2003 RESEARCH AND RESEARCH TRAINING MANAGEMENT REPORT

ABBREVIATIONS AND ACRONYMS EXECUTIVE SUMMARY Part A 1 Research and Research Training Objectives
1.1 1.2 1.3 1.4 1.5 Mission Vision Focusing Research Designated Areas of Research Strength Introducing Strategies to Recognise and Develop Researchers 1.5.1 Recognition and reward for top researchers 1.5.2 Provision of support for early career researchers 1.5.3 Identification and support of potential research leaders of the future 1.5.4 Ensuring promotion regulations updated with respect to R&D 1.5.5 Provision of incentives for passive researchers to develop their research career Provision of high quality and industry relevant research facilities Providing a quality training experience for HDR students Attributes expected of research graduates Major Operational Priorities, Targets, Strategies and Outcomes Plans to Enhance Future Research and Research Training Activities 2.2.1 Strategies for increasing completions Enhancing Linkages between Research and Teaching Allocation of Research Training Places Institutional Structure Strategic and Quality Improvement Plan Operational Research and Development Plan Current and Future Internal Funding 3.4.1 2002 RIBG 3.4.2 2002 Institutional Grants Scheme Benchmarking Ensuring a Quality Research Training Experience Current Performance Responses to Surveys on Research Training Experiences at Murdoch Contributions to the National Research Priorities 5.1.1 An Environmentally Sustainable Australia 5.1.2 Promoting and Maintaining Good Health 5.1.3 Frontier Technologies for Building and Transforming Australian Industries 5.1.4 Safeguarding Australia Cooperative Research Centres 5.2.1 The Parker Centre for Extractive Hydrometallurgy 5.2.2 The Australian Cooperative Research Centre for Renewable Energy (ACRE) Pty Ltd 1

3 4 6 6
6 6 6 6 8 9 9 9 9 10 10 11 11

1.6 1.7 1.8

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Future Directions for Research and Research Training
2.1 2.2 2.3 2.4

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12 13 14 15 15

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Managing Research Performance
3.1 3.2 3.3 3.4 3.5

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Ensuring a Quality Research Training Experience
4.1 4.2 4.3

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19 20 21

5

Collaboration and Partnerships
5.1

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23 23 23 23 24 24 24 25

5.2

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5.3

5.4 5.5 5.6

5.7

CRC – Murdoch Node Involvement 5.3.1 The CRC for Sustainable Tourism 5.3.2 The CRC for Molecular Plant Breeding (CRCMPB) 5.3.3 Australian Sheep Industry CRC 5.3.4 CRC for Cattle and Beef Quality WA State Government Centres of Excellence for Industry-Focused R&D Inter-institutional Centres Located at Murdoch or with Murdoch Participation Collaborative Industry, Public Sector and Joint Funding of Research 5.6.1 Public Sector Funding 5.6.2 Industry and Other Funding 5.6.3 University – Industry SPIRT/Linkage Grants 5.6.4 Australian Research Council (ARC) LIEF Grants International collaborative links and exchange programs Intellectual Property Commercialisation Consultancy

25 25 25 26 26 26 26 27 27 27 27 27 28

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Intellectual Property, Contractual Arrangements and Commercialisation
6.1 6.2

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Part B Areas of Research Strength
Research Students (EFTSU) in 2002 Research Income in 2002 Research Active Staff in 2002 Characteristics of staff who supervised HDR students in 2002

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34 35 36 37

Attachment 1
Areas of Research Strength

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Attachment 2
Operational Research and Development Plan

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Attachment 3
Functional Chart

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Attachment 4
Organisational Chart

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Attachment 5
2002 RIBG Expenditures

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Attachment 6
2002 RIBG Expenditures by ARS

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Attachment 7
History of the University Company Pty Ltd Attachment 8 Commercialisation Strategy

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Attachment 9
Intellectual Property Policy and Guidelines

Attachment 10
Opportunity Audit Plan/Description of the Process

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Attachment 11
Vice-Chancellor’s Certification Statement

