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University of Western Sydney Compact

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University of Western Sydney Compact Powered By Docstoc
					Mission-Based Compact
   Between:
     The Commonwealth of Australia
     and
     University of Western Sydney
              CONTENTS


              Context

              Part One:         Establishment of the Compact
                                The University’s Mission

              Part Two:         Teaching and Learning
                                Performance Funding

              Part Three:       Research, Research Training and Innovation

              Part Four:        Compact Review

              Part Five:        General Provisions



              Attachments
              A.    Indicative list of Commonwealth Funding provided to the University which is
                    administered by DEEWR and relevant to this Compact.
              B.    List of Commonwealth Funding provided to the University which is
                    administered by DIISR and relevant to this Compact.
              C.    University Confidential Information1.
              D.    Terms and Conditions of Agreement between the Minister for Tertiary
                    Education, Skills, Jobs and Workplace Relations and the University about
                    Performance Funding.
              E.     Copy of Commonwealth Grant Scheme Funding agreement between the
                     Minister for Tertiary Education, Skills, Jobs and Workplace Relations and the
                     University.




1
 There will be an Attachment C only where the University provides commercially sensitive material. The published
version of a Compact will indicate the existence or otherwise of an Attachment C (University Confidential Information)
but will not include the content.




                                                     Page 2
Date
This Compact is made on ......................................
between
The Commonwealth of Australia (Commonwealth) represented by and acting
through both:
          The Minister for Tertiary Education, Skills, Jobs and Workplace Relations
          Assisted by the Department of Education, Employment and Workplace
          Relations (DEEWR)
          ABN 63 578 775 294
          Of
          50 Marcus Clarke Street
          Canberra ACT 2601

          And

          The Minister for Innovation, Industry, Science and Research
          Assisted by the Department of Innovation, Industry, Science and Research
          (DIISR)
          ABN 74 599 608 295
          Of
          Industry House
          10 Binara Street
          Canberra ACT 2601


And


University of Western Sydney
ABN 55014069881
A body corporate under the University of Western Sydney Act 1997
Of
Great Western Highway, Penrith, Sydney
(University)




                                       Page 3
     CONTEXT
A.   The Purpose and Effect of this Compact
     This Compact is an agreement between the Commonwealth and the University.
     It demonstrates that the Commonwealth and the University have a shared and
     mutual commitment to provide students with high quality educational experiences
     and outcomes and to building research and innovation capabilities and international
     competitiveness.
     The Compact recognises that the University is an autonomous institution with a
     distinctive mission, operating within a state or territory, national and international
     higher education environment.
     The purpose of this Compact is to provide a strategic framework for the relationship
     between the Commonwealth and the University. It sets out how the University’s
     Mission aligns with the Commonwealth’s goals for higher education, research,
     research training and innovation, and includes information on funding provided by
     the Commonwealth to the University.
     Section 4 and Attachment D of this Compact together constitute the funding
     agreement, for the purpose of section 30-25 of the Higher Education Support Act
     2003 (HESA), for the grant of teaching and learning Performance Funding to the
     University. Similarly, Attachment E of this Compact contains the funding agreement,
     for the purpose of section 30-25 of HESA, for the provision of other Commonwealth
     Grant Scheme funding to the University.
     This Compact also refers to funding provided under DIISR's Collaborative Research
     Networks (CRN) funding program. Any funding provided under that program is not
     made under HESA and is separate to, but made within the framework of, this
     Compact.
     In addition, this Compact refers to a range of other funding that is provided by DIISR
     and DEEWR to the University under various legislative and/or contractual funding
     arrangements. The details of relevant DEEWR funding arrangements are set out in
     Attachment A and the details of relevant DIISR funding arrangements are set out in
     Attachment B.
     By detailing Commonwealth funding commitments and reciprocal University
     commitments, this Compact also contributes to creating a transparent and
     accountable system of administration of Commonwealth funding. To support this
     purpose, the Commonwealth and the University agree that this Compact will be
     published on Commonwealth websites and may be published on the University
     website.




                                      Page 4
B.   The Principles of Commonwealth Funding Support
     The principles under which Commonwealth funding for higher education is provided
     are:
        opportunity for all, especially for those students from groups under-represented
         in higher education;
        access to university based on merit;
        world-class teaching and learning that advances the international standing of
         Australian education;
        world class research and research training that advances knowledge, critical
         thinking and Australia’s international standing;
        responsiveness to the economic and social needs of the community, region,
         state, nation and the international community;
        a sustainable higher-education sector; and
        academic freedom and institutional autonomy.
C.   The Commonwealth’s ambitions for Higher Education and Innovation
     The Commonwealth’s vision for the higher education sector is set out in
     Transforming Australia’s Higher Education System available at
     http://www.deewr.gov.au
     Higher education is central to achieving the key objectives for the nation’s future,
     including:
        A stronger Australia – boosting Australia’s share of high skilled jobs and
         productivity growth will require a highly skilled workforce that can rapidly adapt
         to meet future challenges; and
        A fairer Australia – all Australians will benefit from widespread equitable
         access to a diverse tertiary education sector that allows each individual to
         develop and reach their potential. Society as a whole will benefit from the
         widespread application of cutting-edge research.
     In supporting these objectives, the Commonwealth's ambitions for higher education
     include:
        producing graduates with the knowledge, skills and understandings for full
         participation in society and the economy;
        providing opportunities for people from all backgrounds to participate to their full
         potential and be supported to do so;
        providing students with a stimulating and rewarding higher education
         experience;
        playing a pivotal role in the national research and innovation system through
         generation and dissemination of new knowledge and through the education,




                                      Page 5
         training and development of world class researchers across a wide range of
         intellectual disciplines; and
        being amongst the leading Organisation for Economic Co-operation and
         Development (OECD) countries in terms of participation and performance.
     The higher education system also plays a crucial role in supporting innovation. The
     Commonwealth’s policy statement, Powering Ideas - An Innovation Agenda for the
     21st Century http://innovation.gov.au is designed to build innovation skills, support
     research to create new knowledge, increase business innovation and boost
     collaboration.
     For higher education research, research training and innovation, the
     Commonwealth’s ambitions include:
        progressively increasing the number of research groups performing at world-
         class levels;
        boosting research collaboration by Australian universities;
        significantly increasing the number of students completing higher degrees by
         research over the next decade; and
        building an innovation system that promotes economic growth and well being by
         promoting linkages between Australian businesses, universities and publicly-
         funded research agencies.
D.   Structure of this Compact
     Part One provides for the establishment of the Compact, its Term and the purpose
     of the University’s Mission. Part One also contains the University’s Mission
     Statement. Part One also provides for the Commonwealth to inform the University of
     any actual or prospective changes to policy and for the University to inform the
     Commonwealth of any actual or prospective changes to its Mission and for each to
     consult the other about the possible effects of these changes.
     Part Two provides for matters related to teaching and learning, which are matters
     administered by DEEWR.
     Part Three provides for matters related to research, research training and
     innovation, which are matters administered by DIISR.
     Part Four provides for review of the Compact.
     Part Five provides for operational issues, including the general matters which the
     two Departments will administer jointly, liaison between the Departments and the
     University, privacy, confidentiality and information sharing, addresses for notices
     and how the Compact may be varied and how it may be terminated. This Part also
     includes the Dictionary.
     The Attachments A to E form part of this Compact and are referenced and explained
     in the relevant Parts of this Compact.




                                     Page 6
PART ONE

1.         ESTABLISHMENT OF THE COMPACT
The Commonwealth and the University agree:
1.1.     This Compact consists of Parts One to Five and any Attachments.
1.2.     The term of this Compact is from 1 January 2011 until 31 December 2013, unless
         terminated earlier in accordance with clause 9.7.
1.3.     In agreeing to this Compact for and on behalf of the Commonwealth each of the
         Ministers is acting only to the extent of that Minister’s powers and functions under any
         Commonwealth law, including under the terms of any relevant Appropriation.
1.4.     The University acknowledges that a policy underlying some or all of this Compact may
         be subject to review by the Commonwealth from time to time. The Commonwealth and
         the University agree that if the Commonwealth considers that it may need to change
         the Compact because of such a review, the Commonwealth will notify the University of
         this in writing and will consult with the University accordingly.
1.5.     Some or all of the funding arrangements set out in Attachments A and B may be
         updated by DEEWR and DIISR from time to time. The Commonwealth will notify the
         University of any such updates.
1.6.     Either party may propose changes to this Compact at any time. Except for any
         changes pursuant to clause 1.5 above, clause 10.5 will apply to any variation proposed
         by either party to the Compact.



2.         THE UNIVERSITY’S MISSION

2.1.       The purpose of the University’s Mission
2.1.1.       The University's Mission sets out its values and aspirations, what it does and how
             it can best serve the interests of its students, staff and key stakeholders. The
             Commonwealth and the University recognise that the University's Mission may
             evolve.
2.1.2.       The University and the Commonwealth recognise that the University is an
             autonomous institution which is responsible for the determination of its Mission and
             for its aspirations and strategies for their achievement.

2.2.       The University’s Mission statement

THE UNIVERSITY OF WESTERN SYDNEY – TODAY

UWS is a large, research-led and comprehensive metropolitan university serving a growing and
diverse urban region. Established under state legislation, UWS has a distinct legislative charter




                                           Page 7
encapsulated in its mission statement:
       To be a university of international standing and outlook, achieving excellence through
       scholarship, teaching, learning, research and service to its regional, national and
       international communities, beginning with the people of Greater Western Sydney.
Planning at UWS reflects a deep commitment to opportunity and excellence in which the
University’s place is to be at the leading edge of knowledge, providing a contemporary
education of the highest quality that builds successful lives and careers for our graduates, and
conducting research that speaks to the development of urban and rural regions, the new
economy, cultural life and professional practice.
UWS has both a legislative charter and a demonstrable commitment to serving the Greater
West of Sydney – a diverse and growing region of opportunity, challenge and aspiration, but
one with a history of social and educational disadvantage. Western Sydney is also an economic
powerhouse and its future relies on rapidly and significantly increasing the educational
opportunities and outcomes for the people of the region.
While UWS’s strategic focus is on both exemplary teaching across a comprehensive set of
disciplines and world-class research in targeted areas, its future is inextricably linked to the
future of the region. In 2006 the Australian Universities Quality Agency described UWS as a
“university of the people”.
The strategic development of UWS has seen it emerge from more than a decade of change and
restructure with a greatly improved profile and reputation in the sector. UWS’s focus will be to
ensure that teaching and the student experience will continue to give life to our commitment to
our communities and to the conviction that students are at the heart of UWS’s mission.

Current Circumstances
Located in Greater Western Sydney, UWS has six main campuses in a region spanning 8900
sq kilometres - Bankstown, Blacktown (Nirimba), Campbelltown, Hawkesbury, Parramatta and
Penrith, with other facilities at Westmead and Liverpool.
Greater Western Sydney is an increasingly important region, with:

      the fastest growing population in Australia which will exceed 2.3 million by 2016
       accommodating 60% of Sydney’s growth and 25% of national growth – 600,000 in the
       next 25 years.
      one of the largest urban Indigenous populations nationally
      150 of Australia's top 500 companies and over 240,000 businesses
      the third largest economy in Australia behind the Sydney CBD and Melbourne (more
       than $80 billion in economic output a year, 10% of the national GDP)
      one of the most diverse populations in the world with over 170 nationalities and 50%
       being first or second generation Australians

The Board of Trustees has determined that substantial growth for UWS as the region’s
population grows is a given and the implications and impact of growth will continue to be key
considerations in institutional planning and quality assurance.

The region also faces significant social and economic challenges, including low participation in
higher education – 3.2% compared with 5.3% for the rest of Sydney (2006 Census).

UWS is still a relatively young university, created from the merger in 1999 of three separate
entities under a federated university structure (UWS Hawkesbury, Nepean and Macarthur). It




                                            Page 8
has emerged from a significant period of rationalisation and amalgamation to transition from this
federated structure (with three separate administrations, unfocused research growth, 56
faculties and schools, 7 campuses, 265 undergraduate courses and 3800 units) into a unified,
large and maturing multi-campus university (with 3 colleges and 17 schools; 8 university
research centres, 93 undergraduate courses, 1950 units and 6 campuses).
Our students (over 37,000 in 2010) reflect the region and make a significant contribution to the
widening participation agenda, with:

      70% from Western Sydney
      over 50% being first in family at university (neither parent having a degree)
      the largest number of low SES students of any university
      20% entering on the basis of a TAFE qualification
      174 countries of birth
      success rates for low SES, TAFE entry and NESB student equal to the general student
       population

Student satisfaction has improved significantly since 2005. Overall student satisfaction in the
CEQ increased from 62% to 84.4% from 2005-10 and UWS surveys about teacher and unit
satisfaction (SFT/SFU) show similar significant improvement.

Research
There has been a steady growth in the last five years in research quality, scope and volume.
UWS has established a system of research selectivity and concentration which was developed
through three all-of-institution research reviews. As a result, UWS has determined that research
would be focused through a number of flagship University research institutes and centres, with
areas of developing strength in University research groups. Representing 16% of UWS’s
academic staffing, these areas of research concentration were responsible in 2009 for 43% of
research income, 26% of publications and 22% HDR completions.

