Charles Darwin University Compact by HC121004114317

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									Mission-Based Compact
   Between:
     The Commonwealth of Australia
     and
     Charles Darwin University
              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


Charles Darwin University
ABN 54 093 513 649
A body corporate under the Charles Darwin University Act (NT)
Of
Ellengowan Drive
CASUARINA
DARWIN NT 0909
(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 10.7.
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.




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2.2.        The University’s Mission statement

Mission

As set out in the University’s Strategic Plan 2010-2014 the mission of Charles Darwin University
is as follows:

Enriched by the social, cultural and natural endowments of the Northern Territory, and
committed to the advancement and prosperity of our region and the nation, Charles Darwin
University enables staff and prepares students to be creative thinkers and effective contributors
in a complex changing world.

Current Circumstances

Charles Darwin University (CDU), a regional multi-sector institution, is an integral part of the
Northern Territory community. The University is one of the largest employers in the Northern
Territory (NT) with an aim of being an employer of choice for current and potential staff
members. Each year, around 10% of the NT population over the age of 15 years formally enrols
for study at the University which is responsible for around 85% of the HE and VET delivery
undertaken in the Northern Territory.


Learning and Teaching
Currently CDU has approximately 22,000 students studying courses in Vocational Education
and Training and Higher Education. The University has experienced consistent and significant
growth in its total higher education load over recent years. This growth has been supported by
the University’s strongly expanding commitment to flexible provision with 69% of the current
Commonwealth Grant supported cohort studying externally on a unit attendance basis which is
also dominated by mature age students and a significant proportion of students attending in
part-time mode. This expansion in flexible delivery has increased the profile of CDU as a
national provider as well as enhancing opportunities for the participation in HE and VET
opportunities for Territorians including those looking to integrate study with other life needs.
Using funding provided through the Australian Government’s Diversity and Structural
Adjustment and Teaching and Learning Capital Funds together with significant internally
resourced strategic investment, the University is moving to markedly enhance its practice in
flexible delivery and improve the quality of its teaching and learning provision – the University’s
current highest institutional priority. The most recent Australian Graduate Survey Course
Experience data indicate a marked improvement in the satisfaction of students with their
experience of teaching and learning. The University is currently preparing for an Australian
Universities Quality Agency (AUQA) cycle 2 audit (to be held concurrently with an Australian
Quality Training Framework re-registration audit) one of the themes for which is Flexible
Learning and Teaching Quality.

Equity
The University continues to focus on the needs of Indigenous Australians to an extent
unsurpassed in the Australian tertiary sector. In 2009, CDU ranked second in the sector for
access and participation rates of higher education students identifying as Indigenous and, in
addition provides training to around 4000 Indigenous students annually through the University’s
VET programs. In early 2009 the University appointed a foundation Pro Vice-Chancellor,




                                             Page 8
Indigenous Leadership, Professor Steven Larkin, to oversee activities relating to Indigenous
people and established a new Vice Chancellor’s Indigenous Advisory Council with a
membership of prominent Indigenous Australians and a brief to provide high level advice on
improving access and outcomes for Indigenous students and staff at the University.

The University maintains a strong representation of students from regional and remote locations
and access and participation of students of low socio-economic status has steadily increased
over the last four years. This remains a critical focus of the University notwithstanding concerns
regarding current methodological issues with accurate data collection.

Research
The adoption of a strong research focus and promotion of cross-disciplinary research teams has
been a successful institutional strategy to build world-class research capability. The University
has achieved strong growth in total research income across all categories in the HERDC and a
very high ranking among Australian universities on a per capita basis reflecting the relatively
high research intensity of the institution and productivity of staff. The outcomes of the first ERA
assessment confirm the status of the University’s current identified areas of research strength in
Environment and Livelihoods and Human Health and Wellbeing. It is a high priority to improve
research capacity in fields that are strategically important to the NT such as Education and
Social and Public Policy.

Partnerships in Research and Education
Current partnerships contribute to the University’s effectiveness as a research, education and
training provider. The University has a strong and effective major Partnership with the Northern
Territory Government dating from 2004 - commended in the report of the cycle one AUQA audit.
This partnership, which was recently reviewed and re-focussed, has yielded significant
advantages in terms of operational outcomes and capacity building for both the University and
the NT Government.

The University has recently signed and is operating under a Memorandum of Understanding
with the Australian National University for collaboration in research and teaching and learning.
The University is also finalising an institutional level partnership agreement with Flinders
University. Building on a long-standing co-operation in health, CDU is involved with Flinders
University in the delivery of an innovative joint medical program supported by the NT
Government. This initiative was enabled in part through the University’s support for a capital bid
led by Flinders University to the Health and Hospitals Fund to expand the Darwin based
Northern Territory Clinical School including the construction of new teaching and learning
research facilities on the Casuarina Campus of CDU which are due to be occupied
progressively during the period February to May, 2011. These facilities will augment capital
projects underway to support developments in allied health particularly related to indigenous
health issues including new pharmacy teaching spaces, sport and recreation science facilities
and a public health building for the Menzies School of Health Research. This substantial capital
program also includes the design and construction of the Australian Centre for Indigenous
Knowledge and Education a major joint-venture project with the Batchelor Institute of
Indigenous Tertiary Education supported by the Education Investment and Structural
Adjustment Funds (total Commonwealth investment of almost $40 million), with the goal of
providing a step-change expansion in the capacity to delivery positive outcomes to Indigenous
communities and the Higher Education sector in areas relating to Indigenous knowledge and
education.




                                            Page 9
Further strengthening the University’s research capability in the environmental sciences and
expanding research into the tropical northern marine ecosystem, the University has entered into
a marine science alliance with the Australian Institute of Marine Science, the Australian National
University, and the Northern Territory Government. The new alliance will leverage significant
funding announced by the Australian Government under the Super Science funding
programme.

In addition to the above partnerships, the University recently joined the Innovative Research
Universities (IRU) grouping of Australian universities, providing enhanced opportunities for
collaboration in research, teaching and learning and administration including a key shared
interest in improving participation of students from low socio-economic status backgrounds and
other equity target group students.

The University has entered into a memorandum of understanding with Navitas Limited, a
publicly listed company with a proven track record in English language training, university
preparation programs, and migrant settlement services to explore opportunities to develop a
broad based collaborative partnership for innovative flexible and quality education solutions of
mutual benefit including the offering of foundation courses to international students.

The University, as part of a major strategy to enhance engagement in our region, has embarked
on a program to establish a small number of mutually beneficial and targeted institutional
partnerships focussed in East Indonesia, Timor Leste, Malaysia, Vietnam and China (including
through a recently awarded Confucius Institute). This approach emphasises both research
linkages and opportunities for student and staff exchange. The establishment of a more senior
executive position, Deputy Vice-Chancellor, Research and International, in 2010 illustrates the
important nexus between international engagement and research development for the
University in the next five years.

Sustainability
In 2009 the University completed a major review of its budget model and established close links
between the strategic, operational and budget planning and development processes. A five year
indicative budget forecasting model for the University has been developed. As acknowledged in
the 2010 Institutional Performance Portfolio the University is currently in a sound financial
position. However the future financial forecasts have identified the key importance to the
University’s financial sustainability of major funding streams such as regional loading, increased
support for low SES students and funding for nursing and education programs. In addition the
move to partial deregulation of higher education and a demand driven model in 2012 when
coupled with the significant negative pressures on the sector in International student recruitment
creates a very challenging scenario for a small regional university highly reliant on flexible
delivery broadly across Australia. This is exemplified by recent sectoral behaviour such as
substantial over enrolments to secure market share and severe pressure on clinical places in
disciplines such as nursing ahead of the full introduction of programs under Health Workforce
Australia (HWA).

Aspirations

CDU’s broad aspirations are captured in the Vision Statement in the Strategic Plan:




                                           Page 10
Over the next five years Charles Darwin University will have grown its student base by 50%. It
will be renowned for its leading approach to education, research and community engagement in
regional and remote Australia, and the region as a whole. It will draw on the priorities of the
region, in framing its education programs and exploring the frontiers of knowledge.

With a focus on high quality, flexible local and distance education, this University will provide the
learning that students, the region and the nation require to produce innovative graduates who
effectively meet the challenges of a complex, changing world. As a distinctive multi-sector
education provider, this University will be recognized as a leader in student support and the
provision of pathways from vocational training through to advanced research degrees. It will
achieve increased student participation, particularly amongst disadvantaged educational groups
through traditional and non traditional approaches to education delivery and in doing so will
effectively meet the needs of Indigenous students to become their university of choice.
Teaching practice will be informed by research, through valuing of the teaching-research nexus.

