Inform the media of outcomes from ARC-funded research (Ongoing).	Strongly encourage ARC-funded researchers to communicate the benefits of their research to a wide audience, including schools (Ongoing). Convene forums with stakeholders (including universities, business and the community) to facilitate the exchange of ideas and information about research matters (Ongoing). Participate in outreach programs such as major national and international exhibitions, the national Science Festival and appropriate Questacon activities (Ongoing). Participate in international collaborative activities with other research funding agencies (Ongoing). Promote awareness of the framework of ethical standards within which research is conducted in Australia (Ongoing). Promote awareness amongst researchers, host institutions and business of the National Principles of IP Management for Publicly Funded Research (Ongoing).
Outcome
Increased public support for the investment in research, better informed debate and decision making, improved understanding of IP issues and enhanced capacity within the community to manage change.

Objective 7: Effective organisation

DESCRIPTION

The accountability and transparency of the ARC's operations and its overall effectiveness are assured through appropriate governance, management and organisational structures and processes.

The strategic plan, annual report and Portfolio Budget Statements, tabled in Parliament by the Minister, comprise the basic accountability framework.

International benchmarking studies of Australia's research performance and an assessment of the national return on investment in research are also important accountability mechanisms for the ARC.

SELECTED PRIORITIES FOR 2006

• In consultation with the Minister, implement revised governance arrangements arising from changes to the ARC Act.
• Identify and implement possible efficiencies in the operation of the NCGP arising from changes to the ARC Act, for example, a shortened grant application processing cycle.
• Prepare an evaluation framework to guide the activities of the newly established Research Evaluation team.
• Continue to monitor the documentation to each scheme of the NCGP to ensure consistent and clear presentation.

Objective
Implement a governance and organisation structure, together with management processes, to enable the ARC to achieve its objectives within a framework of transparency and accountability.
Key investment strategies
S.19 Conduct the ARC’s governance, organisational structure and management processes in accordance with legislative requirements.	S.20 Demonstrate, through the Government, accountability to the Australian community.	S.21 Develop and streamline the ARC's business processes.	S.22 Maintain and enhance strategic relationships.
Actions
Manage continuous change with effective internal communication and staff development processes (Ongoing). Pursue best practice as an employer and as an agency of the Australian Government (Ongoing).	Provide the Minister with a strategic plan and an annual report (Ongoing). Produce reports of Australia’s research performance against international benchmarks and developments (Ongoing). Maintain a regular planning and review cycle that focuses on outputs and outcomes (Ongoing). Identify economic, social and cultural benefits of investment in research, with a focus on ARC funding programs (Ongoing). Monitor and report on the performance of the ARC against indicators identified in the strategic plan (Ongoing).	Monitor and institute efficiencies into, ARC grant allocation processes (Ongoing). Achieve a learning organisation by developing knowledge management processes across the ARC (Ongoing). Maintain an ARC IT business plan to continually improve: application and grant processing; manage-ment of financial and personnel processes; and information for performance evaluation, monitoring and reporting (Ongoing). Internationally benchmark and monitor ARC program management costs (Ongoing). Monitor the rate of success of appeals made by applicants against process issues (Ongoing).	Engage stakeholders in the ARC’s business through: consultation on strategic issues, and participation on ARC committees and working parties (Ongoing). Strengthen and maintain working relationships with the Department of Education, Science and Training and other agencies with responsibilities relevant to research (Ongoing). Contribute to and influence key developments in national research policy and relevant higher education policy issues (Ongoing).
Outcome
Effective and efficient use of resources leads to improved research outcomes, increased support and greater investment.

PERFORMANCE FRAMEWORK

MEASURING PERFORMANCE

Effectiveness Indicators

The ARC has identified two indicators to help demonstrate its effectiveness in fulfilling its mission (see page 30).

Key Performance Indicators

The ARC has identified ten key performance indicators to help it track its progress in supporting its mission (see also page 30).

There are two different types of indicator:

• those which measure the outputs and outcomes of research funded through the NCGP; and
• those which measure the performance of the ARC in administering the NCGP and carrying out its other roles and functions.

In relation to the program indicators, it is important to note that the full impact of the Australian Government's investment in research and research training through the ARC can be assessed only over the long term. This assessment must take into account the crucial role ARC research activities and training programs play in underpinning support of more applied innovation activities in both the private and public sectors.

REPORTING ON PERFORMANCE

Under the ARC Act the ARC must report in its annual report against the key performance indicators identified in its strategic plan.