Current strengths and emerging strengths that are the focus of the UWS Research Strategy:

       University Research Institutes
             Hawkesbury Institute for the Environment
       University Research Centres
             Citizenship and Public Policy      Civionics
             Complementary Medicine             Contemporary Muslim Societies
             Cultural Research                  Educational Research
             MARCS Auditory Laboratories        Urban Research
       University Research Groups
             Disaster Response and              Social and Environmental
             Resilience                         Responsibility
             Family and Community Health        Health Services and Outcomes
             Industry and Innovation Studies    Interpreting and Translation
             Justice Research                   Molecular Medicine
             Nanoscale                          Solar Energy Technologies
             Bio Electronics and                Writing and Society
             Neuroscience

In 2010, The Board of Trustees has supported a proposal for the following areas to work
towards the status of a Research Institute:




                                            Page 9
      humanities and social sciences
      cognitive sciences
      health and medical research
      engineering

THE UNIVERSITY OF WESTERN SYDNEY – OUR VISION FOR 2015

In the context of current strategy and development and achievements over the last decade,
UWS aims to be a modern and vibrant metropolitan university which is:

      known at home and abroad for its engagement with the economic and social
       development of its region
      with an international reputation for excellence in its chosen fields of research, and
      providing national leadership in student access and success

Strategic Plan

The UWS Making the Difference Strategy 2010-15, was developed after broad consultation and
approved by the UWS Board of Trustees. The MTD Strategy is the cornerstone of UWS
strategic planning and captures the key priorities to 2015, with three key focus areas to:
     create a superior and engaged learning experience
     develop focussed, relevant and world-class research,
     build organisational and financial strength

The Making the Difference (MTD) Strategy is supported by:
    UWS enabling plans - including Learning and Teaching; Research; and Engagement
    a set of aligned College and School plans together with Divisional and functional unit
      plans

Within this strategy, UWS has set key performance targets for 2015 relating to:
   1. widening participation
   2. student retention
   3. international enrolments
   4. research outcomes
   5. postgraduate load

Each of the strategic imperatives is linked to action plans and projects led by Executive
members accountable for implementation and delivery of key outcomes. Projects are tracked
and monitored by the Office of Planning and Quality (using a UWS purposes-built system
commended by AUQA) and performance is reported in a systematic way to the University
Executive and Board of Trustees.

Learning and Teaching
UWS’s vision for learning and teaching focuses on creating a superior and engaged student
experience and is underpinned by seven strategic imperatives to:
    ensure that our students achieve high learning standards
    build pathways that attract talented students from diverse backgrounds, including
       international students
    provide students with a first year experience that optimises retention and success;




                                           Page 10
      develop the ability for students to learn in their own time, supported by ICT-enabled
       learning;
      implement a comprehensive Indigenous education strategy that both supports
       Indigenous students and teaches non-Indigenous students about Indigenous Australia;
      have teaching staff – permanent and sessional – of the highest quality;
      have teaching programs with embedded engaged learning, incorporating relevant
       community, industry and international aspects;

The UWS Learning and Teaching Plan (2009 -2013) strategies and actions to create a superior
learning and engaged learning experience include:
    A focus on first year:
         improve retention
         coordinated and targeted strategies in the Colleges
         peer mentoring, identification and support of students at risk
    Academic English Strategy
         support for international and local NESB students
         literacy development embedded across academic programs
         safety net supplemental programs for students with skills deficits
    Cross Sector Partnerships
         high level governance links with NSW TAFE
         innovative joint course designs – ICT, retail
         UWS VET strategy
         collaborative projects to support low SES enrolment and completion
    Mathematics strategy
         extended engineering degree for student with maths skills deficits
         maths hotline
         safety net program in Business – Maths Reasoning
    Assessment Benchmarking
         benchmarking project planned with 3 university partners
         validity and reliability of final year assessment items
         work in concert with ALTC standards project
    Improving the assessed quality of learning and teaching
         English proficiency, first year experience and Mathematics enrichment projects
         budget allocations for strategic learning and teaching development projects
         student accommodation developments to provide better on campus experiences
         library enhancements and student precincts
         improvement in student:staff ratios, increased academic staff numbers and reduced
           casualisation
         mid-career academic development program

Student load
    steadily increase the number of CGS commencing students by 2.5% each year from
      2010
    build total student numbers (not FTE) from 37,000 (2010) to 50,000 (2020)
    increase the number of higher degree by research students by 5% each year to 2015
    increase student numbers significantly in the College of Health and Science (science,
      technology and engineering) in the next 3 years.

UWS College – foundation and pathways
   subject to funding, significantly expand the successful UWS College model into 3 or 4




                                         Page 11
       other locations (including Lithgow, Bankstown and Campbelltown). UWS College
       provides Foundation studies, Professional and English language programs and
       Diplomas which enable alternative pathways into UWS (with direct entry in to second
       year university study for students who are successful in a comprehensive 12-18 month
       program in the College).
      build the Diploma program significantly, if facilities can be funded on other campuses.

Widening Participation and Schools Engagement
    expand the successful schools engagement program, particularly the Fast Forward
      program to increase academic achievements and aspirations of GWS school students
    expand engagement work with Indigenous school students and support programs
    explore opportunities for university partners to enable the expansion of UWS College
    provide effective support for students with a disability

Research and Research Training
UWS’s vision for research is to develop focused, relevant and world-class engaged research
and is underpinned by a strategy of research concentration and selectivity to build its capacity
and the sustainability of its research. This vision will be achieved by:
    increasing overall research intensity and performance;
    achieving outstanding quality in research and scholarship;
    enhancing and increasing the scope of our productive research groups;
    developing effective research partnerships, and
    providing a rich and stimulating environment for research students.

UWS’s strengths in humanities, social science and environmental research will be further
consolidated and there will be significant growth in research activity in medicine, health, science
and technology as well as growth and diversification of research and consultancy in business.
UWS will continue on its successful path of collaborative multidisciplinary teams focussing on
research questions arising from the region, with much of that research having global relevance
as the characteristics of our region and its challenges align closely with key global concerns of
climate, economic and social issues.

The UWS Research Framework (2009 -13) identifies the following strategies:
Staffing:
     create Research Lectureships with a one third teaching load to attract high performing
        early career researchers and enable them to establish a research career
     fund additional research staff in successful Research Institutes, Centres and Groups
     recruit high quality research active staff
Support
     allocate funding for research infrastructure acquisition and maintenance
     maintain and more sharply target the UWS system of internal grants - seed support for
        external grant opportunities, partnership grants, early career researchers, collaborations,
        ‘near miss’ ARC and NHMRC applications
     target funding for ARC LEIF (infrastructure), ARC Centres of Excellence (CoE) and CRC
        proposals as well as one-off partnerships with industry or government
Concentration
     create a small number of Institutes that draw together successful cognate research
        concentrations in order to add strength and intensity
     diversify the research base in targeted disciplines by supporting more research groups in




                                            Page 12
      areas of growing research activity
     foster research in Science, Engineering, Health and Medicine
     attract high performing research groups external to UWS in order to strengthen existing
      concentrations or open new research areas of strategic importance to UWS
Research Training
    Increase UWS Research Scholarship numbers to attract more and higher quality
      students.
    Increase Honours scholarships to improve undergraduates going into research
      programs.
    Increase marketing of research activities to attract international students
    Support Indigenous research to increase Indigenous participation in research degree
      programs
    Provide state-of-the-art research facilities in order to attract high ability research
      students

Engagement
Engagement is an overarching priority and is an important mechanism for strengthening
teaching, learning and research through the mutually beneficial exchange of knowledge with
external partners. Engagement priority areas include:

1   improving educational attainment across GWS: to enhance literacy (language, finance,
    science, culture), improve children’s futures (tutoring/mentoring, research), build Indigenous
    education and focus on science and maths
2   economic development: target small and medium enterprises, focus on financial literacy and
    sustainability, build strategic partnerships with business sectors
3   climate change/sustainability: strengthen literacy and skills of the public and business
    sectors, strengthen environmental education services in GWS
4   intercultural understanding: promote cultural harmony and dialogue in GWS, develop
    graduates as global citizens, focus on Indigenous graduate attributes.

Academic Programs
UWS has a dual focus on opportunity and excellence, with programs aimed at encouraging
students who have a range of academic and life experiences to excel by:
       encouraging students to enrol in advanced degree programs and a range of courses
        which have high academic entry requirements such as medicine, law, advanced
        business, advanced science, advanced nursing, advanced arts and other advanced
        programs across a range of degrees
       encouraging students to enrol in a wide range of university programs and to strive for
        excellence in undergraduate and post graduate study
       encouraging potential students who may have had social, educational or economic
        disadvantages to achieve success through alternative pathways to university and
        appropriate support – such as through UWS College diploma programs; Badanami
        alternative Indigenous student pathways, recognition of prior learning and articulation
        arrangements with TAFE as well as through support programs once they come to UWS
        such as the PASS (Peer Assisted Study Sessions) program.

Organisational Strength
After a decade of restructuring and integration of administration, services and academic units,
UWS has a purposeful strategy to develop its organisational capacity and improve its financial




                                           Page 13
position to support learning and teaching and research. The Making the Difference strategy
focuses on:
     a comprehensive all of institution staffing strategy – Our People 2015
     building robust international partnerships and enrolments
     the Campus Development Strategy to leverage land holdings to increase income;
     a robust rolling capital planning process in which educational briefs are developed to
        ensure propose works are consistent with UWS’s overarching strategic priorities; and
     building productive relationships with alumni and sponsors through the Development
        Plan

International Framework
A research-led university serving the Western Sydney community must be international in its
scope and outlook. UWS students originate from more than 170 different national backgrounds.
Nearly half of the Australian students are from non English-speaking backgrounds – the children
of migrants to Australia and about 10% of students are Muslims. Internationalisation at UWS
seeks to build on this enormous cultural, linguistic, religious and ethnic diversity.

An International Framework 2009-2013 has been adopted, with seven areas of focus: curricula,
research, institutional linkages, student mobility, on-shore students, off-shore programs and
commercial opportunities. Each has quantitative and qualitative targets and strategies to
achieve these goals. By 2015, UWS aims to: increase its on-shore international student
numbers, increase the number of its students undertaking an overseas exchange program by
300%, develop significant in depth linkages in Indonesia, Vietnam, China and the Middle East
and develop a small number of high quality offshore programs with partner universities.


2.3.       Changes to the University's Mission
2.3.1.       The Commonwealth acknowledges that the University may adjust its mission from
             time to time. The University agrees that it will give the Commonwealth notice in
             writing in advance of:
             a. any significant changes that it proposes to make to the Mission during the term
                of the Compact; or
             b. any significant changes that it intends to make to its activities that could affect
                either or both of the content and the practical application of its Mission.
2.3.2.       If the Commonwealth receives notice from the University under clause 2.3.1 and
             considers that the proposed changes would require a change to this Compact, the
             Commonwealth will notify the University of this in writing and will consult with the
             University accordingly.




                                            Page 14
PART TWO

           The Minister for Tertiary Education, Skills, Jobs and Workplace Relations, with
           assistance from DEEWR, has Commonwealth responsibility for the matters set out
           in this Part Two of the Compact.

3.         TEACHING AND LEARNING

3.1.       Quality

Quality: Commonwealth objectives
3.1.1.         A focus on teaching and learning quality underpins the Commonwealth’s vision for
               Australia to be one of the most highly educated and skilled nations in the world.
3.1.2.         A focus on quality is an essential element of a system where funding is driven by
               student choice, and is essential for ensuring that the Commonwealth’s participation
               and social inclusion ambitions are achieved without a risk to quality.
3.1.3.         The Commonwealth has made a commitment to provide more autonomy to
               universities through the removal of funding caps on Commonwealth supported
               places. In turn, the Commonwealth expects the University to participate in new
               higher education quality arrangements which will be overseen by the Tertiary
               Education Quality and Standards Agency. The new arrangements are designed to
               support academic autonomy while ensuring that the achievement of minimum
               standards can be demonstrated and that there is a strong focus on enhancing the
               quality of teaching and learning while expansion of the higher education system
               meets national participation ambitions.
3.1.4.         The University also has obligations under the quality and accountability
               requirements in Division 19 of HESA. This Compact does not change those
               obligations.
Quality: University strategies

UWS Goals
Learning and Teaching is one of the three pillars of the university strategy Making the
Difference Strategic Plan2 2010-15 (MTD). The plan includes a commitment to create a superior
student learning experience by:
      1. Enabling students to study in their own time, supported by ICT-enabled learning
          resources;
      2. Creating a first year experience that optimises retention and success;
      3. Implementing a comprehensive Indigenous education strategy (see relevant section);
      4. Developing staff capacity for high quality teaching (see relevant section);
      5. Embedding engaged learning in every program;
      6. Creating pathways that attract talented students from diverse backgrounds;
      7. Ensuring students achieve the highest possible academic standards.
The University’s priorities align with those of the Government. Specifically:
     increased numbers of graduates;

           2
               http://www.uws.edu.au/strategy_and_planning




                                                    Page 15
          increased participation and success for low SES and Indigenous students;
          improved student satisfaction;
          ensuring and improving quality.