The University’s established research strengths in tropical, desert and Indigenous knowledge
will become a national and international resource, open to collaboration and equipped to
provide solutions to complex problems of local, national and international significance. The
University will grow its domestic and international research higher degree numbers and attract
and retain high quality and motivated researchers through the provision of a research
environment that offers professional support and high quality infrastructure and equipment.
International research linkages will be expanded particularly with near neighbours such as
Timor Leste and Indonesia.

Capacity in research and a range of other core business areas will be enhanced through the
forging of mutually beneficial partnerships with other key institutions, government and the
community. Charles Darwin University will be a dynamic and robust regional tertiary institution
that will meet the needs of industry and the professions for a skilled workforce and will provide
leadership to advance the intellectual, professional, social, cultural and environmental wellbeing
of the Northern Territory.

Staff will be recognized for and supported in the achievement of the University’s goals. In all
areas of endeavour this University will apply the highest standards of professionalism, efficiency
and accountability to maximise its effectiveness and ensure the value of its contribution to the
region in which it operates.

The University has identified in its Strategic Plan five key goals to be progressed by the end of
2014

   1 A Unique Learning Environment: CDU will create a rich learning environment that
       reflects its unique regional location and offerings, enables students to achieve success
       and produces graduates with the skills they need to be effective contributors in society.
   2   A Leader in Indigenous Education: CDU will be a preferred choice for Australian
       Indigenous students seeking studies in Vocational Education and Training (VET) and
       Higher Education (HE), and a leader in the teaching and understanding of Indigenous
       knowledge systems.
   3   Research with Global Reach: CDU will enhance its local, national and international
       standing for excellence in research, particularly in the areas of tropical, desert and
       Indigenous knowledge.
   4   Powerful Partnerships: CDU will actively pursue and establish partnerships which




                                            Page 11
       strengthen capacity while delivering mutually beneficial outcomes.
   5 Quality and Sustainability: CDU will be a robust, regional multi-sector institution,
       acknowledged for the quality and excellence of its programs, and its support for students
       and staff.

Achieving Aspirations and Goals

Learning and Teaching
The University’s top priority remains the improvement of the real and perceived quality of its
teaching and learning enterprise which coupled with further development of its flexible learning
practice are critical enablers in meeting its growth ambitions. The University will continue to
seek external funding with a key application under consideration in the current SAF round as
well as further strategic investment of University funds over the next 3-4years. CDU is moving
towards orienting its learning and teaching activities around a single modality – Fleximode –
whereby students may engage with their programs using the combination of methods that is
most suitable for their needs, rather than being constrained by administratively imposed study
mode parameters. This is a challenging, student-centred innovation that will take time to fully
develop.

Equity and Indigenous Outcomes
As well as being a key enabler of teaching and learning quality improvement (some other
strategies are detailed in section 3.1), the implementation of Fleximode will assist in improving
access, participation, retention and success of students in general and equity target group
students in particular. This is an important target for CDU that it plans to meet through a range
of actions including enhanced outreach to Schools, further development and utilisation of
pathways between VET and HE, and enhanced academic support. (see section 3.2).

In terms of equity goals and the ambition for leadership in Indigenous Education, key actions
will include the construction and operation of the Australian Centre for Indigenous Knowledge
and Education (ACIKE) and the implementation of the new partnership between CDU and
Batchelor Institute of Indigenous Tertiary Education (BIITE) for delivery of HE, development of
“whole of life” strategies to improve Indigenous student access and participation and ongoing
commitment to learning in partnership with Indigenous students, staff and communities.

Partnerships in Education and Research
The continued development and operation of strategic partnerships with the Northern Territory
Government, the Australian National University and Flinders University will provide broader
opportunities to Northern Territorians in an efficient and sustainable manner. This is part of a
review of the academic profile at CDU scheduled to be completed in the early part of the
compact period, which in addition to partnering arrangements is exploring opportunities to better
leverage the dual sector nature of CDU. Proposed new Enterprise Agreement arrangements
that are seeking to identify a new category of teaching-focussed staff will assist the University in
the sustainability of its teaching and learning operations. A focus over the period of the compact
on community engagement including the development of revised planning documents and
strategy implementation is seen as a key mechanism for enhancing delivery of education
programs and improving education outcomes as is the strong capital and teaching infrastructure
development (section 3.3) which includes significant improvement in student accommodation,
new buildings for teaching, refurbished teaching space and enhanced technologies to support




                                            Page 12
off campus learning.

In meeting its goals in research the University will maintain its current strategy of research focus
and concentration with further development of a focus in education and energy (particularly
related to low emission technology and renewable energy). In the case of education research
this is supported through significant external funding for, and recent establishment at the
Menzies School of Health Research of the Centre for Child Development and Education and the
Centre for School Leadership, Learning and Development at CDU in partnership with the
Northern Territory Government (NTG). The emerging focus in energy research is supported by
the recent establishment of the Centre for Renewable Energy and Low Emission Technology
and the Centre for Hydrocarbon Research, Education and Training, both in partnership with,
and receiving significant funding from, the NTG. Building capacity in research through
partnerships with other agencies, industry, Indigenous organisations and other universities,
particularly ANU and Flinders University, is an important approach to achieving research goals.
New arrangements for the establishment research institutes and centres within the Faculties are
expected to improve research and research training outcomes during the period of the compact
as are new definitions of research active staff that are incorporated in the new Enterprise
Agreement that it is anticipated will be concluded in 2011. Enhancing professional support, and
maintaining quality infrastructure and equipment are strategies that will be employed to attract
and retain high quality and motivated researchers and postgraduate students. The University is
committed to pursuing growth in HDR load with additional approaches including effective
marketing and the operation of partnerships with research intensive Australian universities
(including ANU and IRU partners) and targeted international universities in the near region.
During the course of the compact triennium the University is seeking to further develop and
make effective the teaching-research nexus emphasised by the recently completed institutional
restructure which transferred and reorganised research activity from the former Institute for
Advanced Studies to within new Faculty arrangements in close proximity to existing academic
schools and Faculty research groups.

Sustainability
In terms of the quality and sustainability goal in addition to enhancements in teaching and
research practice outlined above, the University will further address the transparency and
effectiveness of its governance arrangements, including the implementation of new
arrangements for academic governance, further consideration of issues of organisational
renewal and development including the establishment of an Office of Leadership and
Organisational Culture. There is also an enhanced focus on measurement, assessment,
recognition and review processes and adoption of leading edge environmental sustainable
practices across the campus network.

Technology is a critical factor in CDU’s sustainability agenda. It is important to reiterate a
number of key and unique features of CDU. Among others, these include:
    its place as a regional university;
    its multi-campus and multi-learning-centre structure;
    the fact that these venues themselves are located in regional and, sometimes remote,
      areas of Australia;
    the location of sub-cohorts of students, often Indigenous students, in remote areas and
      the resultant need to deliver learning to those remote areas;
    the heavy use and reliance by CDU on technology-aided, if not technology-dominant,
      forms of learning;
    the key strategy of CDU, via its Fleximode strategy, to increase even more the use of




                                            Page 13
          technology, online resources and integration of remotely located students synchronously
          and virtually into physical campus spaces;
         the key CDU strategy to form significant partnerships that require effective and reliable
          communication; and
         more specifically in relation to partnerships, the essentiality reliance by the Northern
          Territory Medical Program to deliver high-definition video content from Flinders
          University’s Bedford Park campus into NT learning venues.

With the availability of reliable information and communications technology, CDU is confident of
its ability to grow and thrive through pursuit of the strategies and plans contained in this
compact document. However it follows that CDU is exposed and vulnerable in an environment
that is not characterised by robust and reliable ICT infrastructure and systems which ensure
high-capacity, fully redundant broadband connectivity, most especially when relevant factors are
completely outside CDU’s control. Accordingly, CDU will be critically dependent upon an
effective National Broadband Network strategy being implemented, including one that provides
a 10 gigabyte link from Darwin through Alice Springs to Adelaide. Full redundancy is critical
because portions of the existing AARNet link are regularly in disrepair during the wet season.
Interim arrangements to overcome the absence of redundancy, whereby supplementation by
the Commonwealth via DIISR allows CDU to procure a link from a commercial provider, are due
to expire in September 2011, and it is crucial for CDU to be assured that the necessary
supplementation will continue.



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.




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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


The Quality of Teaching & Learning
CDU is a multi-sector, multi-modal institution with a broad ranging student demographic profile.
Good quality teaching means a carefully considered appreciation of different learning and
teaching methods. CDU’s Strategic Plan identifies that:

CDU will be innovative in harmonising the different requirements of local and distance
education.

The University has been changing the way in which it engages with students. Whereas CDU
was traditionally an internal mode provider (with some external courses), it now engages with
students using a wide variety of teaching (and assessment) methods, learning technologies and
resources. The primary vehicle for this is “Learnline”, the University’s suite of learning
technologies comprising Blackboard, Wimba Classroom, Wimba Voice and associated




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technologies. Implementation of Learnline has been conducted concomitantly with
developments in teaching theory and practice.