EFFECTIVENESS INDICATORS

EI.1
Australia achieving high levels of research excellence and building world-class research capability in a range of research areas

EI.2
The benefits (economic, environmental and social) that are delivered to the community through the adoption of the outcomes of ARC-funded research

KEY PERFORMANCE INDICATORS

KPI.1
Research funded through the National Competitive Grants Program produces high-quality outputs and outcomes in public and private enterprises [Key areas: Discovery, Linkage, Research training and careers, Research infrastructure, Research priorities]

KPI.2
Development, attraction and retention of high-quality researchers across disciplines, able to pursue careers within universities, industry, government and other sectors of the economy [Key areas: Discovery, Linkage, Research training and careers, Research priorities]

KPI.3
A high incidence of collaboration between ARC-funded researchers and those within other sectors of the national and international innovation system, including innovative companies [Key areas: Discovery, Linkage, Research training and careers, Research infrastructure, Research priorities]

KPI.4
Increase in the scale of research activities supported through the National Competitive Grants Program [Key areas: Discovery, Linkage, Research training and careers, Research infrastructure, Research priorities]

KPI.5
Contribution of ARC-funded research to the development of research strengths and applications in areas of national need [Key areas: Discovery, Linkage, Research training and careers, Research infrastructure, Research priorities]

KPI.6
Appropriate level of access for Australian researchers (including those in higher education institutions, government research organisations and industry) to high-quality facilities and equipment (including major research facilities located overseas)
[Key area: Research infrastructure]

KPI.7
Transfer of knowledge to users as shown by trends in knowledge transfer, utilisation and intellectual property measures [Key areas: Discovery, Linkage, Research training and careers, Research infrastructure, Research priorities]

KPI.8
Enhanced stakeholder awareness of and satisfaction with the outcomes of ARC-funded research [Key area: Public engagement]

KPI.9
Stakeholder satisfaction with the flexibility and responsiveness of the National Competitive Grants Program and with ARC processes for administering grants and applications [Key area: Effective organisation]

KPI.10
Ministerial and Parliamentary satisfaction with the performance of the ARC against its accountability and governance requirements [Key area: Effective organisation]

APPENDICES

Appendix 1: Program and operating budgets

ARC schemes: 2002 to 2008–09

(2005-06 price level at March 2005)	CY Actual 2002 ($m)	CY Actual 2003 ($m)	Jan-Jun Actual 2004a ($m)	FY Actual 2004–05 ($m)	FY Est 2005–06 ($m)	FY Est 2006–07 ($m)	FY Est 2007–08 ($m)	FY Est 2008–09 ($m)
DISCOVERY
Discovery Projects	143.683	186.706	102.963	237.044	255.066	273.7	272.224	270.885
Federation Fellowships	7.254	14.253	7.317	22.346	35.938	41.17	41.754	41.754
Discovery Indigenous Researchers Development	0.225	0.236	0.123	0.323	0.4	0.4	0.4	0.4
Sub-total Discovery	151.162	201.194	110.403	259.713	291.404	315.27	314.378	313.039
LINKAGE
Linkage Projects	63.767	71.439	38.954	98.546	111.686	115.193	118.455	118.955
Linkage Infrastructure, Equipment and Facilities	32.985	20.291	21.509	32.811	35.794	25.794	25.794	25.794
Linkage International	2.61	3.373	1.504	3.61	4.267	3.355	3.45	3.45
Research Centresb	21.29	55.799	33.368	84.958	103.732	89.415	87.029	90.23
Linkage Learned Academies Special Projects	0.462	0.463	0.231	0.483	0.472	0.472	0.472	0.472
Special Research Initiatives	0.092	2.599	0.06	0.17	4.896	2.275	2.275	2.275
Linkage Australian Postdoctoral Fellowship (CSIRO)	0	0.659	0.347	0.717	0.179	0	0	0
ANZCCARTc	0.03	0.027	0	0.027	0.03	0.03	0.03	0.03
Sub-total Linkage	121.236	154.649	95.973	221.322	261.056	236.534	237.505	241.206
TOTALd	272.398	355.843	206.376	481.035	552.46	551.804	551.883	554.245

a The Higher Education Legislation Amendment Act 2003 changed the ARC's program funding to a financial year basis. To make the transition from calendar to financial years, the ARC Act treats the period 1 January 2004 to 30 June 2004 as a financial year.

b Includes Centres of Excellence in Biotechnology and Information and Communications Technology, ARC Centres of Excellence, ARC Centres, the Australian Centre for Plant Functional Genomics, Special Research Centres and Key Centres of Teaching and Research.

c Australian and New Zealand Council for the Care of Animals in Research and Teaching

d Total Program budget as approved by the ARC Board in July 2005. These figures exclude funding to be transferred to the Department of Education, Science and Training to administer commercialisation scholarships.

ARC Operations: 2001–02 to 2008–09

	Actual 2001–02	Actual 2002–03	Actual 2003–04	Actual 2004–05	Forward estimate 2005–06	Forward estimate 2006–07	Forward estimate 2007–08	Forward estimate 2008–09
Operating costs for ARC operations ($m)a	9.706	11.177	12.643	12.78	14.942	15.036	15.323	15.459
Operating costs for the year ended 30 June as a percentage of program costs for that calendar/financial yearb	3.60%	3.10%	3.10%	2.66%	2.70%	2.66%	2.72%	2.73%

a Forward estimates are in outturned dollars and taken from 2005-06 DEST Portfolio Additional Estimates Statement.

b This calculation has been adjusted to remove the effect of indexation on the ARC's operating costs forward estimates.

Appendix 2: National Competitive Grants Program

Description

The National Competitive Grants Program (NCGP) comprises two elements – Discovery and Linkage.