UWS Measures & Targets
The relationship between the Universitiy goals, its key measures and targets to be achieved
over the life of the Compact are outlined below:

               Goal                                           Indicators                                           Target
    ICT-enabled learning                              Access to ICT-based                              100% of units to have vUWS
                                                      resources & student                              sites and student
                                                      feedback                                         satisfaction rating on this
    Optimise retention &                                                                               area of 3.8/5 or greater
    success                                           Commencing bachelor
                                                      student retention                                Improve overall retention by
                                                                                                       3% to 84.5% by 2015. This
    Student Centred Learning &                        Overall student satisfaction                     will place UWS in the top
    Support                                           on UWS Student                                   1/3rd of the sector.
                                                      Satisfaction Survey,
                                                      Commencing Student                               Mean performance rating of
                                                      Survey and Student                               3.8/5 (70% explicit
                                                      Feedback on Units Survey                         satisfaction) or above4
    Engaged Learning
    Embed engaged learning in                         Count of engaged learning
    every program.                                    units3 in each program

    Pathways for a diverse                                                                             At least one engaged
    range of students                                 Benchmarked access rates                         learning unit in every
    Create pathways that attract                          Overall                                     program
    talented students from diverse                        LSES
    backgrounds.                                          Indigenous
                                                          VET                                         To be in the top 1/3rd of
                                                                                                       Australian universities by
                                                                                                       2015. This will require UWS
    Ensure students achieve                           GDS results on                                   to increase LSES
    high learning standards                           employability and/ or                            participation rates from
                                                      further study                                    22.1% to 23.5% and
                                                                                                       Indigenous students by 10%
                                                                                                       per annum over the same
                                                                                                       period. UWS already has
                                                                                                       one of the highest
                                                                                                       percentages of VET
                                                                                                       students in the sector.

                                                                                                       To be positioned at the
                                                                                                       sector average on these

3
   At UWS engaged learning includes Units of study that involve field work, camps, etc; connected classrooms; site visits or video versions of these;
international placements; local work placements; real world case-based learning (e.g. the medical program’s cases on Indigenous diabetes in GWS);
community service; simulations of real world situations; and productions that are shown to the public
4
   This criterion is set because it indicates that more students have marked agree, strongly agree or neutral than disagree or strongly disagree on the
five point Lickert scale used in all UWS surveys (1 – low to 5 – high). It should be noted that UWS benchmarking indicates that students tend to rate
performance much lower on surveys than importance and that, in this context, achieving an average performance rating of 3.8/5 is significant.




                                                                    Page 16
                                                                                              indicators


In addition, the university tracks performance on specific items that relate to the initiatives and
services known to positively influence the above outcomes

Strategies to achieve these goals

These strategies are identified in the UWS Learning and Teaching Plan, with more detail
provided in the UWS AUQA Cycle 2 portfolio. They include:

         Ensuring the quality of course design through alignment with the University Graduate
          attribute, as well as key external benchmarks (including Industry accreditation
          standards), and research on what engages students in effective learning
         Ensuring Student Learning Guides provide effective advice about Unit objectives,
          design, and assessment requirements, as well as reference material and support
          arrangements available to students
         Establishing an integrated system of first year coordination and advising;
         Increasing the use of peer assistance;
         Exposing first year students to our best teachers;
         Building academic writing and study skills support into core units;
         Building maths support into relevant programs for students who need assistance;
         Implementing the learning and teaching aspects of the Disability Action Plan5;
         Establishing transition strategies for students entering via VET and UWSCollege6
          pathways.

Quality Tracking and Improvement

The UWS Tracking and Improvement System for Learning and Teaching (TILT) is used to
monitor and review improvement performance against targets. The UWS Annual Course
Reports give specific diagnostic data down to the unit of study level. The College action plans
on these results specify what is being done to address agreed improvement priorities.


The TILT system is featured on the AUQA good practice database and has been the subject of
a wide range of national and international consultancies from other universities and systems.
Full details of how the system operates and reports drawn from the system are available on the
Office of Planning and Quality Website at:
http://www.uws.edu.au/opq/planning_and_quality/tracking_and_improving_performance


3.2.      Equity

Equity: Commonwealth objectives




5
  http://www.uws.edu.au/__data/assets/pdf_file/0003/54939/DAP_2009-2013_Final_Presentation_to_Executive.pdf
6 http://www.uwscollege.edu.au/




                                                              Page 17
3.2.1.            The Commonwealth is committed to a fair and equitable higher education system that
                  provides equal opportunity for people of all backgrounds to participate to their full
                  potential and the support to do so.
3.2.2.            In particular, the Commonwealth has an ambition that by 2020, 20 per cent of higher
                  education enrolments at the undergraduate level will be people from low socio-
                  economic status (SES) backgrounds.
3.2.3.            The Commonwealth is also committed to enhancing participation and outcomes for
                  Aboriginal and Torres Strait Islander people in higher education.
3.2.4.            The Commonwealth funds a range of programs to encourage and support access to
                  and participation in higher education by people from low SES backgrounds,
                  Aboriginal and Torres Strait Islander people and other under-represented groups,
                  including the Higher Education Loan Program and Student Income Support.
3.2.5.            The Commonwealth expects all universities to play a part in meeting the
                  Commonwealth's higher education participation ambitions, consistent with the
                  objectives and regulatory requirements of specific equity programs and income
                  support measures.
3.2.6.            The Commonwealth will monitor the University’s equity performance through the
                  existing reporting requirements attached to individual programs. The University’s
                  performance in meeting equity objectives will also be linked with teaching and
                  learning Performance Funding targets, as specified in the table under paragraph 4.14
                  of this Compact.
3.2.7.            Universities have obligations under the fairness requirements in Division 19 of HESA.
                  This Compact does not change those obligations

Equity: University strategies

UWS has a continuing focus and commitment to increasing education opportunities and helping
to close the gap in education7 and employment for those from Greater Western Sydney.

In terms of performance:
     this university has the most low SES students of any university in the country 8
     over 50% of UWS students are the first of their family to attend university (neither parent
       has a degree)
     our school and community engagement programs play a key role in building educational
       outcomes and aspirations in Greater Western Sydney - a region with significant numbers
       of low SES students and where participation levels in higher education which are well
       below the rest of Sydney
     the success and retention rates for low SES students at UWS are equal to, or better than
       the general student cohort.

This focus is reflected in:
     the UWS Making the Difference Strategy (MTD)
     KPIs related to continuing to increase the number and percentage of low SES and
        Indigenous students associated with the MTD;

7
    The Greater Western Sydney Region has low participation in higher education – 3.2% vs 5.3% rest of Sydney (2006 Census)
8
    DEEWR data on low SES HEPPP funding 2010




                                                                  Page 18
       plans and programs regarding schools engagement, community engagement,
        Indigenous programs, First Year Experience, VET pathways and support while at
        university.

Key Performance Indicator: Widening Participation - 2015 target:
    To increase the number of Low SES students to over 8,300 which would be equal to a
    participation rate of 23.5% (using the post code definition). This would place UWS in the top
    quarter of the sector.

Schools Engagement Strategy

UWS has led the way among Australian universities with a whole-of-institution strategic plan for
schools engagement. This plan includes a focus on opportunities for low SES and
disadvantaged students.

The UWS Schools’ strategy and its supporting action plans were developed in consultation with
the ongoing UWS Schools Reference Group which includes leaders across all of the Greater
Western Sydney school sector – state, independent and Catholic schools.

Each year, over 11,000 school students participate in hands-on academic enrichment, tutoring
or mentoring activities by UWS and more than 800 UWS students and staff from over 30
different areas of the University contribute to their learning. UWS has direct partnership
involvement with over 400 schools and over 900 teachers and staff from the government,
Catholic and Independent school sectors.

These activities enrich learning for high achievers but are also designed to build the
engagement, confidence, skills and educational attainment of disadvantaged or disengaged
students and encourage students to undertake university study. Some of the major schools
engagement initiatives include:

     The Fast Forward program – which targets students who show potential for leadership and
      academic success, but may be at risk of dropping out of school. This has grown from 5 to 42
      schools in the program since 2004.

     The Indigenous Mentoring Program – which supports students through their final years of
      high school, goal setting and encouraging further study. It includes an induction day,
      motivational sessions, regular one-on-one mentoring, on-campus academic enrichment
      workshops and embedding of Indigenous knowledge and cultural awareness.

     Environmental education - with two Western Sydney Environmental Education Centres to
      run academic enrichment programs for senior high school science students

     Programs in gifted and talented education in partnership with the NSW Gifted and Talented
      Association.

     Lachlan Macquarie College partnership with the NSW Department of Education and
      Training –to build regional capacity in science, technology, engineering and mathematics,

     Other - Young Scientists Competition; Discover Science; Academic Speakers in Schools ;
      Whitlam Institute’s ‘What Matters?’ writing competition ; Brain Bee Challenge ; Refugee




                                              Page 19
   Action Support program.



Comprehensive VET articulation arrangements
 About 20% of UWS students enrol after completion of a VET qualification. This is a key
 participation strategy for low SES students and is facilitated by the engagement of a VET
 Relations Manager to coordinate the negotiation of over 400 articulation arrangements.


Support For Equity Group Students While at UWS

These programs include:
   1. Extensive financial assistance programs – emergency grants and loans, food and book
      vouchers and other welfare support - and scholarships
   2. Transition support resources, activities and programs, such as UniStep – which offers
      bridging programs in tertiary study orientation, academic writing, numeracy and
      mathematics
   3. A focus on the First Year Experience (FYE) through the development of an overall
      framework, Colleges to implement and report on strategies in this area and the
      establishment of a University FYE Advisory Group, a Maths and English Literacy
      program, defining the role of first year advisors, and identifying key indicators of
      students at risk,
   4. A Peer Assisted Student Study (PASS) program assisting over 2,000 students p.a.–
      where leading students help other students with their understanding of course content
      and study skills. Marks for students who attend four or more PASS sessions are
      significantly above other students.
   5. The UWS ASPIRE program which has over 40% of the students with a low SES
      background and gives students the opportunity to take part in more advanced academic
      programs.
Indigenous Students
In recognition of the unique Indigenous demography of Greater Western Sydney as well as the
fact that its campuses span the Darug, Gandangarra and Tharawal nations, UWS is committed
to exemplary practice in Indigenous education, employment and engagement.

UWS is embedding Indigenous education and knowledge of Indigenous Australians across the
University as a UWS Indigenous Graduate Attribute. UWS continues to improve Indigenous
education in terms of access, participation and success; engagement in high quality education
and research; and outcomes for Indigenous Australian students.

UWS has embraced strong commitments to improving outcomes for Indigenous Australians in a
range of high level and specific policy, strategy and action documents, including:
1.     A reconciliation statement
2.     The UWS Making the Difference Strategy commitment to implement a comprehensive
       Indigenous education strategy
3.     UWS Indigenous Education Policy which includes commitments to:
        a. Increase Indigenous undergraduate enrolment rates to levels commensurate with
            those of other Australians.
        b. Improve Indigenous undergraduate progression, success and completion rates to




                                          Page 20
             levels commensurate with those of other Australians.
          c. Increase Indigenous postgraduate enrolments rates to levels commensurate with
             those of other Australians.
          d. Improve Indigenous postgraduate progression and completion rates to levels
             commensurate with those of other Australians.
          e. Increase Indigenous research and increase Indigenous participation in governance
             of research.
          f. Ensure the inclusion of appropriate Indigenous content in curriculum across the
             University.
          g. Raise the prominence of Indigenous culture across the University.
          h. Increase Indigenous community engagement and outreach.
          i. Increase Indigenous participation in governance and decision making.
          j. Foster international Indigenous awareness and collaborative projects.
4.       The UWS Badanami Centre for Indigenous Education Strategic Plan:
5.       The UWS Learning and Teaching Plan which incorporates a comprehensive Indigenous
         education strategy:
              Implementing the UWS Indigenous Graduate Attribute through developed
                  Indigenous related content and units within UWS courses
              Developing modes of study and support structures that attract and retain
                  Indigenous students
              Expanding access for Indigenous people to UWS courses with enabling and
                  bridging pathways that improve overall performance
              Maximising employment for Indigenous students by engaged learning with
                  partners in business, community organisations and training organisations
              Further developing the Indigenous international partnerships to build Indigenous
                  knowledge for academic and research capacity
              Building the cultural competency of UWS staff to improve their professional
                  capacity.

Key programs and support include:
1.     Badanami Alternative Entry Program – which allows Indigenous students to enter a
       program of their choice based on a set of criteria developed by the associated College.
2.     Aboriginal Rural Education Program (AREP) – which includes two professional
       undergraduate degree courses offered in mixed mode and attracts Indigenous
       applicants from a variety of community organisations, government departments and
       rural/remote communities.
3.     Badanami Centre for Indigenous Education – which offers support, in collaboration with
       other areas of the University, to all Indigenous students across six campuses of the
       University, in particular to those from rural and isolated areas who attend AREP courses.



3.3.         Infrastructure

Infrastructure: Commonwealth objectives
3.3.1.        The Commonwealth is committed to the development of world class higher
              education infrastructure. A contemporary, technology rich, well designed and
              equipped campus environment has a positive influence on staff and student
              performance and satisfaction.




                                           Page 21
3.3.2.       While the responsibility for capital infrastructure development and maintenance
             rests with the University, the Commonwealth’s commitment is demonstrated
             through programs such as the Education Investment Fund. Universities also utilise
             Commonwealth Grant Scheme funding for capital works.
3.3.3.       The Commonwealth anticipates that the University will focus not only on
             developing new University-owned and operated buildings but also on optimising
             the use of existing facilities, refurbishing and adequately maintaining exisiting
             infrastructure, investing in e-learning and other information and communications
             technologies (ICT), and utilising space owned by, or shared with, other education
             providers.
 The Commonwealth will monitor the University's infrastructure programs, and their alignment
 with the Commonwealth's infrastructure objectives, through the Institutional Performance
 Portfolio Information Collection.