The next phase in this development is “Fleximode” – a single, flexible modality that enables and
empowers students – all students, whether they would otherwise fit into the more conventional
categories of “internal”, “external” and “multi-mode” - to engage with their units and courses
using methods most suitable for their circumstances and learning style preferences. Fleximode
will require ongoing investment in a range of learning technologies, including Learnline,
innovative teaching spaces and other information and communication technologies.

Fleximode will also require ongoing attention to the development of new pedagogies and
mechanisms for embedding good teaching practice. CDU has been pursuing this over the past
two years with assistance from Diversity and Structural Adjustment Funds and in partnership
with the world’s leading learning technology provider Blackboard. The University will continue to
provide professional development opportunities for staff and will focus these more specifically
on a best practice model for Fleximode. This will include renewed emphasis on its Graduate
Certificate in Teaching and Learning Higher Education (GCTLHE).

An important enabler for full development of Fleximode at CDU is the establishment of a
“Flexible Learning Network” (FLN) for which the University has sought support from the
Australian Government through the current Structural Adjustment Fund round. The purpose of
FLN is to integrate five key aspects of flexible education design and delivery: pedagogic
developments in flexible learning; learning technology innovations and customisations; flexible
teaching space developments; workforce reform involving flexible and virtual staff engagement;
and the testing of new and more effective quality assurance processes designed to address the
particular challenges presented to traditional QA approaches by flexible learning methods.

CDU recognises that stakeholder satisfaction – and particularly student satisfaction – is central
to any assessment of the quality of education. CDU participates and will continue to participate
in a range of national and institutional surveys of stakeholder satisfaction, as well as further
developing employer survey instruments. During 2011 and 2012 the University will develop
Annual Unit Reports and Annual Course Reports to better respond to the rich data available
from these surveys. These will include all available evaluative data (including trends and
benchmarks) relating to individual units and courses, inclusive of all their offerings (i.e. modality;
location; teaching period; third party providers). Unit and Course coordinators will be required
to prepare and present to Academic Board via the Faculty Learning & Teaching Committees a
reflective and action-oriented response to these reports.



Measures
The University will monitor teaching quality using at least the following measures, specific
targets for which are set out in the University’s annual internal learning & teaching plans.

      Good Teaching Scale, Generic Skills Scale and Overall Satisfaction Index (of the AGS).
      Employer Survey results (once available).
      Internal student evaluation surveys aggregate results (for units) and individual results
       (for teachers).




                                             Page 16
      Number/proportion of upheld student complaints and appeals about teaching and
       assessment quality.
      Number of HE staff enrolled in the GCTLHE as a proportion of targeted staff enrolments.

CDU will aim for results that are competitive with its two primary benchmarking groups: the IRU,
and a “Fleximode Benchmark Cohort” – i.e. those universities with >50% students enrolled in
external or mixed modalities.

The University will also develop several measures specifically for Fleximode including:

      Proportion of units and courses with a complete Learnline profile. The University is
       aiming for 99% HE units and 80% VET courses by the end of the Compact period.
      Proportion of HE units with Fleximode certification, a measure to be developed over the
       next 12-24 months.
      Student satisfaction with CDU’s flexible delivery methods. At present this is measured
       via a number of items in various surveys. A consolidated measure will be developed.


Student Engagement
CDU’s Strategic Plan targets:
Improved access, retention and success of all students including those from target equity groups.
Retention rates for commencing and all international students at CDU are close to sector
norms. For domestic students at CDU these rates have been markedly lower than sector
averages. However, CDU also has a significantly higher proportion of students in work and
studying part time. Since 2007, there has been a steady increase in retention across all modes
of study, and the significantly higher retention rates of students in mixed mode supports the
notion that flexible delivery leads to better educational opportunities for many students. This
corresponds with higher levels of satisfaction from students studying in mixed mode.

CDU will build on work undertaken over the past few years to improve retention. That work
includes significant activity in market research to identify the main causes of withdrawal and to
attempt to gain insights into the characteristics of the structure and the segments of the student
cohorts that contribute to attrition. Further research will inform the development of an early
warning system for students at risk of leaving and prioritization of mechanisms to aid retention
including the utility of several potential online service innovations. The University will build on
arrangements recently put in place to monitor student progress, identify at an early stage at risk
students, and intensify academic support provided.


Measures
The University will monitor student engagement using at least the following measures, specific
targets for which are set out in the University’s annual internal learning & teaching plans:

      Retention rates reaching comparability with sector averages, the IRU and the Fleximode
       Benchmark Cohort.
      Student satisfaction with engagement, as measured through ACER (AUSSE and
       POSSE) surveys, showing an improving trend and being favourably compared with the




                                            Page 17
       Fleximode Benchmark Cohort.
      Staff satisfaction with engagement, as measured through ACER (SSES) survey and
       Your Voice, showing an improving trend and being favourably compared with relevant
       benchmarks.


Student Outcomes
CDU’s Strategic Plan identifies that:
CDU will provide quality education and training focused on learning outcomes that equip
students to be innovative thinkers and effective contributors in society.


CDU takes the view that there are several aspects to student outcomes focused on standards
that must be addressed:
      Whether actual learning outcomes meet the intended learning outcomes set out in the
       accredited course materials. CDU uses and will further develop a curriculum mapping
       process for ensuring that the assessment activities are aligned with the intended
       learning outcomes.
      Whether outcomes are consistent across the different offerings (e.g. different modalities
       and locations). At present CDU does not actively monitor this at a central level, and
       proposes to address this as a priority component of the new Annual Unit Reports,
       Annual Course Reports and the University’s Course Accreditation and Reaccreditation
       Process, which will be revised in the early part of the compact period.
      Whether outcomes are equivalent to those of students at benchmark partner
       universities. To address this issue, CDU has joined with seven other Universities, led by
       UWS and Griffith University, in successfully bidding for the ALTC-funded Strategic
       Priority Project titled “A sector-wide model for assuring final year subject and programme
       achievement standards through inter-university moderation”.
      Whether the actual learning outcomes meet TEQSA standards. CDU will implement
       detailed plans in this regard as soon as sufficient information is available from TEQSA.
      Whether the actual learning outcomes meet professional body standards. CDU has
       achieved professional accreditation for a number of its courses and will continue to seek
       such accreditation where applicable.
      Whether the student learning outcomes are supported by employers and subsequent
       study. To monitor this issue, CDU will enhance its use of the GDS and participate in the
       trial of the Collegiate Learning Assessment instrument.


Measures
The University will develop several measures for Student Outcomes. They will include:
      Proportion of Annual Unit Reports and Annual Course Reports that have an acceptable
       response by the required deadline.
      Maintenance of professional accreditation for appropriate courses.
      Satisfactory external moderation reports.
      Meeting TEQSA standards, scoring low TEQSA Risk Ratings, and maintenance of HEP
       Registration by TEQSA (detail of the assessment methods is not yet available).
      Competitive GDS and CLA results compared with benchmark groups.




                                          Page 18
3.2.          Equity

Equity: Commonwealth objectives
 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


Among equity groups (other than Aboriginal and Torres Strait Islander (ATSI) people) in recent
years the University has had a primary focus on students of low socio-economic status (LSES)
with access, participation and retention and attainment rates generally trending upwards. The
University intends to build on and expand its existing strategies for attracting, retaining and
ensuring successful learning by LSES students and rural and remote students (recognizing that
LSES students may also come from isolated areas). Specific approaches will include:
         Further development of outreach to, and partnership with, secondary schools and
          community education centres at locations across the whole of the Northern Territory
          including the operation of a new scholarship scheme targeted at supporting and
          engaging year 10, 11 and 12 students.
         Greater attention to engagement of families of prospective students.




                                             Page 19
      Implementation of a customer relationship management system for prospective
       students.
      Expansion of the University’s currently successful tertiary enabling program.
      The development in partnership with ANU of a new foundation degree based on an
       integrated Vocation Education and Training (VET) and Higher Education (HE) curriculum
       with a strong emphasis on workplace learning.
      Further development of VET-HE pathways.
      Further development of technology mediated flexible delivery arrangements and the
       flexible provision of co-curricular services.
      Extension of academic support services and reorganization of student equity support
       services.
      Greater attention to mentoring arrangements and exploration of the benefit to LSES (and
       other equity group students) of community engagement activity.


Measures
The University will monitor access, participation, retention, success and attainment rates and
participation and success ratios of undergraduate LSES students, regional and remote students
and students with a disability. The University notes the Social Inclusion Performance Funding
targets. In terms of participation, retention and success of LSES students the University is
seeking to improve the participation ratio to 0.90 and the retention and success ratios to 1.0
over the compact period. Maintaining retention and success ratios for students from remote and
regional locations at or above 1.0 during the compact period is the current ambition. In terms of
access and participation of students from remote and regional locations the University
acknowledges a downward trend in recent years which is likely due to an increasing proportion
of students being attracted from metropolitan areas as CDU has expanded as a flexible
provider. The University would expect to grow the number of commencing and total
undergraduate students from remote and regional locations during the life of the compact. For
students with a disability the University aspires to achieve access and retention rates at least
comparable with state reference values and to maintain or achieve retention and success ratios
of at least 1.0 over the compact period.