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ABBREVIATIONS AND ACRONYMS ARC ACRE ARS CRC DEST ECRG EFTSU FTE HERD HDR ILO IP KPI LEIF OPDP PVC(R) R&D RDSC RIBG RQ RTS RRTMR SABC SPIRT SQIP SS&E TLC UNEP UNESCO Australian Research Council Australian Research Cooperative for Renewable Energy Areas of Research Strength Cooperative Research Centre Department of Education, Science and Training Early Career Researcher Grant Equivalent Full-time Student Unit Full-time Equivalent Higher Education Research and Development High Degree Research Industry Liaison Office Intellectual Policy Key Performance Indicators Linkage Equipment Infrastructure Fund Operation Research and Development Plan Pro Vice Chancellor (Research) Research and Development Research Degrees and Scholarships Research Infrastructure Block Grant Research Quantum Research Training Scheme Research and Research Training Management Report State Agricultural Biotechnology Centre Strategic Partnerships with Industry for Research and Training Strategic Quality Improvement Plan The Separation Science and Engineering Group Teaching and Learning Centre United Nations Environmental Program United Nations Education, Scientific and Cultural Organisation

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EXECUTIVE SUMMARY
Murdoch was created as a research university and since its establishment in 1975 has earned and maintained a strong reputation for the excellence of its research work. In 2002 the University had nine focused research areas of international merit that reflect its strengths and multi-disciplinary skills: Established Areas of Research Strength i. Agricultural and Veterinary Biotechnology; ii. Contemporary Asia; iii. Hydrometallurgy; iv. Social Change and Social Equity; v. Technologies and Policies for Sustainable Development; vi. Terrestrial and Aquatic Ecosystems Management and Restoration Emerging Areas of Research Strength vii Bioinformatics and Biostatistics; viii. Intelligent Systems and Software Development for Process Operations Management; ix. Interactive Media. Murdoch is a medium sized university by international standards. In 2002 (as at 31 August), the University enrolled 13,018 students (9,013 EFTSU) of whom 625 (458 EFTSU) were doctoral research students and 108 (54 EFTSU) masters by research students and employed 454 FTE academic teaching and research staff. It had Operating Revenues of $100.71 million and Consolidated Revenues from all sources of $159.16 million. In the competitive new research funding system introduced in 2002 that links research funding directly to research performance, Murdoch has consolidated the strong position it established in 2001 as one of Australia’s top performing research universities on a per capita basis. Research income increased by 29% from $19.36m to $24.94m between 2001 and 2002 and virtually doubled in the five years since 1998 (See Figure 1). Figure 1. DEST Reportable Research Income: 1998 – 2002
$30,000,000

$25,000,000

$20,000,000

Grants

$15,000,000

$10,000,000

$5,000,000

$0 CRC Income Industry and Other Funding Other Public Sector Funding National Competitive Grants

1998 $902,023 $4,625,829 $2,283,185 $4,939,970

1999 $845,440 $4,692,987 $2,256,300 $5,888,205

2000 $1,482,613 $5,002,285 $2,963,505 $6,643,244 Years

2001 $2,236,699 $6,609,666 $3,586,364 $6,924,746

2002 $3,873,441 $7,131,167 $4,697,043 $9,242,680

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Murdoch has reached this strong research position through a process of continuous adaptation and improvement in research and research training. Murdoch’s particular competitive advantages that will ensure it continues to extend and improve on this research and research training performance include: a high percentage of vigorous research active staff (91%); a high proportion of staff at academic level A and above with PhD's (72%); a high proportion of Higher Degree Research (HDR) students indicating continued overall satisfaction with their research training experience (92%); and a research effort that spans a comprehensive range of fields but with concentration in a select few. In addition Murdoch has long-standing and strategic linkages with the public and private sectors, which has facilitated significant levels of business investment in R&D and the increasingly successful transfer of technology from Murdoch to industry. Murdoch’s success in Round 8 of the Cooperative Research Centre (CRC) Program is clear evidence that it has provided an environment that fosters supportive relationships and partnerships with business, government and other organizations. In 2002, Murdoch’s core participation in Cooperative Research Centres (CRCs) increased from two to five. These five Centres will receive some $90 million of Commonwealth funding over their seven-year funding life and promote high quality collaborative research between research providers and research users. In addition they will attract two to three times matching funding support from industry and other sources. In 2002, the allocation of the operational research and research training budget in support of direct costs was driven significantly by the Key Performance Indicators (KPIs) in the Research Training Scheme (RTS) and Institutional Grants Scheme (IGS): Research Income, HDR Completions, HDR Funded Load and Publications. This method of distribution has been effective in signaling the importance of research performance across the institution and in aligning resources with research productive individuals and groups. In short, Murdoch’s focus on outcome driven research in partnership with industry and government has enabled it to consolidate its position in Australia as one of the leading research universities on a size adjusted basis. It is committed to a future of strongly focused research and quality research training. The challenge for Murdoch is to continue to achieve national and international research excellence in a limited number of key areas that will shape the intellectual, economic, social and ethical aspects of its future. Murdoch seeks to develop depth combined with a flexible, open and adaptive approach to its research and research training priorities. The difficulties of achieving these goals simultaneously are recognised but such an achievement will be necessary to achieve research and research training excellence in the future.