Infrastructure: University strategies

Development of the University’s physical assets is a key strategic issue for UWS, particularly in
a period of significant planned growth in student numbers. Meeting the infrastructure needs of
an additional planned 10,000 students by 2015 is a significant challenge. The single biggest
challenge in this domain, and one which may severely inhibit the University’s growth and
widening participation aspirations, is the lack of sufficient and predictable capital funding both
for new works and refurbishments.

The Board of Trustees has established Strategic Priorities for 2010-2015, including:
    A commitment to implementing 5 year financial and capital plans with a 3 year rolling
     budget framework
    All campuses to be growth campuses with expanding academic offerings, subject to
     student demand and financial viability and maximise the use of e-technology between the
     sites;
    We will plan, design and resource our campuses to create a safe and welcoming
     environment;
    We will use our teaching facilities more creatively, profitably and cost effectively in
     preference to building.
In addition, while student feedback on the quality and amenity of campuses continues to be
positive, the University has a commitment to continuous improvement in this area.

Campus Planning
Campus planning provides a strategic framework in the form of master plans for the
development of each campus. These plans are developed through assessments of the existing
campus environments and through consultation with students and staff of the campus and
relevant external stakeholders. The master plans enable a consistent and considered approach
to the positioning of new buildings, roads, services, pedestrian links and open spaces. The
master plans are living documents and continue to change over time.
Master plans for Campbelltown, Parramatta and Penrith were completed in 2007. Master
planning for the Bankstown campus was finalised in the first half of 2009. The master planning
for Hawkesbury campus commenced in 2010 and will be completed in 2011.




                                            Page 22
Parramatta campus expansion strategy - involves complex negotiations with multiple
departments and agencies within the NSW Government to broker an arrangement to secure
lands adjoining the Parramatta campus.
Bankstown campus/acquisitions study - A number of options to realign land holdings and
expand the Bankstown campus have been investigated over the course of the year, including
an adjacent site owned by Heatcraft, and possible land swaps with adjacent land owners.
Expansion of UWS College - funding has been sought from Government for expansion to sites
in Lithgow, Bankstown and Campbelltown to enable significant growth in student numbers to
10,000.
Student residential accommodation - the university completed new student residential
accommodation at the Campbelltown (109 beds) and Penrith (195 beds) campuses and
refurbished existing accommodation on the Hawkesbury (29 villas) campus in 2010. The
University is seeking financial support under the National Rental Affordability Scheme (NRAS )
to meet further projected demand for an additional 420 beds Demand was projected by
consultants Hill PDA.
Hawkesbury – the University is seeking funding to enable the development of a greenhouse
research precinct.

Commercial Property - the university is taking steps to ensure a more strategic approach to the
management of commercial leases and licences.

Capital Works and Facilities

The Capital Works and Facilities Directorate is closely integrated to the University Executive
(VC, DVCs, and Executive Deans) and Campus Development Unit in strategic asset planning
for the future of the University’s infrastructure.

A primary objective is to continually improve learning/research spaces through targeted
development and delivery of the Capital Plan. The Capital Plan is reviewed quarterly and
updated in line with the changing business requirements of the University. The capital priorities
within the Capital Plan reflect the Board of Trustees’ Strategic Priorities 2015, with focus on
students, student services and teaching and learning spaces. The provision of cutting edge
facilities have been programmed, and include initiatives such as: the systematic upgrade and
refurbishment of lecture theatres across all campuses; installation/upgrade of superior
laboratory facilities (many with PC2 capabilities); the introduction of informal learning commons
for use as dictated by students’ requirements; and new builds and adaptive reuse of buildings to
meet the growth requirements of the increasing student population.

Infrastructure projects planned for 2011-14 which have a particular focus on improved learning,
teaching and research include:
     Common lecture theatres, tutorial rooms, general laboratory upgrades across all
        campuses
     Consolidation and creation of a new Penrith Library facility
     Upgrades to Bankstown Library
     Research protection projects
     Continuing refurbishments and improvements to teaching and learning spaces on
        campuses including: facilities for School of Biomedical Science and Personal




                                           Page 23
       Development, Health and Physical Education at Campbelltown campus, College of
       Business and Law at Bankstown campus, Spaces for nursing at Hawkesbury campus
       and flat floor/tutorial rooms at Penrith campus.
      Additional Student Accommodation – at Bankstown, Hawkesbury and Penrith campuses.

ICT Infrastructure
UWS established a Learning Spaces & Technologies Working Group in 2009 to develop
standards teaching spaces across our campuses. The Working Group includes academic staff,
professional staff from academic support, capital works & facilities and information technology
and student representation. It focuses on the student experience from a range of perspectives
including building design and fitout and the educational technology deployed in teaching areas.
An important deliverable has been a “Teaching Technology Toolkit” as a base standard for
teaching spaces.
This has been complemented by a recurrent budget allocation ($1.9M in 2011/12/13) to fund a
rolling upgrade of the technology installed in our 46 lecture theatres and 300+ flat floor teaching
spaces. Over time, this will sustain quality teaching technology in these spaces which accord
with contemporary technical standards (including networked PC, data projection, basic sound
equipment, telephone services, a simple touch screen panel, an electronic whiteboard and
lecture capture capability stored as podcasts for later retrieval).
In 2011, the University has allocated over $1M to upgrade our already expansive WiFi network.
This will address a number of black spots and provide improved wireless performance in high
density areas where students converge.
This will complement a number of projects reliant on expanded access including:
     A trial of laptops for students in conjunction with Acer and Telstra in 3G/WiFi roaming
        environments;
     Use of iPods as a collaborative device for staff within the School of Education.

Infrastructure upgrades and backlog maintenance remediation
In order to maintain high level presentation standards for the campuses and extend the life of
facilities, all campus developments are supported by a comprehensive program of infrastructure
renewal, backlog maintenance, preventative maintenance, cleaning and grounds maintenance,
with a focus on the priority of the student experience.

The Infrastructure Renewal Program - involves over 75 projects which are crucial to achieving
and maintaining compliance of University assets with standards and legislation. They include:
    identification/rectification of OH&S trips, slips and falls on paving and access ways
    equitable access solutions
    critical power supply augmentation
    asbestos (and other Hazmat) removal
    replacement of Fire Indicator Panels and other fire safety compliance upgrades and
       issues
    renewal and installation of new energy efficient air-conditioning systems
    sustainability initiatives such as water reuse and solar energy generation and
    Infrastructure Renewal also provides funding for statutory compliance issues including
       OH&S upgrades and disability access and fire safety.

Backlog Asset Remediation - A detailed 2009 audit of the University’s assets determined the
extent of backlog maintenance and a three year rolling program has been developed with
teaching spaces, classrooms, laboratories and libraries given priority.




                                            Page 24
Maintenance Program - this program was overhauled in 2009 to consolidate works and
contracts to provide a comprehensive maintenance program across the campus network.
Consistent quality standards and cost efficiency are beneficial outcomes of this new approach.
A monthly performance review on each preventative maintenance contract is analysed in
relation to job completion rates, and is used to monitor their performance and the effectiveness
of the contracts. Detailed monthly reports are also compiled on the top maintenance issues
(roof and gutters upgrades and repairs, research protection, roads and car parks, external
lighting, fire panel upgrades, emergency exit light upgrades and HVAC upgrades), which
highlight potential risks, building by building, campus by campus and allow planning for
remediation through the maintenance program or the Capital Plan projects.

Campus teams also monitor and manage each campus and have significant local knowledge
about the performance of the asset in all types of conditions i.e. storms, extreme heat and high
student load. Information from Campus Managers and maintenance contractors, informs
priorities relating to campus upgrades during the detailed development of annual budgets.

TEFMA Space Planning Guidelines and TEFMA benchmarking methodologies are used by the
University in the planning, delivery and monitoring of the Capital Plan and maintenance budget.

The University’s facilities management system, ArchibusFM™, is an invaluable facility and asset
management tool, which is part of an ongoing development program in partnership with the
provider (ICAD) to better align to the University’s requirements. An in-house geographical
information system, UWSGIS, has been developed to assist with the tracking and monitoring of
University assets, as well as to assist with space planning requirements.


3.4.       Student enrolments

Commonwealth objectives
 3.4.1.      The Commonwealth is committed to the expansion of a high quality higher
             education sector, to provide opportunities for all capable people to participate to
             their full potential.
 3.4.2.      An expanded higher education sector will educate the graduates needed by an
             economy based on knowledge, skills and innovation.
 3.4.3.      The Commonwealth has announced its ambition for growth in higher education
             attainment, so that by 2025, 40 per cent of all 25 to 34 year olds will hold a
             qualification at bachelor level or above.
University student enrolment planning

The University plans to continue to increase steadily the number of commencing CGS students
by an aggregate 2.5% each year. This increase is in response to continuing improvements in
demand (first preferences increased by 16% in the past five years) as well as an anticipated
increase in demand supported by the lifting of the over-enrolment cap in 2012.

In 2010 the level of over-enrolment at UWS was in excess of the 10% cap at just over 16%. For
2011 the level of over enrolment is expected to be close to 25%. In 2012 this will increase to
over 30% when the cap is lifted and in 2013 it is projected to be 35%, based on the University’s




                                           Page 25
current plans.

This growth in student numbers is distributed across all clusters, with the strongest projected
growth for 2011 being in the Humanities and Mathematics and Statistics, Behavioural Science,
Social Studies, Computing and Other Health clusters. The Mathematics, Statistics cluster is
projected to be the largest in 2011 with over 27% of the total CGS load plus it will be nearly 50%
over enrolled against its 2011 load target.

Main Course Changes
The main planned course changes from 2010 through to 2013 are:

College of Business and Law
    The transfer in 2011 of approximately 200 commencing EFTSL in Business from the
      Parramatta campus to Bankstown. In the next few years over 450 EFTSL in Business
      is planned to be taught at Bankstown.

College of Health Science
    The new combined Bachelor/Masters programs in Occupational Therapy;
      Physiotherapy, Podiatry and Traditional Chinese Medicine commenced in 2010 with a
      larger intake than the courses they have replaced. In particular, the demand for
      Physiotherapy was very strong and this has continued in 2011.
    These new courses will require a shift in undergraduate load to postgraduate load from
      2013. Therefore, in 2011/2012, negotiations will need to commence to shift places from
      undergraduate to postgraduate to accommodate in 2013 the new degree structure of
      these courses.
    Science, technology and engineering student numbers are expected to increase by over
      50% in the next few years, with major expansion sought for Parramatta campus in
      science related students. This has already started with a 50% increase in commencing
      science related load at Parramatta in 2010.

UWS College – foundation and pathways
   The move to the Nirimba campus was completed in 2009 and the UWS College now has
     a strong presence at this campus in its provision of Academic Pathways Programs.
   UWS College has grown from 290 places in 2009, to 500 in 2010 and this is projected to
     increase to just under 600 EFTSL in 2011, due to expansion across all of its diploma
     courses.
   UWS is seeking funding from the Structural Adjustment Fund to enable significant
     expansion of the successful UWS College model to enable it to increase to 10,000
     students by 2015 – located at new facilities to be built at the current Nirimba (Quakers
     Hill) campus and at Bankstown, Campbelltown and Lithgow.

International Students
     International on shore student load increased again in 2010, however, a drop in total
       international on shore student numbers is now predicted for at least the next three years
       due to a downturn in the number of international students seeking admission to
       Australian universities along with changes in Australian migration policy. 2011.
     UWS had planned to increase international students to over 4,000 EFTSL by 2015;
       however, in the current environment this is now likely to take longer.

Domestic Postgraduate Students




                                           Page 26
         Commencing domestic fee-paying postgraduate coursework load increased in 2010 for
          the first time in a number of years and further increases are projected over the next few
          years.
         The aim is for a continued increase in domestic fee paying postgraduate coursework
          load of 5% p.a. over the next few years to 2015.
         Domestic Higher Degree Research (HDR) students increased by over 20% in 2010 and
          UWS plans a further 5% annual growth in domestic HDR students each year to 2015.

Total Students
    The aim is to continue to build total student numbers from around 37,000 (actual not
       FTE) in 2010 to 45,000 by 2015 and over 50,000 by 2020.