Discovery

The Discovery element of the NCGP provides support for Australia's most outstanding and promising researchers, and the testing of innovative ideas and techniques. It offers incentives for researchers to build the scale of their work and develop teams, and supports the growth of networks of research excellence. The main funding schemes under Discovery are Discovery Projects and Federation Fellowships.

Discovery Projects

Discovery Projects provides both research grants and fellowships – research grants are awarded for one to five years with grant sizes ranging from $20,000 to $500,000 per annum.

Federation Fellowships

Federation Fellowships are prestigious awards aimed at attracting and retaining outstanding researchers in Australia.

Discovery Indigenous Researchers Development

Discovery Indigenous Researchers Development is a relatively small scheme that supports the development of indigenous researchers' skills and expertise.

Linkage

The Linkage element of the NCGP supports collaborative research, both national and international, between universities, industry and research institutes to fully capture national benefit. It funds investment in strategic national and international research infrastructure, the establishment of major national centres of research activity and international research collaboration.

The main funding schemes under Linkage are Linkage Projects; Research Centres; Linkage Infrastructure, Equipment and Facilities; Linkage International; and ARC Research Networks.

Linkage Projects

Linkage Projects supports collaborative research and research training between universities and partner organisations with the partner organisation required to provide a cash or in-kind contribution to the research project. It provides support for research grants, postgraduate awards, postdoctoral fellowships and industry fellowships.

Research Centres

Research Centres supported by the ARC include co-funded Centres of Excellence, ARC Centres of Excellence and Special Research Centres. Research Centres are aimed at building critical mass in areas of research strength.

Linkage Infrastructure, Equipment and Facilities

Linkage Infrastructure, Equipment and Facilities encourages institutions to develop collaborative arrangements among themselves or with organisations outside the sector to develop research infrastructure. The minimum grant size under the scheme is $100,000.

Linkage International

Linkage International enables the movement of researchers between Australian research institutions and international centres of research excellence through three categories of support: awards, fellowships, and internationally coordinated initiatives.

ARC Research Networks

ARC Research Networks assists groups of researchers to coordinate and communicate their research activities across organisational, disciplinary, institutional and geographical boundaries.

Linkage Learned Academies Special Projects

This scheme funds the Learned Academies and the National Academies Forum to undertake research-related projects with a maximum funding duration of three years.

Special Research Initiatives

Under the Special Research Initiatives scheme, the ARC takes a proactive role in identifying specific initiatives to be undertaken. The funding aims to support (among other things) the cooperative development of innovative research areas and national and international linkages as well as activities aimed at building the scale and focus of research and research training.

e-Research Support

E-Research Support is a pilot initiative under the Special Research Initiatives scheme. Its aim is to overcome initial barriers to the adoption of e-Research methods across all research disciplines by encouraging open exchange of information, sharing of resources and better use of existing ICT infrastructure.

ARC/NHMRC co-funded initiatives

Thinking Systems

Thinking Systems is a joint ARC/NHMRC initiative addressing the national research priority goals of Breakthrough Science and Frontier Technologies. The initiative is expected to lead to the generation and application of new knowledge in the development of intelligent machines, robots and information systems.

Ageing Well, Ageing Productively

The ARC and NHMRC are collaborating on a research program which is addressing the national research priority goal of Ageing Well, Ageing Productively. The aim of this collaboration is to foster research into ageing which crosses sectors, research disciplines and institutions to develop an authoritative evidence base to underpin more effective and well informed policy and practice. The NHMRC is administering the research program.

Selection rounds

Selection rounds for the schemes of the NCGP described above are held annually with the following exceptions:

• Linkage Projects - Selection rounds are held twice a year.
• Research Centres - No further selection rounds will be held for Special Research Centres. Selection rounds for ARC Centres of Excellence are held periodically subject to the availability of funding.
• Linkage International Awards - There will be three rounds of Linkage International Award proposals in 2006 for funding commencing in the 2006-07 financial year.
• ARC Research Networks - A selection round was held in 2004. The conduct of further rounds is subject to the availability of funding and a review of the outcomes of the first round.
• Special Research Initiatives - Applications for funding may be submitted only when invited by the ARC by means of a call for proposals.

Further information

Further information about the funding schemes under the NCGP can be found on the ARC website at www.arc.gov.au.

Appendix 3: Additional information

ACRONYMS

Through the document the following acronyms are used:

ARC: Australian Research Council
ARC Act: Australian Research Council Act 2001
ICT: information and communications technology
NCGP: National Competitive Grants Program

FEEDBACK

Comments on this strategic plan should be sent to:

Professor Peter Høj
Chief Executive Officer
Australian Research Council
GPO Box 2702
Canberra ACT 2601

OTHER PUBLICATIONS

This strategic plan should be read in conjunction with the ARC Implementation Plan for National Research Priorities which sets out the range of initiatives that the ARC is pursuing in its implementation of national research priorities.

ARC CONTACT

GPO Box 2702
CANBERRA ACT 2601
1st Floor, 8 Brindabella Circuit
Brindabella Business Park
CANBERRA AIRPORT ACT 2609
Tel: (02) 6287 6600
Fax: (02) 6287 6601
Email: info@arc.gov.au

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