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PART A 1. RESEARCH AND RESEARCH TRAINING OBJECTIVES

1.1 Mission In carrying out its mission “to extend knowledge, stimulate learning, and promote understanding, for the benefit of the community”, Murdoch University aspires to be a world-class university, which is distinguished for excellence in teaching and research, accessibility, interdisciplinary and international outlook. The mission statement for excellence and teaching in research specifies that:

Research will be conducted to the highest international standards and will address contemporary problems and issues of significance to the community; and Teaching and learning will be informed by research, and by an understanding of how students learn.

1.2 Vision In pursuit of its vision to be “a stimulating and exciting place in which to work and study, and…be valued as a good corporate citizen within the community”, the University community has been encouraged to adopt values and guiding principles for high quality research that addresses contemporary problems and issues of significance to the community. This mission and vision will be achieved through the following Objectives for research: 1. 2. 3. To maintain a productive research culture with particular areas of national and international strength; To attract talented postgraduate research students and to provide high quality research training and supervision; To increase Murdoch’s external funding base for research.

1.3 Focusing Research Murdoch’s vision for research and research training, is to retain its commitment to excellence across the University. Murdoch recognises that structures for the conduct of successful research span a continuum from individual or small group projects to large focussed groups working in Research Centres. Murdoch has more than 30 specialist Research Centres representing a diverse range of research expertise (see Section 5). However, it recognises that its limited strategic resources cannot be spread evenly. This was encapsulated in the 1999 University Senate resolution “That the University should focus its research effort into areas where it can achieve leadership and a sufficient concentration of resources, including staff, to support a long term research program containing areas of national and international significance”. This resolution was enacted in 2000 with the development of designated Areas of Research Strength (ARS), and has continued to guide the management of research and research training at Murdoch in 2002. The process has been further refined with the development of the Academy for Advanced Studies for internationally recognised researchers and small research groups who do not ‘fit’ into the ARS, and the introduction of mechanisms to direct more support to designated areas of strength. 1.4 Designated Areas of Research Strength In 2002, Murdoch maintained its six areas of research strength and added an additional area of emerging research strength, which is outlined below and detailed in Attachment 1. They provide the focal point for Murdoch’s research and research training activities, incorporating prominent researchers. Together they are responsible for attracting 80% of the University's reportable research income.
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This focussing process commenced in 2000, with the PVC(R) calling for submissions from research groups for designation as established or emerging ARS1. An advisory group from the R&D Board then recommended the final areas. The Areas of Research Strength have been selected on criteria laid down in the ORDP, based on KPIs and benchmarking criteria against appropriate groups nationally and internationally. The KPIs for the previous five years, included: research staff involved, competitive research funding gained, multidisciplinary, publications and other outputs, Honours and PhD completions, international profile and significant contributions to the area. These Areas of Research Strength provide substantial interdisciplinary teams of highly productive researchers to address significant research problems from all perspectives. In 2002, the recognised areas were: Areas of Research Strength Agricultural and Veterinary Biotechnology Contemporary Asia Includes the State Agricultural Biotechnology Centre unique in Australia and the only WA Centre recognised in the top 50 national centres of excellence, containing three state centres of excellence programs. This incorporates the Asia Research Centre (previously an ARC special research centre funded since 1991), with research and consultancy strengths. Areas include environmental science, economics, law, biomedical and veterinary science. Mineral Processing and purification. Incorporates the internationally leading Parker CRC in hydrometallurgy-established 1992. Major collaboration and support from mining industry. Research into social and psychological issues following major external change. Positive ageing, social justice and educational consultancies are key foci. Incorporates the UN Centre of Excellence in International Environmental Technology, the Australian CRC for Renewable Energy (ACRE), the Institute for Sustainability and Technology Policy, and the State Centre of Excellence for Organic Waste Management. This group working with many aspects of WA’s natural resources receives substantial funding from Fish Research and Development Corporation, and the Grains Research and Development Corporation. Emerging Areas of Research Strength Bioinformatics and Biostatistics Intelligent Systems and Software Development for Process Operation Management Incorporates the State Centre of Excellence in Bioinformatics and Biostatistics, the Centre for Clinical Immunology and Biostatistics, the Australian National Genomic Information Service (ANGIS) node and multiple international collaborations. Has strong links to the State Centre of Excellence in Intelligent Processes for Operations Management.