4.            PERFORMANCE FUNDING

Commonwealth objectives
4.1          Higher education Performance Funding will provide incentives for universities to
             improve outcomes for students.
4.2          To be eligible for Performance Funding, the University must:
             (i) be a Table A provider (see paragraph 30-1(1)(a)(i) of the Act); and

             (ii) be a provider for which the Minister has allocated a number of Commonwealth
                 supported places to the provider for that year under section 30-10 (see
                 paragraph 30-1(1)(b) of the Act); and
             (iii) be a provider which has entered into a funding agreement with the
                 Commonwealth under section 30-25 in respect of a period that includes that year
                 (this being the 2011-2013 Compact).
4.3          Performance Funding has two components:
             (i) Facilitation Funding; and

             (ii) Reward Funding for achieving university performance targets

Facilitation Funding
4.4          Facilitation Funding acknowledges both the diverse missions of universities and the
             commitment to the Australian Government’s learning and teaching goals.
4.5          The Australian Government will provide Facilitation Funding to universities
             commencing in 2011.
4.6          Facilitation Funding will be paid as a formula driven share of the available funding.
             Each university’s Facilitation Funding payment will be calculated on their proportional
             share of Commonwealth Grant Scheme Basic Grant Amount (section 33-5 of the
             Act) and the Grants to Support National Institutes specified in the Other Grants




                                              Page 27
         Guidelines (item 4 of subsection 41-10 of the Act). Refer to the Performance Funding
         Technical Guidelines for further details.
4.7      As a condition of the Facilitation Funding component of Performance Funding, in
         accordance with this agreement, the University must:
         (i) inform the Australian Government of strategies and goals for achieving the
             University’s teaching and learning mission described under clauses 3.1, 3.2 and
             3.4; and
         (ii) agree to the performance targets relating to specific Australian Government
             goals contained in clause 4.14.
4.8      Once a 2011-2013 Compact has been agreed, the University will be paid the 2011
         Facilitation Funding amount, plus any indexation, each year of the Compact period.
4.9      The Commonwealth and the University agree to annual review, under Section 9 of
         this Compact, of the effectiveness of implementation of the strategies and goals for
         achieving the University’s teaching and learning mission described under clauses
         3.1, 3.2 and 3.4.
Reward Funding
4.10     From 2012, the Australian Government will introduce Reward Funding for
         universities that achieve performance targets.
4.11     As a condition of the Reward Funding component of Performance Funding, in
         accordance with this agreement, the University must:
         (i) agree performance targets as outlined in clause 4.14;

         (ii) supply performance data to the Commonwealth for relevant indicators as per the
             requirements set out in section 2 of the Performance Funding Technical
             Guidelines; and
         (iii) achieve the relevant targets as outlined in clause 4.14.

4.12     Each university’s maximum possible Reward Funding payment will be calculated on
         their proportional share of Commonwealth Grant Scheme Basic Grant Amount,
         consistent with the focus of Performance Funding being on improvement of teaching
         and learning.
HESA Funding Agreement
4.13     This section 4, together with the terms and conditions set out at Attachment D to this
         Compact, constitute the HESA Funding Agreement for the provision of Performance
         Funding to the University.

University performance targets
4.14     The University’s performance targets are in the table below.
         (i) Performance targets refer to the year of payment.




                                          Page 28
(ii) Progress targets represent progress towards achievement of aspirational goals.
   Reward Funding for achievement against the 2014 and 2015 progress targets
   and aspirational goals would be the subject of a future Compact.




                               Page 29
University performance categories and targets

Performance Category 1: Participation and Social Inclusion
Performance indicator 1A: Proportion of domestic undergraduates who are from a low SES
                              background.
Baseline for improvement target: 19.13% (2009 data)


                          2012                    2013                   2014                   2015
                     Reward Payment          Reward Payment         Progress target        Progress target
                      (target for 2011           (target for 2012   (target for 2013           (target for 2014
                          students)                  students)          students)                  students)

 Excellence Target       18.36%                     18.36%

 Improvement
                           N/A                        N/A                N/A                        N/A
 Target

 Outcome


Performance indicator 1B: Proportion of domestic undergraduate students who are Indigenous
Baseline for improvement target: 1.06% (average of 2008/09 data)


                                      2012                                          2013
                                 Reward Payment                                Reward Payment
                             (target for 2011 students)                    (target for 2012 students)

 Improvement
                                         1.12%                                         1.23%
 Target

 Outcome




                                                  Page 30
University performance categories and targets

Performance Category 2: Student Experience
Performance indicator 2A: Domestic undergraduate satisfaction with teaching
 (Measured using data from the Australian Graduate Survey – Course Experience
 Questionnaire (CEQ) [Good Teaching Scale and Overall Satisfaction Item])

                                        2012                                    2013
                                   Reward Payment                          Reward Payment
 Participation                            N/A                     Participate in 2013 CEQ* (2012 final
                                                                  year students) to establish baseline
                                                                               performance

 Outcome                                  N/A


* the 2012 CEQ report refers to students whose final year of study was in 2011 and who participated in
the CEQ survey in 2012 and where performance was reported in 2013.


Performance indicator 2B: Domestic undergraduate experience
 (Measured using data from the University Experience Survey [UES])

                                        2012                                    2013
                                   Reward Payment                          Reward Payment
 Participation                            N/A                    Participate in the development of the
                                                                       UES to establish baseline
                                                                              performance

 Outcome                                  N/A




                                                Page 31
University performance categories and targets

Performance Category 3: Quality of Learning Outcomes
Performance indicator 3A: Domestic undergraduate satisfaction with generic skills
 (Measured using data from the Australian Graduate Survey – Course Experience
 Questionnaire (CEQ) [Generic Skills Scale])

                                        2012                                    2013
                                   Reward Payment                          Reward Payment
 Participation                            N/A                     Participate in 2013 CEQ* (2012 final
                                                                  year students) to establish baseline
                                                                               performance

 Outcome                                  N/A


* the 2012 CEQ report refers to student whose final year of study was in 2011 and who participated in
the CEQ survey in 2012 and where performance was reported in 2013.


 Performance indicator 3B: Domestic undergraduate value added generic skills
 (Measured using data from the Collegiate Learning Assessment (CLA))

                                        2012                                    2013
                                   Reward Payment                          Reward Payment
 Participation                            N/A                     Participate in the development of the
                                                                        CLA to establish baseline
                                                                               performance

 Outcome                                  N/A


 Performance indicator 3C: Composite Teaching Quality Indicator (TQI)


                                        2012                                    2013
                                   Reward Payment                          Reward Payment
 Participation                            N/A                        Participate in development of
                                                                     composite indicator (including
                                                                  providing data) to establish baseline
                                                                              performance

 Outcome                                  N/A

4.15    Section 3 of the Performance Technical Funding Guidelines provides detailed
        information on the calculation and assessment of the above indicators. Section 4.2.2 of




                                                Page 32
       the Performance Funding Administrative Guidelines also provides information on
       implementation of new performance indicators.
4.16   The Australian Government undertakes to consult the higher education sector on the
       development and enhancement of indicators for the purposes of Performance Funding.




5.        COMMONWEALTH GRANT SCHEME
5.1      Attachment E contains the current HESA Funding Agreement for the provision of
         Commonwealth Grant Scheme funding to the University for the 2009 to 2011
         calendar years.
5.2      Attachment E becomes part of this Compact on execution of the Compact.
5.3      The Commonwealth anticipates that any future HESA Funding Agreements for the
         provision of Commonwealth Grant Scheme funding to the University will also form
         part of this Compact.




6.        OTHER FUNDING PROVIDED BY DEEWR
6.1      A list of key programs and funding allocations under which the Commonwealth,
         through DEEWR, provides support to the University is set out at Attachment A. This
         list may be updated from time to time, including if the University is successful in
         applying for any new and/or additional Commonwealth funding.




                                        Page 33
PART THREE

          The Minister for Innovation, Industry, Science and Research, with assistance from
          DIISR, has Commonwealth responsibility for the matters set out in this Part Three of
          the Compact.

7.        RESEARCH, RESEARCH TRAINING AND INNOVATION
          A range of research, research training and innovation performance indicators and
          targets are proposed in this section. Principal Performance Indicators are
          compulsory and institutions may voluntarily nominate Additional Performance
          Indicators and targets considered reflective of individual institutional goals.
          The Commonwealth recognises that universities have diverse missions and,
          consequently, targets and performance will vary between institutions. Universities
          should develop performance indicators and targets to reflect their individual
          performance and strategic direction.

7.1.      Research performance and research capability

Research performance and research capability: Commonwealth objectives
7.1.1.    The Commonwealth encourages excellence in research performance and the
          strengthening of research capability. Particular objectives are to:
          a.   progressively increase the number of research groups performing at world class
               levels, as measured by international performance benchmarks; and
          b.   promote collaboration, including collaboration between researchers within
               Australia and internationally.
7.1.2.    The Commonwealth, through DIISR, may provide funding to the University to assist
          the University achieve these Commonwealth research performance and research
          capability objectives, including through the Sustainable Research Excellence in
          Universities (SRE) program, the Research Infrastructure Block Grants (RIBG)
          scheme and, where relevant, the Collaborative Research Networks (CRN) program.
7.1.3.    If the University is provided with funding from DIISR under the Collaborative
          Research Networks (CRN) program, the University will be required to enter into a
          legally binding CRN funding agreement with DIISR. That legally binding agreement
          will not be made under HESA and will be separate from, but made within the
          framework of, this Compact from the date of its execution.
7.1.4.    Other Commonwealth funding to assist the University achieve these Commonwealth
          objectives may also be provided outside of this Compact by the Australian Research
          Council (ARC), the National Health and Medical Research Council (NHMRC), the
          International Science Linkages program, the Australia-India Strategic Research
          Fund, and research infrastructure funds such as the Education Infrastructure Fund,
          Super Science Initiative and the Cooperative Research Centres (CRC) program.




                                         Page 34
7.1.5.     The Commonwealth, through the ARC, will implement the Excellence in Research
           for Australia (ERA) initiative which will evaluate research undertaken at Australian
           universities against international benchmarks. ERA will be used in the future to
           assist in determining funding in some research programs (for example, the
           Sustainable Research Excellence in Universities [SRE]) administered by the
           Commonwealth.
Research performance and research capability: University strategies

The UWS Research Framework 2011-2015 establishes the strategy, actions, and key
performance measures required to achieve national and international recognition in selected
research areas. The key strategy will be to prioritise research investment in UWS’ highest-
performing research institutes and centres so as to ensure that they attain greater scale and
achieve research outcomes well-above world standard.
The Framework establishes the following objectives:
1. Increased research intensity and performance in selected areas achieving outcomes
well above world standard
1.1     Fund additional research staff in highly successful research concentrations
        Key performance measure: increase staff in these concentrations by 10% per annum
        from 2010 base
1.2     Establish a small number of research institutes in areas in which UWS achieves
        research outcomes well above world standard
        Key performance measure: one Institute in 2011 and four more by 2020
1.3     Prioritise UWS-funded research higher degree scholarships to areas of research
        strength, principally in institutes and centres.
1.4     Ensure strong investment in research infrastructure in areas of demonstrated quality
        and potential, principally in research institutes and centres.
2. Improve overall quality in research
2.1     Recruit high-quality academic staff through initiatives such as the research lectureships
        scheme to attract high quality early career researchers and to enable them to establish
        a research trajectory. Research lecturers will receive for three years a reduced
        teaching load and a research grant
        Key performance measures: six research lectureships to be awarded annually in
        university-wide competition; number of ARC postdoctoral fellowships secured by
        research lecturers; quality of journal publications and number of external research
        grants achieved by research lecturers to exceed UWS average
2.2     UWS internal grants will provide seed support for the development of research projects
        for which external funding will be sought.
        Key performance measure: percentage of seed grants that lead to successful external
        research grant applications to increase each year; return on investment in seed grants
2.3     Allocate UWS research funding through a competitive process requiring submissions
        from academic groups/units and annual reporting to University Executive on
        performance against proposed outcomes
        Key performance measure: percentage of groups/units achieving proposed outcomes
2.4     Strengthen links between Schools and research units
        Key performance measure: number of joint research projects, publications, and grant
        applications by staff from Schools and research units




                                           Page 35
3. Establish research partnerships
3.1    Support high-performing research concentrations to establish a network of partnerships
       with outstanding national and international concentrations in relevant areas.
       Key performance measure: number of productive international research visits; number
       and quality of external research concentrations with which international partnerships
       are formed
3.2     Target funding for ARC infrastructure grants, ARC Centres of Excellence, NHMRC
       Centres of Research Excellence, Cooperative Research centres, partnerships with
       industry and government.
       Key performance measure: ARC linkage income; research income in categories 2, 3,
       and 4

4. Provide a rich and stimulating environment for research students:
4.1   Increase the number of UWS research scholarships to attract more, and higher quality,
      students
      Key Performance Measure: Proportion of UWS HDR candidates who have stipend
      scholarships
4.2   Increase the number of honours scholarships to improve the flow of UWS
      undergraduates into research programs.
      Key Performance Measure: The number of Honours graduates from UWS that continue
      to HDR candidature.
4.3   Increase marketing of research activities to attract more international students with
      overseas scholarships.
      Key Performance Measure: The proportion of International HDR candidates
4.4   Support Indigenous research to increase Indigenous participation in research degree
      programs
      Key Performance Measure: The number of Indigenous HDR candidates
4.5   Provide state-of-the-art research facilities and support that attract research students of
      high ability.
      Key Performance Measure: PREQ indicators of “Overall Satisfaction, Intellectual
      Climate and Infrastructure”.
       Key performance measure: ARC linkage income research income in categories 2, 3,
       and 4.

The following research areas are targeted for substantial improvement over the next 5 years
based on the University’s research plan, the strategic needs of the region and the 2010 ERA
results:

                             ERA
 FoR Code                         Rationale for Improvement
                             2010
 11 – Biomedical &                  It is the University’s intention to development an Institute
                               2
 Clinical Health Sciences           for Public Health and Medicine based on the growing
                                    expertise and performance in the Health Services
                                    Outcomes (HSO) research group and in the School of
 1103 – Clinical Sciences      2    Medicine (SoM). The University has invested heavily in




                                          Page 36
                                           the HSO group and the researchers in the SoM are having
    1109 – Neurosciences             2     increased success in gaining external grants.
                                           In addition the College of Health and Science is
                                           developing a research concentration in Bioelectronics and
    1117 – Public Health &                 Neurosciences (BENS) which will feed into 1109.
                                     1
    Health Services
                                           Under 13 two areas of specialisation 1301 – Education
                                           Systems and 1303 – Specialist Studies in Education
                                           received a 3 rating and the University has invested further
    13 – Education                   2
                                           in these areas. The Australian average for this area is low
                                           - 2.2 .