Indigenous Outcomes
A major goal for the University elaborated in the Strategic Plan 2010-2014 is to be a Leader in
Indigenous Education.


While the University continues to focus on the needs of Indigenous Australians to an extent
unsurpassed in the Australian tertiary sector, the University intends to build on existing and to
develop new strategies. Specific approaches will include:-


      The establishment and operation of the Australian Centre of Indigenous Knowledge and
       Education (ACIKE) including construction of the ACIKE building, and successful
       establishment and operation of the new partnership between Batchelor Institute of
       Indigenous Tertiary Education (BIITE) for Higher Education delivery (see section 3.5).
      Further development of policies and innovative “whole of life” strategies to enhance
       access and participation of Indigenous people both on and off campus; including an
       innovative range of flexible delivery models.




                                            Page 20
         Learning in partnership with Indigenous students, staff and communities to ensure
          cultural relevance, affirmation and safety along with Indigenous knowledges are
          embedded in programs to maximise student engagement and learning.
         Review and enhancement of existing student support mechanisms across all operations
          to enhance student retention and completions in under-graduate and post-graduate
          courses.
         Revision and renewal of the Indigenous Employment and Retention Strategy for
          increased opportunities for Indigenous staff to participate at various levels of the
          University governance structure.
         Finalisation and implementation of a reconciliation action plan.


Measures
The University will monitor access, participation, retention, success and attainment rates and
participation and success ratios of undergraduate students that identify as Indigenous, and has
elaborated 1B Performance Funding improvement targets for the participation of ATSI students.
Over the life of the compact the University seeks to see improvement in the retention and
success ratios to least 0.87 and to see increases in the number of Indigenous staff and
increased engagement with relevant Indigenous groups and organisations.


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.
 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 existing
               infrastructure, investing in e-learning and other information and communications
               technologies (ICT), and utilising space owned by, or shared with, other education
               providers.
 3.3.4.        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.




                                            Page 21
Infrastructure: University strategies


The University is developing a new Master Planning Framework to set long term principles in
the development and use of University infrastructure and facilities. It is the overarching planning
document from which to model future campus Master Plans based on medium to long-term
scenarios. It thereby allows for a more organic Master Planning process providing flexible and
adaptable plans as strategic direction evolves and new information comes to hand.

In pursuing its infrastructure strategies, the University will focus not only on developing new
University-owned buildings but also on optimising the use of existing facilities, refurbishing and
adequately maintaining existing infrastructure and investing in e-learning and other information
and communications technologies (ICT). The University informs itself via an ongoing process of
auditing the utilisation of existing space, conducting such audits at least twice each year, with
additional ad hoc audits when required by circumstance. Such an approach assists the
University to quantify the total utilisation of assets to enable strategies of improvement to be
implemented, thereby increasing utilisation rates and reducing overall expenditure on
overheads. This further assists the University to respond flexibly within an informed and overall
planning context.

Against this background, and noting the capacity of the Master Planning Framework to allow
changes when exigencies require, the infrastructure development plans for the compact period
are captured in tabular format:

            Project                                    Rationale
            1. Allied Health Infrastructure            This building will provide
               Building - Pharmacy Teaching            facilities to attract students into
               building                                HE-VET programs and
            Budget:               $6.5Million          pathways consistent with the
            Completion date:      May 2011             University’s aspirations of
                                                       providing a dedicated network
                                                       of hospital and community
                                                       based medical education
                                                       facilities established across the
                                                       Territory. These are, designed
                                                       to facilitate the training of
                                                       health professionals including
                                                       the delivery of a full medical
                                                       program. This building will
                                                       deliver Pharmacy training. The
                                                       overall program will focus on
                                                       preparing health professionals
                                                       to work in Indigenous
                                                       Communities and recruiting
                                                       Indigenous students. This and
                                                       the complimentary Northern
                                                       Territory Medical Program will
                                                       be relying heavily on IT based
                                                       infrastructure to support
                                                       teaching delivery.




                                            Page 22
2. Building to support the Northern     This Flinders-financed building
   Territory Medical Program            will provide facilities to attract
Budget:                $14.0Million     students into HE programs
Completion date:       May 2011         consistent with the aspirations
                                        of Flinders and CDU to deliver
                                        a dedicated network of
                                        hospital and community-based
                                        medical education facilities
                                        principally centred on two sites
                                        – Royal Darwin Hospital and
                                        CDU to allow a full medical
                                        program to be delivered in the
                                        Northern Territory. This joint
                                        program will focus on
                                        preparing doctors to work in
                                        Indigenous Communities and
                                        recruiting Indigenous students.
                                        This, and the complementary
                                        Allied Health Infrastructure
                                        Building (Pharmacy), will be
                                        relying heavily on IT-based
                                        infrastructure to support
                                        teaching delivery.
3. Australian Centre for Indigenous     This CDU-BIITE joint venture
   Knowledge and Education              will provide a facility
   teaching facility and associated     specifically designed to
   student accommodation                increase Indigenous
Budget              $25.45Million       participation across all levels
Completion date:    July 2012           (VET and HE) including
                                        sharing of knowledge and
                                        strengthening engagement
                                        and pathways with indigenous
                                        communities. There will be
                                        heavy reliance on state-of-the-
                                        art IT infrastructure to deliver
                                        programs to remote
                                        communities.
4. Building to house the Menzies        This building will bring a
   School of Health Research will       research unit of the Menzies
   be completed on the Casuarina        School of Health onto the CDU
   campus                               campus thereby strengthening
Budget              $18.0Million        a key research partnership and
Completion date: Architect to be        increasing the numbers and
                 appointed              capacity of health-based
                                        researchers on the site. It
                                        builds on CDU’s aspirations of
                                        Research with Global Reach.
5. A specialist oil and gas training,   This proposal will enable CDU
   education and research facility      to establish Powerful
Budget:               $5.0Million       Partnerships with
Completion date:      Architect to be   organisations operating in the




                             Page 23
                       appointed         oil and gas industries in the
                                         Northern Territory. It will lead
                                         to improved level of industry
                                         satisfaction with graduate
                                         outcomes.
6. There will be a significant           The provision of additional
    increase in student                  student accommodation and a
    accommodation including studio       diversity of type will provide
    apartments                           improved access, retention
Budget:                $6.0Million       and success of students from
Completion date:       March 2012        target equity groups.
                        Phase one
7. New facilities in multimedia,         To attract students into VET
    music and community and              programs and VET-HE
    health services have been            pathways consistent with the
    opened in 2011 at the Alice          University’s aspirations to
    Springs and Katherine                broaden HE access in regional
    campuses                             NT.
Budget:                $5.5million
8. Major refurbishment of the            To allow the Library to move to
    Library Building                     a more contemporary style of
Budget:              To be determined    study services through a
Completion date: Initial design work     learning commons approach
                     has commenced       combined with the traditional
the project is planned to completed by   library services. It will provide
December 2013.                           improved access and spaces
                                         for collaboration as well as
                                         individual study space.
                                         Additionally, it will make use of
                                         the outside spaces improving
                                         the total asset utilisation.
9. Refurbishment of                      To continue the programmed
   accommodation for the School          renovation of the building
   of Academic Language and              which requires modernisation.
   Learning

Budget: $100K
Completion date: December 2011

10. Refurbishment of existing space      The Institute, a partnership
    in Building Orange 2 on              between CDU and the Hainan
    Casuarina campus to house a          and Anhui Normal universities
    newly funded Confucius               in China, will have a focus on
    Institute                            teaching Chinese culture and
                                         language to people living in
                                         remote areas.
Budget: To be confirmed
Completion date: to be confirmed,
initial concept/space meeting May
2011




                              Page 24
The University will continue to develop its infrastructure to support flexible learning including
further enhancement of the Learning Management System and associated technologies
(collectively referred to at CDU as “Learnline”). An important requirement will be the further
development of infrastructure to support collaborative learning with students (including
upgrading videoconferencing technology and other communication tools) and the preparation of
more specialised flexible learning resources (including green-screen videos, animations and
simulations).

CDU is in the process of upgrading its physical teaching spaces and will refit its central teaching
spaces to more effectively utilise learning technologies and to extend the usefulness and
economic life of classrooms. The University will establish a state-of-the-art, multi-functional
teaching studio including Access grid technology at the Casuarina campus.