Hydrometallurgy Social Change and Social Equity Technologies and Policies for Sustainable Development

Terrestrial and Aquatic Ecosystem Management and Restoration

1

Process for Determining Murdoch University's Areas of Research Strength: http://www.research.murdoch.edu.au/management/researchstrength.asp

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Interactive Media Institute

Incorporates the Interactive Television Research Institute (ITRI), the Centre for Research in Culture and Communication (CRCC), and the Centre for Electronic Commerce and Internet Studies (CECIS). Explores consumer response, applied research and social impact associated with the exciting interactive media technologies.

The ARS are to be reviewed every three years by a committee of the R&D Board–the Committee for the Review of Centres and Areas of Research Strength. The Committee will use both generic and individual KPIs and benchmarking criteria to review the ARS against appropriate groups (nationally and internationally). The emerging ARS will be reviewed each year, and potential new areas will be assessed every 2 years. Table 1. 2001 Supporting Research in Areas of Research Strength Areas of Research Strength (total) 162 515 237 University Total 454 698 296 % ARS/University 35.7% 73.8% 80.0%

Academic Staff (FTE) Research Students HDR Scholarships

The identified ARS are theme driven and membership is highly restricted in terms of guaranteeing quality research performance and focus. This leaves many highly active and excellent Murdoch researchers with international reputations not included in profiled areas. The University has established the Academy for Advanced Studies, which consists of single or small groups of researchers with an international research reputation, who do not fit in the defined ARS. Although the Academy is not a unified or externally recognised ARS, it will receive preferential strategic funding and scholarships in the new funding model. Succession planning in Areas of Research Strength is vital as leading research academics approach the end of their working career. The PVC(R) in conjunction with the relevant Executive Deans will ensure that succession issues are dealt with in advance. Proactive identification and recruitment of external academics, early identification of potential leaders, nurturing of current early and middle career researchers and provision of postdoctoral fellowships will ensure continuity of research excellence in these areas. The ORDP 2001 - 2003 specifically deals with this issue to ensure that there is a research input into all academic appointments especially senior ones, so that vacant positions are not automatically replaced in the same area but a more strategic approach taken. 1.5 Introducing strategies to recognise and develop researchers The University recognises the need to develop definitions for different levels of research productivity and/or status. Categories of researchers have been defined and a database has been set up to record each researcher's performance individually on research income, HDR completions, HDR load, publications, consultancies, patents, and commercialisations. The R&D Board has accepted the following definitions of researchers:

Active Researcher: a member of staff who has achieved two of the following research results over a 3-year period. ♦ 1 publication (as defined in the DEST collection); ♦ 1 external research grant or consultancy of at least $5,000; ♦ 1 higher degree research student completion.

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Early Career Researcher (ECR): an 'Active Researcher' who completed their PhD or equivalent final academic qualification in the last five years and is in the process of building their research reputation. Staff who had been active researchers for more than five years before moving to Murdoch may be regarded as an ECR (for targeted funding purposes), for a two-year period, while they re-establish their research activities. Potential Research Leader: an individual who would be recruited from existing Active Researchers who has demonstrated outstanding leadership potential by a growing international research performance through publications, review writing, delivering theme lectures at conferences, generating research income, and other research activities (including representing the University on external committees and performing other professional services). In addition, Potential Research Leaders must have proven themselves as initiators of team activities, as research mentors, good communicators, and researchers who share their findings, encourage research colleagues, and developed a public profile. Passive Researcher: an academic staff member who has been appointed to a teaching and research position, but is involved in long-term projects that have not yet yielded results, as well as staff whose research activities have been dormant for a certain period, or who have not yet fulfilled their research potential. Non-researcher: an academic staff member who does not perform any research by virtue of their contract.