                                           Among the related 4 digit codes 1604 – Human
                                           Geography was well rated (3) and on the way up due to
                                           investment. 1606 – Political Science rated 1, but this is the
    16 – Studies in Human
                                     2     field of the Centre for Citizenship & Public Policy which
    Society
                                           has recently had significant investment and should
                                           improve. In addition 1699 – Other Studies in Human
                                           Society rated 3. The Australian average is low - 2.5



Research performance and research capability: Performance indicators and targets
7.1.6.        The purpose of the research performance and research capability performance
              indicators and targets is to assist the University and Commonwealth monitor the
              University's progress against the Commonwealth's objectives and the University's
              strategies for research performance and research capability.
7.1.7.        The University will aim to meet the research performance and research capability
              performance indicators and targets set out in the following table.


Principal Performance Indicators                                                                      Target
                                                                                 Baseline9
(Required)                                                                                            201310
Number of disciplines, as defined by two-digit Fields of Research
                                                                                      11                14
(FoR), performing at world standard or above (3, 4 or 5)
Number of disciplines, as defined by four-digit FoR, performing at
                                                                                      18                21
world standards or above (3, 4 or 5)
Disciplines the university commits to demonstrating substantial
                                                                                                         3
improvement in as defined by two-digit FoR
Disciplines the university commits to demonstrating substantial
                                                                                                         3
improvement in as defined by four-digit FoR




9
  Baseline data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
Category 1 income is collected through the 2010 HERDC data collection but refers to income in 2009. Similarly, the
targets relate to the year in which the data is collected.
10
   Target refers to data collected in the previous year. For more information, see definition of baseline data.




                                                   Page 37
                                                            Progressive
       Principal Performance                           11                       Progressive              Target
                                           Baseline           Target
             Indicators                                                         Target 2012              201313
                                            (2009)             201112
             (Required)                                                            (2011)                (2012)
                                                               (2010)
Category 1 income ($M)                        9.26               10.40              11.60                13.00
Number of joint research grants with other universities and research organisations
          in Australia                        122                   130                140                 160
          Overseas                             40                   45                 50                   60
Number of jointly supervised PhDs with other universities and research organisations
          in Australia                         60                   65                 75                   85
          Overseas                             14                   20                 25                   30

Additional Performance Indicators                              Progressive        Progressive              Target
                                              Baseline
  (proposed by the University)                                 Target 2011        Target 2012               2013
Total Research Income per
                                             $20,639         $20,639            $22,169             $23,851
Academic FTE
ARC LP Income                                $2.24M          $2.20M             $2.50M              $2.50M
Category 2, 3 and 4 Income                   $6.64M          $6.30M             $7.00M              $7.75
Weighted Publications per Academic
                                             1.5             1.47               1.49                1.55
FTE




7.2.          Research training

Research training: Commonwealth objectives
7.2.1.        The Commonwealth encourages excellence in the provision of research training.
              Particular objectives are to:
              a.   Support research excellence and develop an internationally competitive
                   research workforce in Australia through high quality research training; and
              b.   Significantly increase the number of students completing higher degrees by
                   research over the next decade.
7.2.2.        The Commonwealth, through DIISR, may provide funding to the University to assist
              the University achieve these Commonwealth objectives, including through the
              Research Training Scheme (RTS), Australian Postgraduate Awards (APA), and
              International Postgraduate Research Scheme (IPRS).



11
   Baseline data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
Category 1 income is collected through the 2010 HERDC data collection but refers to income in 2009. Similarly, the
targets relate to the year in which the data is collected.
12
   Progressive target refers to data collected in the previous year. For more information, see definition of baseline
data.
13
   Target refers to data collected in the previous year. For more information, see definition of baseline data.




                                                     Page 38
7.2.3.     Other Commonwealth funding to assist the University achieve these Commonwealth
           objectives may also be provided outside of this Compact by the ARC, NHMRC,
           DEEWR and DIISR, for example through the Cooperative Research Centres (CRCs)
           program.
Research training: University strategies

The Research Framework guides the University’s ambitions for research training as measured
against performance. These include:
    • increases in Higher Degree Research (HDR) Load
    • the proportion of higher degree students in receipt of a competitive scholarship and
    • a strong reputation in quality research degree supervision.

HDR Load
HDR load has continued to increase since 2008, following the removal of a cap on RTS places
and the UWS introduction of opportunities for admission to HDR courses at any time during the
year.

Substantial UWS investment in additional stipend scholarships for both domestic and
international students ($4.5m in 2010), are anticipated to support continuing increases in
enrolments with a target set at 896 EFTSL by 2015. In 2010 the HDR load exceeded 580
EFTSL.

The proportion of HDR with stipend scholarships sits at 40% - with the university having set
itself a target of 50%.

For Indigenous HDR – UWS has an above average Indigenous HDR load – 2.94% with the
sector at 1.03% and a number of these candidates are supported with ARC Indigenous
Researcher Development grants.

Professionals and HDR - UWS recognises the importance of the national trend for mid-career
professionals to seek doctoral level education. Such candidates have much to offer academia
but may need programs to embed their knowledge and skills within the academy. UWS
provides course work units, where suitable, and supportive supervisory arrangements such as
the cohort model.

High Quality Research Training
UWS actively promotes high quality research training through practical programs designed to
enhance the research training experience. UWS research students have a managed first year
experience with a set of milestones that provide feedback to both student and supervisor.
These include:
  • A comprehensive on-line academic orientation program that ensures all candidates have a
    firm foundation to their studies.
  • Candidates must prove the viability of their proposal to an academic panel before
    continuing into the second year of enrolment.
  • In 2011 UWS will purchase Melbourne University’s research ethics blended learning
    module designed for HDR candidates.
  • All candidates have a panel of at least two academic supervisors. The principal supervisor
    holds qualifications at the level they are supervising, is an approved member of the
    Graduate Supervisor Register and has an acceptable level of research activity over the




                                           Page 39
     past three years.

The Research Training Experience
The supportive environment continues across the candidature:
  • Candidates are strongly encouraged to publish during candidature (27%) and funds are
      available for candidates presenting papers at conferences.
  • Practical workshops are conducted that cover topics relevant to candidates at all stages of
      their candidature, with a strong emphasis on writing skills.
  • Self moderated on-line modules offer continuing candidates practical help and exercises in
      the later stages of candidature.
  • UWS research students have a managed first year experience with a set of milestones
      providing feedback to both student and supervisor via the development of their Early
      Candidature Plan, undertaking Postgraduate Essentials web based training and achieving
      their Confirmation of Candidature.
The research training experience is monitored via the bi-annual Research Student Satisfaction
Survey. Recent results have seen improvement on many key indicators and the survey results
are used to inform policy development and practical change. Furthermore,
  • Strong research culture is championed at all levels of academic leadership, from
      participation in the national Three Minute Thesis competition to retreat days within Schools/
      Centres and College-wide student conferences.
  • Common structures across the University’s College’s ensure equity of access to resources,
      and strong policies embed good practice. Candidature Project Funds are available to all
      candidates and UWS’s resourcing policy was rated by the national student body CAPA in
      2010 as “five star”.
  • The newsletter “Footnotes” promotes opportunities and celebrates successes in research
      education.
An important aspect of the research education experience is supervisor quality. To this end the
university invests in supervision development and provision of resources, including access to
the latest data on research into higher education.
Quality assurance processes in HDR training have resulted in improved Postgraduate Research
Experience Questionnaire (PREQ) outcomes. In broad terms, UWS registers overall
satisfaction levels that have improved dramatically across the 2006-2009 period and is now
ahead of the sector average (87.8% in 2009, as opposed to 84.3% for the sector). Within the
measure of completions to load ratio, UWS has risen from 0.14 in 2001 to 0.23 in 2009, (sector
average 0.20). The 2009 Research Student Satisfaction Survey, conducted every two years by
UWS, showed improvements on all measures relating to HDR supervision and support.

Collaboration in Research Training
UWS has a Cotutelle policy enabling collaboration with international universities and has
graduated its first candidate under that arrangement with a further 2 candidates enrolled.
As a leader in the field, UWS is collaborating on the development of a research supervisor
collaborative program with six other universities (UNSW, UC, CQ, ECU, Ballarat and CSU).
UWS staff will be able to attend supervisor development programs at these universities and
they in turn can attend the UWS program. UWS will also be offering ACT universities a special
workshop on writing in 2011.
UWS has amended the processes for admitting new candidates, without compromising quality
control. Admissions are open at any time (not restricted to semesters) and the approval




                                            Page 40
process is monitored by the Research Studies Committee to ensure efficiency.
UWS offers a scholarship scheme to complement that offered by the Australian Government, to
increase the opportunities for UWS candidates (local and international).


Research training: Performance indicators and targets
7.2.4.        The purpose of the research training performance indicators and targets is to assist
              the University and Commonwealth monitor the University's progress against the
              Commonwealth's objectives and the University's strategies for research training.
7.2.5.        The University will aim to meet the research training performance indicators and
              targets set out in the following table.


  Principal Performance                                    Progressive
                                                                              Progressive              Target
        Indicators                        Baseline14         Target
                                                                              Target 2012              201316
        (Required)                                           201115
HDR Student load                          481             580                620                 680

HDR Student completions by level of degree
         Masters                                14               14                 14                    16
         Doctorates                             97              106                 110                  119


      Additional Performance
             Indicators                                   Progressive         Progressive              Target
                                           Baseline
     (May be proposed by the                              Target 2011         Target 2012               2013
            University)


Completions to Load ratio                     0.23              0.21               0.20                  0.20
PhD student attrition in first year          4.7%              2.0%               2.0%                   2.0%
% of PhD Students publishing                  27%               30%                33%                   36%
Postgraduate Research Experience Questionnaire (PREQ) Indicators
         Overall Satisfaction                 88%               89%                90%                   91%
         Intellectual Climate                 60%               63%                67%                   70%
         Infrastructure                       72%               74%                78%                   80%




14
   Baseline data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
Category 1 income is collected through the 2010 HERDC data collection but refers to income in 2009. Similarly, the
targets relate to the year in which the data is collected.
15
   Progressive target refers to data collected in the previous year. For more information, see definition of baseline
data.
16
   Target refers to data collected in the previous year. For more information, see definition of baseline data.




                                                     Page 41
 7.2.6.

7.3.         Innovation

Innovation: Commonwealth objectives
7.3.1        The Commonwealth encourages innovation and seeks to build an innovation system
             which contributes to economic growth and wellbeing by promoting links between
             Australian businesses, universities and publicly-funded research agencies.
7.3.2        The Commonwealth, through DIISR, may provide funding to the University to assist
             the University achieve this Commonwealth objective, including through the Joint
             Research Engagement (JRE) program. Details of any funding provided by DIISR to
             the University to encourage innovation are set out in Attachment B.
7.3.3        Other Commonwealth funding to assist the University to achieve this
             Commonwealth objective may also be provided outside of this Compact including
             through Commercialisation Australia, the CRC and Enterprise Connect programs,
             and by AusIndustry and the ARC.

Innovation: University strategies

UWS Innovation And Consulting manages UWS-developed intellectual property (IP),
commercialisation and consulting.

Key strategies in building a quality IP portfolio and growing commercial activity have included
strong engagement with high performing research areas within the University. This has
succeeded in raising awareness and capture of new opportunities for academics and increasing
commercially oriented activity. Our goal is to increase commercial income which will in turn
enable growth in research capacity.

The strategic framework for commercial engagement and growth is closely aligned with the
UWS Making the Difference strategy 2010-2015 and includes the following objectives for 2011:

        UWS Strategic Priority                               Objective

 1. Superior and Engaged            Develop and deliver IP management programs for
    Learning Experience             research supervisors and HDR students

                                    Contribute to IP “graduate attribute” through identification
                                    and delivery of opportunities for students

                                    Presentations on potential contribution of consulting to
                                    enrich teaching and research
 2. Focused, Relevant and           Identify key areas where applied research projects
    World Class Engaged             capacity and capability are demonstrated
    Research
                                    Provide support for development of research contracts
                                    which protect and manage UWS IP




                                           Page 42
                                  Enhanced processes for IP management

                                  Enhanced participation in IP Evaluation Panel process


 3. Build Organisational and      Effective management of IP funds to support IP
    Financial Strength            development
                                  Expansion, monitoring and review of flagship scientific
                                  equipment access strategy

                                  Effective implementation of expert witness project

                                  Selective approach to tender management focussing on
                                  identified key capability areas

                                  Development and implementation of communication
                                  strategy in support of IP management and commercial
                                  activity

                                  Increased level of business proposals with identified
                                  prospects in key areas

                                  Enhanced business intelligence

                                  Participation in broader UWS commercial initiatives


Innovation: Performance indicators and targets
7.3.4     The purpose of the innovation performance indicators and targets is to assist the
          University and Commonwealth monitor the University's progress against the
          Commonwealth's objectives and the University's strategies for innovation.
7.3.5     The University will aim to meet the innovation performance indicators and targets
          set out in the following table.