Propositions for further development of teaching spaces and learning technologies are included
in a current application to the Commonwealth Government Structural Adjustment Fund for the
establishment of a Flexible Learning Network (see section 3.1). Developments to be pursued
via Education Investment Fund applications include upgrade of the VET Trades training
facilities, which are in need of major refurbishment, and the re-location of CSIRO facilities to the
CDU campus, in furtherance of CSIRO policy and in order to allow for closer working
relationships and synergies to be developed among researchers at both institutions.




Measures
Within the Compact Period CDU will:
      Achieve >99.9% uptime per annum for Learnline by 2014.
      Equip all staff with HD cameras, high quality headsets and appropriate communication
       software and provide training in their effective usage.
      Establish a high-end digital resource production studio.
      Have full wireless capabilities across all campuses.
      Establish a multipurpose Access Grid.
      Refit common teaching spaces to better utilise Fleximode learning technologies.
      Significantly upgrade videoconferencing facilities across all campuses;

Additionally, CDU will continue to rely upon Tertiary Education Facilities Management
Association (TEFMA) Space Planning Guidelines as a basis for capital development. The
TEFMA benchmarks for space utilisation, occupancy and frequency will also used be used as a
reference points and to guide capital development. The intent of Facilities Management is to
further develop these tools for a space planning model which can be applied by management
across the University when operational planning activities are undertaken within the University
by its cost centres. These will also form part of the corner stone when Campus Master Planning
is carried out.




                                            Page 25
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

As set out in the Strategic Plan 2010-2014, the University anticipates, and is planning for,
growth in student load over the next four years. The table below provides current estimates for
CGS funded load for the compact period.

 CGS                                       2011                 2012           2013
 Total EFTSL                               3810                 4190           4190
 Undergraduate                             3302                 3668*          3837*
 Postgraduate coursework                   508                  522            538
 *includes load to be delivered through                         250            300
 BIITE

No major shifts in the proportion of load in different funding clusters are currently anticipated
though some increases in the proportions of load in funding clusters 2, 4 and 6 might be
anticipated as delivery by BIITE is likely to be mostly in fields of education associated with these
clusters. New program development in allied health is anticipated over the course of the
compact.

The University anticipates that the load in enabling programs will increase as a result of both the
introduction of a dedicated enabling program for Indigenous students to be delivered as part of
the arrangements with BIITE and the expansion of CDU’s existing enabling program. The
University wishes to identify a need for the Australian Government to properly support enabling
programs in the context that these are HECS exempt but are a significant strategy in meeting
the objective of increased participation.

The University also anticipates some increase in postgraduate coursework load which it
believes should be supported by Australian Government places on the grounds that this load
represents professional entry level qualifications that are at postgraduate level (such as the
Graduate Diploma in Teaching and Learning) or in postgraduate qualifications required to
properly skill people taking up employment in the Northern Territory.




                                            Page 26
The University anticipates maintaining growth in international student load as illustrated in the
table below. Notwithstanding a pattern of recent strong growth, the University is taking a
conservative approach in specifying forward estimates for the compact period, in anticipation of
the predicted strong downturn in the Australian market for international students.

 IFP                                      2011                2012           2013
 Total EFTSL                              515                 550            590

In terms of onshore international student load the University is focused on enhancing major
partnership arrangements in Wuhu, Haikou and Wuhan (in China) and Kuala Lumpur (in
Malaysia) along with the development of new relationships in Meizhou (China). A new
agreement signed with Hainan University and Anhui Normal University focuses on the
establishment of the recently awarded Confucius Institute in Darwin in 2011. Memoranda of
Understanding and Agreements have recently been entered into with Indonesian universities,
with a focus on law studies. The University is also anticipating entering into an arrangement with
a third party provider in Sydney (the Macquarie Education Group Australia) for the franchised
delivery of programs in business to international students. These developments will assist CDU
achieve its international student load growth targets.

The University is developing a suite of new high quality on line fee-paying postgraduate
coursework products in the areas of business, engineering and health to be offered
progressively through a new set of delivery arrangements aimed at guaranteeing quality of
student experience and outcome. These will be available in the domestic market and should
boost CDU’s low current fee paying load as well as being offered offshore in the medium to
longer term.




3.5.       Other key teaching and learning priorities: University strategies




There are two other matters which are key priorities for CDU in relation to Learning & Teaching:
partnerships to enhance academic outcomes; and the VET-HE Nexus which are discussed
below.

Partnerships
CDU has the following Strategic Goal:


CDU will actively pursue and establish partnerships which strengthen capacity while delivering
mutually beneficial outcomes.

In the first few years of establishment CDU concentrated on embedding the integration of four
separate institutions to form a single University. With that completed, CDU has emphasised and
developed a small number of strategically important academic partnerships which will be further




                                           Page 27
strengthened and elaborated over the life of the compact:


Northern Territory Government (NTG)


CDU and the NTG are implementing the second iteration of a major partnership agreement
(http://www.cdu.edu.au/government/) the overarching aim of which is to continue and expand
upon the mutually productive and cooperative relationship between CDU and the NTG that will
result in lasting and sustainable benefits to the social and economic development of the
Northern Territory. Partnership activities have and will focus on the achievement of the following
core objectives relevant to education and training:
      A critical mass of University enrolments, resident teaching and research staff, and
       funding applications to build the capacity of CDU and enhance CDU’s role as a cultural
       and intellectual leader in the local and global community
      Courses relevant to both industry and NTG needs
      VET and higher education sectors that are relevant and appropriate to industry needs,
       seek to achieve real employment outcomes, offer a range of suitable courses, and
       provide seamless pathways for learning
      A thriving and engaged Indigenous population that achieves success in relevant
       education, employment and training programs clearly linked to social and economic
       outcomes.

Australian National University


CDU has a strategic partnership with the Australian National University (ANU). Dimensions
related to education that are and will be further developed and implemented throughout the
duration of the compact include:
      Articulation pathways in bachelor programs for outstanding students, where students
       completing an agreed first year curriculum can complete their degree at ANU
      Joint development of a new Foundation degree based on integrated VET and HE
       curriculum and with a strong emphasis on workplace learning
      Summer exchange scholars and Visiting Fellows.

Flinders University


CDU is developing a strategic partnership with Flinders University based on past and continuing
cooperation in health but extending to other areas

The CDU – Flinders partnership will be underpinned by a principle-based Collaboration
Agreement signed by the Vice-Chancellors in early 2011. Specific collaborative activities,
including the new Northern Territory Medical Program and the establishment of the Not-For-
Profit venture FCD Health, are governed by more detailed contractual arrangements that build
upon the overarching principles.

The expectation of CDU and Flinders is that the partnership activities will grow into academic




                                           Page 28
and non-academic areas over the course of 2011 and throughout the duration of the compact,
encompassing activities in areas such as engineering, social sciences and humanities,
environmental science and back-office collaboration, including areas such as IT systems. It is
also expected that CDU and Flinders will be developing a joint SAF build to support the joint
initiatives.

Batchelor Institute of Indigenous Tertiary Education (BIITE)


Building on past collaboration, CDU and BIITE are entering a strong and coordinated
partnership to improve tertiary education outcomes for Indigenous Australians and contribute to
the long-term sustainability of BIITE, with the joint Australian Centre for Indigenous Knowledge
and Education (ACIKE) being the vehicle for realising this partnership. New arrangements for
the delivery in partnership between CDU and BIITE of HE offerings previously offered through
BIITE will come into full effect in 2012. Preparations include the mapping of student transition
pathways, the redesign of a specific Indigenous enabling program, the development of
integrated HE curriculum and shared teaching arrangements and implementation of flexible
delivery modes. All HE programs will be subject to CDU accreditation and quality assurance
processes and students will receive CDU awards with a joint BIITE badge. Transition to the new
delivery model is supported by a significant Commonwealth Grant awarded through the
Structural Adjustment Fund - which is also supporting a significant exercise in the harmonisation
of information technology and student services between BIITE and CDU. Arrangements for the
establishment and governance of ACIKE have been agreed between CDU and BIITE and the
Centre will be accommodated in a state-of-the-art building funded by the Australian Government
incorporating leading edge pedagogic and cultural safety design principles that will be the
largest facility dedicated to Indigenous higher education in Australia.

Measures
Performance in Academic Partnerships will be monitored generally by an Academic
Collaborations Committee, which will be established in 2011 and will report to the Vice-
Chancellor. Measures of performance will include:


      Improvement in attracting first preferences of NT students.
      Meeting targets of student enrolments in individual academic partnership agreements.
      Reduction in risk assessments across various issues, monitored via the Vice-
       Chancellor’s Risk Register.
      Number of co-supervised HDR students


VET-HE Nexus
CDU is a multi-sector sector institution. In 2010 about 14,000 students undertook VET offerings
and 7,000 students undertook HE offerings. In many cases, students have benefited from both
VET and HE offerings. The University is seeking to maximise these opportunities through
pathways, shared resources and collaborative means of engagement with its external
communities.
CDU has clearly stated its intent to ensure that students can maximise their opportunities to
study VET and HE courses and reduce study time by accessing recognition for previous study.
In the Vision section of the Strategic Plan, the University states:




                                           Page 29
“As a distinctive multi-sector education provider, this University will be recognised as a leader in
student support and the provision of pathways from vocational education through to advanced
research degrees.”
The University currently has formalised pathways in business, accounting, finance and
hospitality. These pathways are mostly utilised by International students as alternative entry
pathways into HE courses. There is scope to expand these pathways and further promote them
to domestic students, especially those from target equity groups.
During the compact period, CDU will build on its unique multi-sector position to optimise student
pathways across the tertiary education spectrum and increase the formal articulation
arrangements from VET to HE and vice-versa.