                                         Page 43
       Principal Performance                                   Progressive
                                                                                   Progressive            Target
             Indicators                       Baseline17         Target
                                                                                   Target 2012            201319
             (Required)                                           201118
                                             2009              2010                2011               2012
Category 3 research income                   2.94              2.25                3.00               3.25
(million)
Number of active collaborations20
and partnerships21 with industry
and other partners:
    in Australia                            76                80                  85                 90
    overseas                                18                20                  25                 30

    Principal Performance Information2223
                                                                                    Baseline
                     (Required)
Number of patent and plant breeder’s rights                   Filed = 1          Issued = 1        Held = 12
families filed, issued and held
Number of licences, options or assignments                    No. = 0                     Value($) = 0
(LOAs)24 executed and income derived
Number and value of research contracts                        No. = 22                    Value $1,572,472
executed (2009 data)
Investment in spin-out companies during the                   Investment ($) = 0          Value($) = 0
reporting year and nominal value of equity in
spin-outs based on last external
funding/liquidity event or entry cost

17
  Baseline data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
Category 1 income is collected through the 2010 HERDC data collection refers to income for 2009. Similarly, the
targets relate to the year in which the data is collected.
18
   Progressive target refers to data collected in the previous year. For more information, see definition of baseline
data.
19
   Target refers to data collected in the previous year. For more information, see definition of baseline data.
20
   Collaboration involves activities where two or more parties work together and each contributes resources such as
intellectual property, knowledge, money, personnel or equipment, to address a shared objective with a view of mutual
benefit
21
   Research and development collaborations with industry or other partners with a commercial intent: include active
ongoing research projects or partnerships activated through a written agreement (eg contract or signed letter of
intent) between the university and either Australian or overseas industry partners. Activities could include, joint
research/development projects with industry or arrangements with firms to commercialise research outcomes, other
non-teaching activities, or other collaborations).
22
   This set of performance information does not require targets. Universities will be asked to advise their baseline
performance and will report on their future performance in the context of the Institutional Performance Portfolio
Information Collection commencing in 2011. Patent and plant breeder right family refers to a group of patent or plant
breeder rights applications or grants emanating from a single filing. Note: this question only concerns patent and
plant breeder rights families, and is not in reference to families of other forms of registered IP (ie trade marks).
23
   Please use the definition of contracts and consultancies utilised in the National Survey of Research
Commercialisation (NSRC). A copy of the survey is available at this URL:
http://www.innovation.gov.au/Section/Innovation/Pages/TheNationalSurveyofResearchCommercialisation.aspx
24
   A LICENCE agreement formalises the transfer of technology between two parties, where the owner of the
technology (licensor) grants rights to the other parties (licensee). An OPTION agreement grants the potential
licensee a time period during which it may evaluate the technology and negotiate the terms of a licence agreement.
An option agreement is not constituted by an Option clause in a research agreement that grants rights to future
inventions, until an actual invention has occurred that is subject to that Option. An ASSIGNMENT agreement
conveys all right, title and interest in and to the licensed subject matter to the named assignee.




                                                    Page 44
7.3.6             The set of performance information on patents and other research
                  commercialisation activities does not require targets. Universities should advise their
                  baseline performance here. Annual reporting on future performance against these
                  indicators will be in the context of the Institutional Performance Portfolio Information
                  Collection commencing in 2011.


          Additional Performance                                      Progressive
                                                                                           Progressive          Target
      Indicators (May be proposed by                 Baseline25         Target
                                                                                           Target 2012          201327
               the University)                                           201126
    Examples of possible indicators
    include the number of contracts and
    grants awarded to support Category
    3 research income, Category 2 or 4
    income etc.




    7. FUNDING FOR RESEARCH AND RESEARCH TRAINING PROVIDED BY DIISR

    7.1           Attachment B sets out the University’s Commonwealth funding allocations for 2011
                  from Commonwealth research and research training programs administered by
                  DIISR. This list may be amended from time to time, including if the University is
                  successful in applying for any new and/or additional Commonwealth funding.




    25
       Baseline data is collected in 2010 but will generally refer to an earlier period. For example, the baseline for
    Category 1 income is collected through the 2010 HERDC data collection but refers to income in 2009. Similarly, the
    targets relate to the year in which the data is collected.
    26
       Progressive target refers to data collected in the previous year. For more information, see definition of baseline
    data.
    27
       Target refers to data collected in the previous year. For more information, see definition of baseline data.




                                                        Page 45
PART FOUR



8.1 COMPACT REVIEW
8.1     This Compact will be reviewed annually by both the Commonwealth and the
        University. This review will be a mechanism for considering progress made towards
        agreed goals outlined in this Compact. It will aim to ensure that the Commonwealth
        and the University will continue to focus on key objectives and strategies.
8.2     The review will create an opportunity to consider any developments that may have
        occurred in the previous year, and whether these may impact on the Compact or
        trigger a need to amend the Compact.
8.3     To facilitate this review the Commonwealth will produce an annual Institutional
        Performance Portfolio and the University agrees to contribute to the annual
        Institutional Performance Portfolio Information Collection (IPPIC). The
        Commonwealth will consult with the higher education sector on the information
        collection requirements and any issues arising from the IPPIC process.




                                       Page 46
PART FIVE

9. GENERAL PROVISIONS

9.1 Administration of the Compact by the Departments
9.1.1        DEEWR will administer Part Two of this Compact and DIISR will administer Part
             Three of this Compact, in accordance with their respective Ministers’ legislative
             responsibilities under the Administrative Arrangements Orders as in force from time
             to time. The other Parts of this Compact may be administered by one or both
             departments
9.1.2        In administering the Compact, employees of each Department will make decisions in
            accordance with any relevant instruments of delegation or authorisation in force from
            time to time.

9.2 Departmental Meetings and Liaison
9.2.1        Employees of the Departments will collaborate to streamline as far as practicable
             the Commonwealth’s interactions with the University.

9.3 Part 2-2 HESA Funding Agreements
9.3.1        To the extent that this Compact contains Part 2-2 HESA Funding Agreements, the
             University acknowledges that each such Part 2-2 HESA Funding Agreement is
             subject to specific legislative and other requirements and that the University will
             need to meet all such requirements.

9.4     Privacy, confidentiality and information sharing
9.4.1        Subject to clause 9.4.2 below, the University acknowledges and agrees that any
             information it provides to either DEEWR or DIISR for the purposes of this Compact,
             or for any Part 2-2 HESA Funding Agreement contained in this Compact, may be
             accessible under the Freedom of Information Act 1982 and may also be:
             a. published by the Commonwealth in any manner in accordance with any
             legislative requirement;
             b. used by a Department for any purpose of the Commonwealth, including
             dealings with other Commonwealth agencies;
             c. used in reporting to or answering questions from a Minister of State of the
             Commonwealth or a House or Committee of the Parliament of the Commonwealth;
             or
             d.   disclosed where the Commonwealth is required or permitted by law to do so.
9.4.2       The Commonwealth and the University agree to carry out their roles under this
            Compact in accordance with any obligations they have under the Privacy Act 1988 or
            any state or territory law relating to the protection of personal information.




                                            Page 47
9.4.3      The Commonwealth recognises that the University’s Confidential Information has
           commercial value to the University and may disadvantage the University if it is
           disclosed. Accordingly, the Commonwealth will not publish or otherwise disclose the
           University’s Confidential Information unless required by law to do so, or unless the
           University consents in writing prior to such disclosure.

9.5      Variation
9.5.1       Subject to clause 9.5.2 below, except for action that either the Commonwealth or the
           University is expressly authorised to take elsewhere in this Compact, any variation to
           this Compact is to be in writing and signed by the University's, and both of the
           Commonwealth’s Representatives.
9.5.2      A variation to:
           a.     any provision of Part Two only or to any Attachments to this Compact that arise
                  solely under a provision of Part Two must be in writing but needs only to be
                  signed by the Commonwealth's DEEWR Representative and the University.
           b.     any part of this Compact that forms part of a Part 2-2 HESA Funding Agreement
                  may only be made under this clause 9.5.2 if that funding agreement does not
                  contain variation provisions specific to that funding agreement;
           c.     any provision of Part Three only or to any Attachments to this Compact that
                  arise solely under a provision of Part Three must be in writing but needs only to
                  be signed by the Commonwealth's DIISR Representative and the University.
           Either DEEWR or DIISR as the case requires will send the other Department notice
           of any variation made in accordance with paragraph (a) to (c) above.

9.6     Notices
9.6.1      A party wishing to give notice under a provision of this Compact:
           a.     must do so by sending it to each of the other Representatives set out in
                  clause 9.6.3; and
           b.     must, if a response is required to the notice, set out the time in which the
                  response is to be given;
9.6.2      Notices required to be sent by the University to the Commonwealth under this
           Compact are to be sent to both the DEEWR and DIISR Representatives set out in
           clause 9.6.3.
9.6.3      The Representatives are:
           a.     University Representative

                  Ms Rhonda Hawkins
                  Deputy Vice Chancellor (Corporate Strategy and Services)
                  University of Western Sydney
                  PO Box1000
                  St Marys




                                              Page 48
                   NSW 1790
                   E: r.hawkins@uws.edu.au
                   T: (02) 9678 7819
                   F: (02)96787880

             b.    DEEWR Representative
                     Group Manager
                     Higher Education Group
                     Department of Education, Employment and Workplace Relations
                     GPO Box 9880
                     Canberra ACT 2601

                     OR
                     compacts@deewr.gov.au

             c.    DIISR Representative
                     Head of Division
                     Research Division
                     Department of Innovation, Industry, Science and Research
                     GPO Box 9839
                     Canberra ACT 2601

                     OR
                     compacts@innovation.gov.au

9.7     Termination/Transition Plan
9.7.1       If for any reason, either or both of the Commonwealth or the University reasonably
             believes that it is not possible to continue the operation of this Compact:
              a. The Commonwealth and/or the University, as the case requires, will give the
                   other notice of that belief;
              b. The Commonwealth and the University will negotiate in good faith to resolve
                   any issues in bringing this Compact to an end; and
              c. The Commonwealth and the University will implement an agreed transition out
                   plan to bring the Compact to an end.
9.7.2       Notwithstanding clause 9.7.1, if:
              a.     the University ceases to exist as a body corporate; or
              b.     the University ceases to be approved as a higher education provider under
                     HESA,
            the Commonwealth shall have the right to terminate this Compact immediately by
            giving the University Representative written notice.




                                                Page 49
9.7.3      Except to the extent of any rights the University has under a Part 2-2 HESA Funding
            Agreement contained in this Compact, the University is not entitled to compensation
            for any loss, damage or claim arising from or in connection to the early termination of
            this Compact by the Commonwealth.
9.7.4      These termination and transition out provisions are without prejudice to and do not
            alter any other rights or obligations of the Commonwealth and the University
            pursuant to their funding arrangements.
9.7.5       Rights and obligations of the Commonwealth and the University under the Funding
            Agreement at Attachment E that exist as at the date of termination of the Compact
            survive the termination of the Compact

9.8     Order of precedence
9.8.1       In this Compact:
              a. each HESA Funding Agreement contained in this Compact operates as a
                   separate agreement between the Minister for Tertiary Education, Skills, Jobs
                   and Workplace Relations and the University.
              b. In the event of an inconsistency between the terms of a HESA Funding
                    Agreement contained in this Compact and the Operational Provisions in this
                    Part Five, the term of the HESA Funding Agreement will prevail for the
                    purpose of that agreement.

9.9     Counterparts
9.9.1      This Compact may be signed in any number of counterparts and all counterparts
           together constitute one instrument.

9.10     Dictionary
9.10.1      In this Compact, unless the contrary intention appears:
            ‘Appropriation' means a law, or provision in a law, that authorises the expenditure of
            money by the Commonwealth.
            ‘DEEWR’ means the Commonwealth Department of Education, Employment and
            Workplace Relations or any successor.
            ‘Department’ means either or both of DEEWR or DIISR as the case requires.
            ‘DIISR’ means the Commonwealth Department of Innovation, Industry, Science and
            Research or any successor.
            ‘Tertiary Education Minister’ means the Minister administering Part 2-2 of HESA.
            ‘HESA’ means the Higher Education Support Act 2003 and includes any subordinate
            legislation or Ministerial determination made under that Act.
            ‘HESA Funding Agreement' means a funding agreement:




                                            Page 50
a.   that is made under section 30-25 of HESA by the Minister for Tertiary
     Education, Skills, Jobs and Workplace Relations and the University for the
     provision of a grant of funding to the University under Part 2-2 of HESA; and
b.   with which the University is required to comply under section 36-65 of HESA.
‘Institutional Performance Portfolio’ (IPP) is a report which provides an historical record of
a university's performance based on information provided by the university and an
analysis of the Higher Education Data Collections. An IPP will be prepared by the
Commonwealth for the University annually using the latest available data.
‘Institutional Performance Portfolio Information Collection’ (IPPIC) is a set of
Commonwealth instructions requesting that universities provide a submission to the
Commonwealth, endorsed by the university's chief executive, that includes student, staff,
financial and research information needed for the preparation of an Institutional
Performance Portfolio for that university.
‘Minister’ means either or both of the Tertiary Education Minister and the Research
Minister.
‘Mission’ means the University’s Mission set out at Part One of this Compact as
amended in accordance with the variation provisions in this Compact from time to
time.
‘Research Minister’ means the Minister administering the Australian Research
Council Act 2001.
‘TEQSA’ means the Tertiary Education Quality and Standards Agency.
‘University’ means University of Western Sydney ABN 55014069881
‘University’s Confidential Information’ means the information referred to at
Attachment C to this Compact as 'University Confidential Information' or that the
Commonwealth otherwise agrees in writing is 'University Confidential Information',
but does not include information that is or becomes public knowledge, except due to
non-compliance with this Compact.