Measures
Measures of performance will include:


         Increase in number of formal VET-HE pathways.
         Increase in participation in VET-HE Pathway programmes.




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.




                                             Page 30
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
         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.




                                          Page 31
University performance targets
4.14       The University’s performance targets are in the table below.
           (i) Performance targets refer to the year of payment.

           (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.



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: 13.64% (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         N/A                        N/A

 Improvement
                         13.89%                     14.29%             14.89%                     15.49%
 Target

 Outcome


Performance indicator 1B: Proportion of domestic undergraduate students who are Indigenous
Baseline for improvement target: 4.47% (average of 2008/09 data)


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


 Improvement
                                         4.53%                                         4.64%
 Target

 Outcome




                                                  Page 32
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                                                    Participate in 2013 CEQ* (2012 final
                                          N/A                     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                                                   Participate in the development of the
                                          N/A                          UES to establish baseline
                                                                              performance.

 Outcome                                  N/A




                                                Page 33
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                                                    Participate in 2013 CEQ* (2012 final
                                          N/A                     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                                                    Participate in the development of the
                                          N/A                           CLA to establish baseline
                                                                               performance.

 Outcome                                  N/A


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


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

 Outcome                                  N/A




                                                Page 34
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
       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 35
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 36
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


As a small regional University CDU has made considerable progress in developing research but
nonetheless continues to face significant challenges with respect to building research capacity
and critical mass. In order to meet these challenges the University’s primary strategies are to
concentrate research activity, foster partnerships with other research institutions and align
resources with areas of identified research focus.

Research Concentration
CDU achieves research concentration through focusing its research within the institution to
maximise benefits to both the region and the wider academic community.
To achieve focus, the University has identified a limited number of research focii. These focii are
based on our established research strengths and a small number of developing research
priorities.
CDU currently identifies the following areas of research focus:
        Environment and Livelihoods (identified area of research strength)
        Human Health and Wellbeing (identified area of research strength)
        Social and Public Policy
        Education
        Energy

In addition, Indigenous Knowledges is a cross-cutting research focus that is incorporated, where
possible, into the areas identified above.
The recently released ERA 2010 results support CDU’s identified areas of research strength,
Environment & Livelihoods and Human Health & Wellbeing, as demonstrated below.


 Areas of Research Strength           FoR Code & Name                                 Inst. Rating
 Environment & Livelihoods            05 Environmental Sciences                       3
                                      0502 Environmental Science & Management         4
                                      06 Biological Sciences                          3
                                      0605 Microbiology                               3
                                      0608 Zoology                                    4
                                      07 Agriculture & Veterinary Sciences            4
                                      14 Economics                                    3




                                            Page 37
 Human Health & Wellbeing            11 (BCH) Medical and Health Sciences              3
                                     1103 Clinical Sciences                            4
                                     1108 Medical Microbiology                         4
                                     11 (PAH) Medical and Health Sciences              3
                                     1117 Public Health and Health Services            3

CDU’s ERA data also supports Social and Public Policy and Education as areas in which we
have significant staff capacity (11% and 12% of eligible staff respectively) but where
performance is currently not strong. These areas are considered to be of significant strategic
importance to CDU and the Northern Territory Government (NTG) and, as such CDU is
accelerating the development of Social and Public Policy through the establishment of The
Northern Institute and several new staff appointments, including a high profile Director. Strategic
investment is also being directed to research in the area of Education with the key objective to
significantly lift performance over the next 3-5 years. Cross-disciplinary partnerships with the
Menzies School of Health Research Centre for Child Development and research leadership in
the CRC Plant Biosecurity are critical to this goal. A new Head of School of Education will be
commencing in 2011 and, in conjunction with the Director of the Australian Centre for
Indigenous Knowledge and Education (ACIKE) will play a key role in building strength in this
domain. In addition, the University has established the Centre for School Leadership, Learning
and Development in partnership with the NTG and CDU’s Menzies School of Health Research
has established the Centre for Child Development and Education which has received significant
funding from the NTG and the Ian Potter Foundation.

Energy Research is a very new area of focus and strategic investment for the University and is
considered to be a niche area in which CDU can develop significant research capacity over
time. This is being supported through the recent establishment of the Centre for Renewable
Energy and Low Emission Technology and the Centre for Hydrocarbon Research, Education
and Training, both in partnership with, and receiving significant funding from, the NTG.

Consideration is also being given to including Creative Industries as an area of research focus
for the University and a decision on this is likely to be made early in 2011.

To further support the concentration of research activities into these identified areas of focus,
the majority of CDU’s research activity, until recently, was undertaken within the Institute of
Advanced Studies (IAS). In 2009 an external review of the IAS recommended a closer
alignment between the research schools of the IAS and the Faculty teaching schools and the
establishment of research institutes and centres within the Faculties. In response to these
recommendations CDU moved to establish the following Research Institutes and Research
Centres in 2010:


      Research Institute for Environment and Livelihoods
      The Northern Institute
      Research Centre for Health and Wellbeing
      Centre for Child Development and Education
      Centre for School Leadership, Learning and Development
      Centre for Renewable Energy and Low Emission Technology




                                            Page 38
      Centre for Hydrocarbon Research, Education and Training

In addition, a new definition of Research Active staff was introduced in late 2010 that academic
staff will be required to meet in order to maintain membership of a Research Institute or
Research Centre. Over the course of the Compact a series of initiatives, including mentoring
and support for preparation for publication and for research grant preparation, will be put in
place to better support early career researchers and to improve the performance of mid-career
researchers. Both are critical to CDU’s research output and future research capacity.

In addition a project to identify appropriate impact measures is being framed with the NTG and
the Menzies School of Health Research. This will be informed by the ARC’s consideration of
impact measures.

Menzies School of Health Research (MSHR) has remained an independent research school
attached to the IAS and has been given Faculty status within the University’s organisational
structure.

Research Partnerships
A significant element of the University’s strategic approach to research is the development of
partnerships and collaborative relationships with external agencies. These partnerships provide
the University with access to the critical mass required to enable the undertaking of large scale
research projects aimed at generating solutions to the complex problems faced by northern
Australia and its neighbouring regions. The University targets its activity in partnerships to
support its areas of identified research focus.
Examples include the University’s Partnership with the Northern Territory Government (NTG),
dating from 2004, which has yielded significant advantages in terms of operational outcomes
and capacity building for both the University and the NTG; an MoU with the Australian National
University (ANU) that provides a framework for collaboration and which has resulted in a formal
agreement for joint PhD offerings from 2011 and a marine science alliance with the Australian
Institute of Marine Science, ANU and the NTG. The University is also actively pursuing
partnerships with international institutions. In 2010, MoUs providing a collaborative framework
for research and research training were signed with UNIMAS, UKM (LESTARI) and Hainan
University.

Collaborative Research Networks Funding
Building on existing strengths and research relationships with the Australian National University,
James Cook University and the Australian Institute of Marine Science, CDU has gained funding
of $5,038,353 (60% of requested funding) over three years (2011-2013) for the establishment of
a program of collaborative research relationships that will build capacity around critical
questions that face the nation and the Northern Territory: the social and population impacts of
climate change; the impact of urbanisation and infrastructure development on ‘greenfields sites;
and human migration policy and regulatory impacts. This collaborative program will increase
CDU’s research capacity in the social and environmental sciences and will underpin a
sustainable future for research collaboration across the partnership institutions and their end
users. CDU is also a partner on the successful (albeit with limited funding) CRN submission led
by the Batchelor Institute of Indigenous Tertiary Education that aims to address a national need
for Indigenous researcher capacity building, critical mass and networks of collaboration.




                                           Page 39
Research Resources
A further mechanism by which the University supports its objective of research focus and
capacity building is through allocating resources to areas of identified research focus. At least
95% of RIBG and JRE funding is allocated by the Research and Higher Degrees Committee
(RHDC) to identified areas of research strength and developing areas of priority.

Until recently all funds were allocated through specific competitive funding programs to support
the enhancement of research culture and activity including Fellowship, Time Release, Internal
Project Grant and Special Initiatives schemes, Competitive Infrastructure Grants and Visiting
Scholar schemes, Cooperative Research Centres, University scholarships and conference
attendance programs. The Menzies School of Health Research is an exception to this, receiving
its allocations in the form of block funding on the basis of performance, regulated by an MOU.

However, in order to drive performance and in line with the University’s transition towards
greater localised decision making, the RHDC, in 2010, introduced performance based funding
for all Faculties and Schools. Funds for Strategic Initiatives, Cooperative Research Centre
contributions and University scholarships are still managed centrally by the RHDC, and
developing areas of priority receive an identified allocation through strategic initiatives funding
on submission of an approved strategic plan. The remaining funds are now distributed to
Faculties and Schools on the basis of performance. This change in method of allocation has not
altered the percentage of funding distributed to areas of research focus i.e. in 2010 greater than
95% of RIBG and JRE funding was allocated to areas of research strength and developing
areas of priority.


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
                                                                               Baseline2
                                                                                                        20133

Number of disciplines, as defined by two-digit Fields of                        6                      6
Research (FoR), performing at world standard or above (3,
4 or 5)
Number of disciplines, as defined by four-digit FoR,                            6                      6
performing at world standards or above (3, 4 or 5)
Disciplines the university commits to demonstrating                             3                      3


2
  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.
3
    Target refers to data collected in the previous year. For more information, see definition of baseline data.




                                                        Page 40
substantial improvement in as defined by two-digit FoR
and/or four-digit FoR



Principal Performance
                                                                   Progressive          Progressive          Target
Indicators                                      Baseline4
                                                                   Target 20115         Target 2012          20136

Category 1 income                              11.4m              11.0m                 12.0m                13.0m


Number of joint research grants
and jointly supervised PhD
students with other universities
and research organisations

Joint Research Grants
 in Australia
                                               35                 29                    30                   35
 overseas
                                                2                  0                     2                    5
Jointly Supervised PhD
Students
 in Australia
                                               54                 62                    65                   70
 overseas
                                               13                 12                    15                   20

Additional Performance
                                                                  Progressive            Progressive           Target
Indicators                                       Baseline
                                                                  Target 2011            Target 2012           2013

Research income per RE/RT FTE                    133,782          140,000               150,000                160,000

Research Outputs (weighted
points) per RE/RT FTE
                                                 0.99             1.05                  1.10                   1.15
% joint publications co-authored
with researchers from other
                                                 65%              68%                   70%                    70%
Australian and/or international
institutions




4
  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 relates to income in 2009. Similarly, the
targets relate to the year in which the data is collected.
5
 Progressive target refers to data collected in the previous year. For more information, see definition of
baseline data.
6
    Target refers to data collected in the previous year. For more information, see definition of baseline data.




                                                        Page 41
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).
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


Quality HDR Programs
The University’s Doctor of Philosophy and Master by Research degrees were both re-accredited
in 2010. Input was received into this process by external members of the Research Advisory
Board (Prof Steve Dovers, ANU; Prof Iain McCalman, USyd, Prof Steve Leeder, USyd and Prof
Bill Louden, UWA).

Alignment and Resourcing
Through targeting its resources to designated research focii the University ensures an
appropriate level of human and physical infrastructure for HDR students. University
Postgraduate Research Scholarships (UPRS) are allocated on the basis of merit but have the
added requirement that applicants must be aligned with one of the University’s areas of
research focus. Similarly, successful IPRS applicants must be aligned with one or more of the
University’s areas of research strength or priority, and scholarships provided from other sources
(e.g. APAI, CRCs, government and industry) align with the University’s research focii as a result
of the strategic nature in which the University identifies and pursues its partnerships. Even APA
scholarships that are allocated solely on the basis of merit are, in practice, almost always
awarded in areas of research focus as a result of the human and physical resources, including
externally funded grants, available to those areas.

As a result of this approach the University’s HDR profile closely aligns with the designated
research focii for the University.




                                           Page 42
HDR Students by Broad Areas of Study (2010)
In addition, the University distributes 60% (70% Menzies) of its annual RTS allocation and a
similar percentage of international fees direct to Faculties for use in the support of HDR
students. RTS allocations are currently made on the basis of supervisory load (50%) and
performance (50%).

It is a requirement of the University’s Research and Higher Degrees Committee that the School
in which HDR students are enrolled be able to identify and commit to a minimum standard of
support. This support must be specified, at the time of evaluating each application for
admission, in terms of the availability and quality of the human and physical resources that are
available for prospective HDR students.

CDU has Guidelines on Minimum Resources for HDR Candidates, for office and laboratory
space, computing and general facilities, direct financial support and interlibrary loans for both
internal and off campus students. In practice the Faculties exceed the minimum requirements
for direct financial support.

Increasing HDR Student Load


The University is committed to increasing HDR student load through effective marketing,
increasing international research student numbers and forming research partnerships with
research intensive Australian and International universities. Marketing initiatives include the
promotion of the University’s research intensiveness and niche areas of research focus through
various media, including television and print. From 2011 the University has introduced a
Prestigious International Research Tuition program that will provide fee scholarships for
outstanding international applicants subject to a living allowance being funded by the school
and/or the award of a UPRS or similar.
The University is also pursuing growth in HDR numbers through collaborative partnerships with
research intensive Australian and International universities. Amendments to the Common Rules
for PhD were approved by the University Council in 2010, allowing for CDU to offer joint and
dual-award PhD programs and Principles Governing Collaborative PhD Programs have been
approved by Academic Board. An agreement has been finalised with ANU to offer Joint PhD
programs from 2011 and similar discussions are taking place with Universiti Malaysia Sarawak




                                            Page 43
and Universiti Kebangsaan Malaysia.

Student Satisfaction
CDU’s PREQ data for 2010 (2009 cohort) are encouraging, with all but one measure scoring
above the sector average and 88% of respondents reporting a positive HDR experience overall.
The PREQ results are further supplemented by a biennial survey of current students focused on
the Quality of Supervision and Resources.




HDR Survey Results (2006-2010) - % students satisfied or very satisfied

Improving Completion Rates
CDU’s approach to facilitating the timely completion of HDR candidates includes the provision
of scholarships and adequate resources as discussed above along with the monitoring of
progress and the provision of innovative training targeted at completion. Since 2009 the
University has provided the award winning Innovative Research Universities (IRU) supported
High Performing Researcher program (known as the Complete PhD program in 2009) to HDR
students.

Generic Skills Training
CDU aims to ensure that its HDR graduates are well equipped for the workforce. Attributes
expected of a CDU research graduate include discipline specific research skills, written and oral
communication skills, skills in managing information, problem solving and other high level
cognitive skills, project management, and interpersonal and team working skills.

Providing a quality research training experience through accredited training programs, quality
supervision and appropriate resourcing;

At a University level, a major program is provided through the Generic Skills Training Week
http://www.cdu.edu.au/research/office/workshops.html while Menzies runs a specific health
research training program. In addition, an online program has been developed by CDU “My
Research” http://learnline.cdu.edu.au/myresearch/. This program provides online research
skills training under four categories: Preparation, Planning, Process and Product. HDR students
also have free access to DevelopPD http://www.cdu.edu.au/pmd/NETg/index.html, an online
learning portal for the flexible delivery of e-learning courses with the provider SkillSoft.




                                           Page 44
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                                      Baseline7
                                                                      Target 20118          Target 2012          20139

     HDR Student load                                164.75           168.00               180.00               195.00


     HDR Student completions by
     level of degree
      masters                                        4                2                   3                    4
                                                     17               19                   21                   23
      doctorates

     Additional Performance
                                                                       Progressive          Progressive          Target
     Indicators                                      Baseline
                                                                       Target 2011          Target 2012          2013

     Postgraduate Research                           88%              90%                  90%                  90%
     Experience Questionnaire –
     overall satisfaction (%
     agreement)

     International HDR Student Load                  31 EFTSL         37 EFTSL             41 EFTSL             45 EFTSL

     HDR student attrition rate
                                                     10.3%            7.5%                 5.0%                 5.0%




     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
       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.
     8
      Progressive target refers to data collected in the previous year. For more information, see definition of
     baseline data.
     9
         Target refers to data collected in the previous year. For more information, see definition of baseline data.




                                                             Page 45
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


The University is committed to undertaking research focussed on generating solutions to the
complex problems faced by northern Australia and its neighbouring regions. As such, the
University’s research is primarily applied and directed towards the public good.

CDU-NTG Partnership (2007-2012)
CDU’s Partnership with the Northern Territory Government combines the expertise of both
Parties to create dynamic and forward thinking solutions for the issues facing the Northern
Territory and elsewhere in the world.