                                  Page 51
SIGNED for and on behalf of the UNIVERSITY OF WESTERN SYDNEY
by

……………………………………………………..
Signature
Rhonda Hawkins
the Deputy Vice-Chancellor, Corporate Strategy and Services and University Provost
In the Presence of:

.....................................................................................
WITNESS
.....................................................................................
Full name and occupation or profession of witness (Please print)

SIGNED for and on behalf of
THE COMMONWEALTH OF AUSTRALIA
by

……………………………………………………..
Signature
David de Carvalho
the Group Manager
of Higher Education Group
of the Department of Education, Employment and Workplace Relations
a Delegate of the Minister for Tertiary Education, Skills, Jobs and Workplace Relations

In the Presence of:
.....................................................................................
WITNESS
.....................................................................................
Full name and occupation or profession of witness (Please print)

SIGNED for and on behalf of
THE COMMONWEALTH OF AUSTRALIA
by

……………………………………………………..
Signature
Anne Baly
the Head
of Research Division
of the Department of Innovation, Industry, Science and Research
a Delegate of the Minister for Innovation, Industry, Science and Research

In the Presence of:

.....................................................................................
WITNESS
.....................................................................................
Full name and occupation or profession of witness (Please print)




                                                        Page 52
ATTACHMENT A    INDICATIVE LIST OF COMMONWEALTH FUNDING PROVIDED TO THE
          UNIVERSITY BY DEEWR AND RELEVANT TO THE COMPACT

DEEWR provides a range of funding to the University under various legislative and/or
contractual funding arrangements. The following is an indicative list of that funding. The
table will be updated from time to time.

Funding to be delivered during the Compact ($m)                                       2011
Commonwealth Grant Scheme
 -   Cluster funding                                                               168.932
 -   Enabling loading                                                                 0.180
 -   Medical student loading                                                          0.606
 -   Transitional loading (Maths/Science)                                             8.373
 -   Advance payment for estimated over enrolment                                   17.809
 -   Facilitation Funding                                                             3.608
Higher Education Partnerships and Participation Program

 -   Participation component                                                          5.334

 -   Partnership component
                                                                                      0.356
Disability Support Program

 -   Additional support for students with disabilities
                                                                             Not Yet Known
 -   Performance based funding                                               Not Yet Known
Indigenous Support Program                                                            1.356
Diversity and Structural Adjustment Fund
                                                                                      0.381
Capital Development Pool
                                                                                      2.718
Commonwealth Scholarships Program                                                     2.262




                                             Page 53
ATTACHMENT B: LIST OF COMMONWEALTH FUNDING PROVIDED TO THE UNIVERSITY BY DIISR
            AND RELEVANT TO THE COMPACT


University of Western Sydney – Research Block Grant Funding for 2011
Research Training Scheme (RTS)                                                $7,318,974
Australian Postgraduate Awards (APA)                                          $2,651,030
International Postgraduate Research Scholarships (IPRS)                           $246,533
Research Infrastructure Block Grants Scheme (RIBG)                            $1,495,747
Joint Research Engagement (JRE)                                               $3,045,803
Commercialisation Training Program (CTS)                                           $89,574
Sustainable Research Excellence (SRE) Base                                        $165,566
Sustainable Research Excellence (SRE) Threshold 1                                 $472,100
Sustainable Research Excellence (SRE) Threshold 2                                 $536,521
University of Western Sydney – Collaborative Research Networks Funding for 2011
Collaborative Research Networks (CRN)                                                  $0




                                           Page 54
ATTACHMENT C      UNIVERSITY CONFIDENTIAL INFORMATION


Not applicable.




                                  Page 55
ATTACHMENT D       TERMS AND CONDITIONS OF PART 2-2 HESA FUNDING AGREEMENT FOR
                   THE PROVISION OF PERFORMANCE FUNDING


Terms and Conditions of Funding Agreement between the Commonwealth and the University
for the purposes of grants in respect of Performance Funding under section 30-25 of HESA
1.     Agreement

     1.1    Pursuant to clause 4.13 of the Compact, section 4 of the Compact together with the
            terms and conditions in this Attachment D of the Compact constitute the HESA
            Funding Agreement entered into by the Minister or his or her delegate (on behalf of
            the Commonwealth) with the University under section 30-25 of HESA, for the
            provision by the Commonwealth of Performance Funding to the University.

     1.2    These terms and conditions apply only to Performance Funding and do not apply to
            any other agreement between the Commonwealth and the University entered into
            for the purposes of section 30-25 of HESA or for the purposes of any other
            legislative provision.

2.   Eligibility

     2.1    The University meets the requirements of subparagraph 30-1(1) (a)(i) or
            subparagraph 30-1(1)(a)(ii) of HESA.

     2.2    It is a precondition to funding being provided under this agreement that the
            University does and will continue to meet the requirement in paragraph 30-1(1)(b) of
            HESA in each of the Grant years during the term of this agreement.

     2.3    Entering into this agreement is a requirement under paragraph 30-1(1)(c) of HESA
            for a grant to be payable to the University under Part 2-2 of HESA for Performance
            Funding.

3.   Term and Grant years

     3.1    The term of this agreement is the same as the term of the Compact.

     3.2    This agreement is made in respect of the Grant years 2011, 2012 and 2013.

4.   Conditions additional to the HESA

     4.1    Subject to subsections 30-25 (2A) and 30-25 (2B) of HESA, this agreement
            specifies conditions to which the grant is subject that are additional to the conditions
            to which the grant is subject under Division 36 of HESA.

5.   Publication




                                            Page 56
     5.1   The Compact, of which this agreement forms part, will be tabled in Parliament in
           accordance with subsection 30-25(4) of HESA.

6.   Preconditions to receiving Performance Funding

     6.1   Facilitation Funding

     As a condition of the Facilitation Funding component of Performance Funding, in
     accordance with this agreement, the University must:
     (a) inform the Commonwealth of strategies and goals for achieving the university’s
         teaching and learning mission described under clause 4.7 of the university’s 2011-13
         Compact; and
     (b) agree to the performance targets relating to specific Commonwealth goals contained
         in clause 4.14 of the 2011-2013 Compact.

     6.2   Reward Funding

     As a condition of the Reward Funding component of Performance Funding, in accordance
     with this agreement, the University must:
     (a) agree performance targets as outlined in clause 4.14 of their 2011-2013 Compact
         agreement;
     (b) supply performance data to the Commonwealth for all indicators as per the
         requirements set out in section 2 of the Performance Funding Technical Guidelines;
         and
     (c) achieve the relevant excellence or improvement targets as outlined in clause 4.14 of
         their 2011-2013 Compact agreement.


7.   University’s Grant Amount

     7.1   Facilitation Funding

     The University’s grant amount for the Facilitation Funding component of Performance
     Funding will be calculated in accordance with the Commonwealth Grants Scheme
     Guidelines Chapter 12 as in force from time to time during the term of this Agreement.

     7.2   Reward Funding

     The University’s grant amount for the Reward Funding component of Performance
     Funding will be calculated in accordance with the Commonwealth Grant Scheme
     Guidelines as in force from time to time during the term of this Agreement.

     7.3   Performance Funding Grant Amount




                                          Page 57
     The University’s total grant amount for Performance Funding in each Grant year (that is,
     the total of the amounts in that Grant year for Facilitation Funding and for Reward
     Funding) will be the University’s ‘Performance Funding Grant Amount’ for the purposes of
     Subsection 33-1(1A) of HESA.



8.   Payment of Grant Amounts

     8.1    Facilitation Funding

     Subject to the University’s compliance with this agreement and with HESA, the
     Commonwealth will pay the Facilitation Funding Grant Amount to the University in
     accordance with the following timeframes and conditions:
     (a) Facilitation Funding will be paid to eligible universities fortnightly commencing in 2011
         and ending in December 2013, with the amount to be paid as per the calculations
         outlined in the Technical Guidelines.
     (b) In accordance with section 164-5 of the Act, Facilitation Funding payments will be
         paid in such a way as the Minister determines, and at such times as the Secretary
         determines.

     8.2    Reward Funding

     Subject to the University’s compliance with this agreement and with HESA, the
     Commonwealth will pay the Reward Funding Grant Amount to the University in
     accordance with the following timeframes and conditions:
     (a) Reward Funding will be paid to eligible universities in one instalment in the second
         half of each of 2012 and 2013, with the amount to be paid as per the calculations
         outlined in the Technical Guidelines.
     (b) In accordance with section 164-5 of the Act, Reward Funding payments will be paid in
         such a way as the Minister determines, and at such times as the Secretary
         determines.

     The University is not entitled to be paid any instalment of its Reward Funding Grant unless
     and until the Commonwealth is satisfied that the requirements for paying that instalment
     have been met.

9.   Waiver

     9.1     If either party does not exercise (or delays in exercising) any rights under this
             agreement, that failure or delay does not operate as a waiver of those rights.
     9.2     Any waiver by either the Commonwealth or the University of any provision or right
             under this Agreement:
     (a)   must be in writing signed by that party’s representative;
     (b)   is effective only to the extent set out in the waiver; and
     (c)   does not prevent the further exercise of any right.




                                           Page 58
10.   Dispute resolution

      10.1 Subject to clause 10.3, the parties agree not to commence any legal proceedings in
           respect of any dispute arising under this agreement, which cannot be resolved by
           informal discussion, until the procedure provided by this clause 19 has been used.

      10.2 The parties agree that any dispute arising during the course of this agreement is
           dealt with as follows:

      (a) the party claiming that there is a dispute will send the other party a written notice
          setting out the nature of the dispute;
      (b) the parties will try to resolve the dispute through direct negotiation by persons who
          they have given authority to resolve the dispute;
      (c) the parties have 10 business days from the receipt of the notice to reach a resolution
          or to agree that the dispute is to be submitted to mediation or some alternative dispute
          resolution procedure; and
      if:
      (a) there is no resolution of the dispute;
      (b) there is no agreement on submission of the dispute to mediation or some alternative
          dispute resolution procedure; or
      (c) there is a submission to mediation or some other form of alternative dispute resolution
          procedure, but there is no resolution within 15 business days of the submission, or
          extended time as the parties may agree in writing before the expiration of the
          15 business days,

      then, either party may commence legal proceedings.

      10.3 This clause 10 does not apply if:

      (a) either party commences legal proceedings for urgent interlocutory relief;
      (b) action is taken by Us under clause 20; or
      (c) an authority of the Commonwealth, a State or Territory is investigating a breach or
          suspected breach of the law by the University.

      10.4 Despite the existence of a dispute, both parties must (unless requested in writing by
           the other party not to do so) continue to perform their obligations under this
           agreement.

11.   Termination for default

      11.1 The Commonwealth may immediately terminate this agreement by giving written
           notice to the University of the termination if:

      (a) the University fails to fulfil, or is in breach of any of its obligations under this
          agreement, and does not rectify the omission or breach within 10 business days of
          receiving a notice in writing from the Commonwealth to do so; or
      (b) the University is unable to pay all its debts when they become due;




                                           Page 59
12.   Notices

      12.1 Notices under this Agreement must be sent to the addresses and in accordance with
           the procedures set out at clause 10.6 of the Compact.

13.   Reports

      13.1 The University must, during the term of this agreement, provide the Commonwealth
            with the following reports by the due dates set out below:
      (a) a report on the provision of performance data by 31 December of each year.

      13.2 The University owns the intellectual property rights in the reports and grants to the
           Commonwealth (or must arrange for the grant to the Commonwealth of) a
           permanent, irrevocable, free and non-exclusive license (including a right of
           sublicense) to use, publish or disclose the reports in any of the ways set out in
           subclause 10.4.1 of the Compact.

14.   Applicable law and jurisdiction

      14.1 The laws of the Australian Capital Territory apply to the interpretation of this
           agreement.

      14.2 The parties agree to submit to the non-exclusive jurisdiction of the courts of the
           Australian Capital Territory and any courts which have jurisdiction to hear appeals
           from any of those courts in respect to any dispute under this agreement.

15.   Entire agreement, variation and severance

      15.1 This agreement records the entire agreement between the parties in relation to its
           subject matter.

      15.2 Except for action the Commonwealth is expressly authorised or required to take
           elsewhere in this agreement or HESA, no variation of this agreement is binding
           unless it is agreed in writing and signed by the parties.

      15.3 If a court or tribunal says any provision of this agreement has no effect or interprets
           a provision to reduce an obligation or right, this does not invalidate, or restrict the
           operation of, any other provision.

16.   Interpretation

      16.1 Words used in this Part D that are defined in HESA or in the Commonwealth Grants
           Scheme Guidelines have the same meaning in this Part D as they do in the
           document in which they are defined.

      16.2 In this Part D:




                                            Page 60
‘Compact’ means the Mission Based Compact between the Commonwealth and the University
of which this Attachment D forms part;

‘Grant year’ means a calendar year in respect of which the University has entered into this
agreement;




                                          Page 61
ATTACHMENT E     PART 2-2 HESA FUNDING AGREEMENT BETWEEN THE COMMONWEALTH
           AND THE UNIVERSITY FOR THE PROVISION OF THE COMMONWEALTH GRANTS
           SCHEME FUNDING




                                 Page 62

				
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