Research undertaken under the Partnership has made significant contributions to public policy
and service delivery methods relevant to the NT’s economic, social and environmental needs.
The partnership also supports research programs in niche areas that build on the NT’s
competitive advantage. For example, the marine science alliance, established in 2010, unites
the efforts of CDU, NTG, AIMS and the ANU to focus attention on the critical issues of coastal
and marine sustainable development, climate change mitigation and the protection of
biodiversity, while the Centre for Renewable Energy and Low Emissions Technology (CDU,
NTG), also established in 2010, will be the key institution in spearheading initiatives under the
Northern Territory Government’s Climate Change Policy.

Innovative Research Universities (IRU) Group
In 2009 CDU became a member of the IRU Group, a network of seven world-class universities
committed to conducting high-quality research and applying their collective expertise to
enhance the outcomes of higher education. Research collaboration is a current area of focus for
the IRU and, in 2010, a networking group was formed to share knowledge and explore
collaborative research opportunities under the theme Ecosystem Tipping Points. As mentioned
previously the IRU also sponsors the award winning High Performing Researcher Program
which applies the latest psychological and educational research to enhance the quality and
effectiveness of the research higher degree study experience. From 2010 the focus of this
program has been expanded to include Early Career Researchers.

Supporting Open Access
CDU is committed to contributing to the Open Access publishing environment and to associated
improvements in discovery and access. Over the last 2-3 years the University has invested




                                            Page 46
considerable resources in the development and implementation of its Institutional Repository,
CDU eSpace. eSpace will provide a stable, long term storage location for CDU’s research
outputs and datasets that is easy to access and use by authorised staff and students of CDU
while also making public and open access materials available to the wider world. From 2011 a
portion of the costs associated with the continued development and implementation of CDU
eSpace will be sourced from SRE funding.

Improved Frameworks for the Management of Intellectual Property
The University recognises that its management of intellectual property is an area in which
significant improvements can be made. One of the ways in which the University is addressing
this issue is through the formation of the ORI in 2010, the result of a merger between the
University’s Research Office and Business Development area.

Some progress has already been made with the establishment of principles and standard
clauses for the management of Intellectual Property, confidentiality and publications in
contractual arrangements. In addition, the University has purchased a new Research
Management System that will provide the ability to record contractual details associated with
projects, including arrangements related to IP and publications.

The review of all relevant policies, guidelines and processes has been identified as an activity
for 2011 within the ORI Operational Plan and will include a dissemination and education
component. This will provide the foundation for a subsequent audit of IP across the University.

In addition, a project is underway focused on implementing the requirements for effective
research data management. This project is currently in the scoping stage, identifying the types
of data that will require storage, associated metadata requirements and the range of processes
that need to be developed to ensure effective collection, storage, access and retrieval. SRE
funding will support a position from 2011-2013 that will take carriage of this project.

eResearch
The University is currently exploring options for joining an Australian eResearch institute. This
will enable greater collaboration in epidemiology, environmental research, spatial science, and
mathematical modelling.


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 47
Principal Performance                                              Progressive
                                                                                        Progressive          Target
Indicators                                        Baseline10       Target
                                                                                        Target 2012          201312
                                                                   201111
Category 3 research income                        $3.5m            $3.8m                $4.2m                $4.6m
Number of active collaborations13
and partnerships14 with industry
and other partners:
    in Australia                                 54               55                   60                   65
                                                   3                3                    4                    4
    overseas

Principal Performance Information1516
                                                                Baseline
Number of patent and plant breeder’s rights                     Filed          Issued         Held
families filed, issued and held                                 Nil            Nil            Nil
Number of licences, options or assignments                      No.                   Value($)
(LOAs)17 executed and income derived                            Nil                   Nil
Number and value of research contracts and                      No.                   Value($)
consultancies executed                                          41                    $15,897,091
Investment in spin-out companies during the                     Investment ($)        Value($)
reporting year and nominal value of equity in                   Nil                   Nil
spin-outs based on last external
funding/liquidity event or entry cost

10
  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.
11
  Progressive target refers to data collected in the previous year. For more information, see definition of
baseline data.
12
     Target refers to data collected in the previous year. For more information, see definition of baseline data.
13
   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
14
   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).
15
   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).
16
  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
17
   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 48
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
                                                 Baseline18
Indicators                                                         Target 201119         Target 2012           201320
Number of contracts and grants                   62                43                    50                    60
awarded to support Category 2
research income.

Number of contracts and grants                   22                14                    20                    25
awarded to support Category 3
research income.

Number of contracts and grants                    2                  1                   2                     4
awarded to support Category 4
research income.

8.               FUNDING FOR RESEARCH AND RESEARCH TRAINING PROVIDED BY DIISR

8.1             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.




18
  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.
19
  Progressive target refers to data collected in the previous year. For more information, see definition of
baseline data.
20
     Target refers to data collected in the previous year. For more information, see definition of baseline data.




                                                        Page 49
PART FOUR

9.      COMPACT REVIEW
9.1     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.
9.2     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.
9.3     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 50
PART FIVE

10.         GENERAL PROVISIONS

10.1     Administration of the Compact by the Departments
10.1.1      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
10.1.2      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.

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

10.3     Part 2-2 HESA Funding Agreements
10.3.1      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.

10.4     Privacy, confidentiality and information sharing
10.4.1      Subject to clause 10.4.2 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.
10.4.2      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.
10.4.3      The Commonwealth recognises that the University’s Confidential Information has
            commercial value to the University and may disadvantage the University if it is




                                            Page 51
            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.

10.5     Variation
10.5.1      Subject to clause 10.5.2 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.
10.5.2      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 10.5.2 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.

10.6     Notices
10.6.1      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 10.6.3; and
            b.     must, if a response is required to the notice, set out the time in which the
                   response is to be given;
10.6.2      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 10.6.3.
10.6.3      The Representatives are:
            a.     University Representative
                     Professor Gary Davis
                     Deputy Vice Chancellor Academic
                     Charles Darwin University
                     Darwin
                     Northern Territory
                     0909
                     E: gary.davis@cdu.edu.au




                                               Page 52
                     T: 08 8946 6405
                     F: 08 8946 7075


            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

10.7     Termination/Transition Plan
10.7.1      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.
10.7.2      Notwithstanding clause 10.7.1, 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 53
10.7.3      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.
10.7.4      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.
10.7.5      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

10.8     Order of precedence
10.8.1      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.

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

10.10 Dictionary
10.10.1     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 54
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 Charles Darwin University ABN 54 093 513 649
‘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 55
SIGNED for and on behalf of CHARLES DARWIN UNIVERSITY
by

……………………………………………………..
Signature
Professor Barney Glover
the Vice-Chancellor

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 56
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                                                                              30.832
  -    Regional loading                                                                              5.235
  -    Enabling loading                                                                              0.635

  -    Transitional loading (Maths/Science)                                                          1.422

  -    Advance payment for estimated over enrolment                                                  3.140
  -    Facilitation Funding                                                                          0.772

Higher Education Partnerships and Participation Program

  -    Participation component                                                                       0.664

  -    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                                                                           0.932

Diversity and Structural Adjustment Fund                                                             0.496

Commonwealth Scholarships Program                                                                    0.855
Education Investment Fund                                                                          12.485*
*This figure is an instalment for the project ‘Centre for Indigenous Knowledge’ (EIF Round 2 – total grant
$30.65m)




                                               Page 57
ATTACHMENT B: LIST OF COMMONWEALTH FUNDING PROVIDED TO THE UNIVERSITY BY DIISR
            AND RELEVANT TO THE COMPACT


Charles Darwin University – Research Block Grant Funding for 2011
Research Training Scheme (RTS)                                                 $3,638,685
Australian Postgraduate Awards (APA)                                           $1,222,579
International Postgraduate Research Scholarships (IPRS)                         $123,267
Research Infrastructure Block Grants Scheme (RIBG)                             $2,165,349
Joint Research Engagement (JRE)                                                $2,607,885
Commercialisation Training Program (CTS)                                              $0
Sustainable Research Excellence (SRE) Base                                      $239,684
Sustainable Research Excellence (SRE) Threshold 1                               $472,100
Sustainable Research Excellence (SRE) Threshold 2                               $479,273
Charles Darwin University – Collaborative Research Networks Funding for 2011
Collaborative Research Networks (CRN)                                          $1,342,264




                                           Page 58
ATTACHMENT C      UNIVERSITY CONFIDENTIAL INFORMATION


Not applicable.




                                  Page 59
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.




                                            Page 60
5.   Publication

     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.




                                          Page 61
     7.3   Performance Funding Grant Amount

     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;




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      (b) is effective only to the extent set out in the waiver; and
      (c) does not prevent the further exercise of any right.

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:




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      (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;
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.




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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:

‘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;




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Page 66
ATTACHMENT E     PART 2-2 HESA FUNDING AGREEMENT BETWEEN THE COMMONWEALTH
           AND THE UNIVERSITY FOR THE PROVISION OF THE COMMONWEALTH GRANTS
           SCHEME FUNDING




                                 Page 67

								
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