1.5.1 Recognition and reward for top researchers In 2000 Murdoch University instituted its first awards for excellence in research. A process was defined for making annual awards in two categories: the first, to recognise achievements by an established, distinguished researcher at the height of their career and the other for an early career researcher of perceived great research potential. 1.5.2 Provision of support for early career researchers The demands placed on early career academics to balance large workloads of teaching, research and research training as well as administrative and community service aspects of their total work portfolio have been recognised by the R&D Board. Early Career Researcher (ECR) Grants have been incorporated within a new merit based Grants Scheme, the Research Excellence Grants Scheme (REGS)2, and provide seed funding incentives for early career researchers. The new ECR support scheme is in place for 2002 funding. 1.5.3 Identification and support of potential research leaders of the future The R&D Board will identify potential leaders in current and newly emerging research areas. They will be given specialised opportunities for further development in management and also supported in their research endeavours to assist them to develop quickly and broadly. 1.5.4 Ensuring promotion regulations updated with respect to R&D Promotion criteria that relate to research have been biased towards scholarly work with National Competitive grants and publications weighted heavily. With a broadening interpretation of R&D that includes consultancies, tenders, patents and commercialisation, it is necessary to overtly recognise research in all of these forms within the promotion process. The promotions criteria already include consultancies and patents. Additional parameters will be added to the criteria to reflect the broader range of research endeavours and the Promotions Committee will be able to take these additional activities into account.
2 http://www.research.murdoch.edu.au/grants/regs.asp
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1.5.5 Provision of incentives for passive researchers to develop their research career There are some Murdoch academics with relatively low research track records in terms of producing research income; supervising HDR students to completion, or publishing in peer reviewed journals or books. Reasons for this may reflect heavy work overloads in other aspects of their portfolio or a part time career. For those who wish to improve their research performance and possibly then qualify for entrance into Areas of Research Strength, the R&D Board offers encouragement by provision of small research grants, which are awarded and administered by the Academic Divisions. To be eligible there must be a stated outcome such as an application for an external funding source, or provision of equipment to allow a research project or HDR student to complete faster. 1.6 Provision of high quality and industry relevant research facilities Murdoch appreciates that quality research facilities and equipment are essential for research excellence, and that state of the art facilities support productive industrial collaborations. Murdoch has had strong engagement with industry through research and consultancy activities. These interactions have typically been built around or necessitated access to the University’s major research facilities and equipment. To this end Murdoch has allocated significant resources for matching and directing funding to appropriate facilities. These resources increased in 2002 with the new funding model that made available $300,000 for major research facilities and infrastructure. Murdoch is concentrating on providing such facilities for the ARS and is active in promoting applications to the Linkage Infrastructure Equipment Fund, the Systemic Infrastructure Initiative and other Backing Australia’s Ability initiatives as well as applications to private funding bodies such as the Wellcome Foundation. Murdoch currently hosts a number of high quality research facilities. In 2002, Murdoch University was successful in attracting $600,000 from the Australian Research Council Linkage – Infrastructure Equipment and Facilities Scheme for glasshouse facilities and growth chambers at the State Agricultural Biotechnology Centre (SABC). Plant production is a major economic activity in Western Australia and generates more than $4 billion per annum for national economy. To compete in world markets, sustainable plant production is increasingly based on detailed scientific knowledge of plant genetics, responses to pests, diseases, biotechnology and molecular biology. To support such knowledge, the plant research community in Perth was in need of growth facilities for plant research and containment facilities. In partnership with the University of Western Australia and with supplementary funding $496,000 this facility was extended and commissioned as the “Joint Controlled Environment Facility for Research and Development in Plant Biotechnology in Australia”. Murdoch’s SABC will also house the first full proteomics facility in the State, and one of only four in Australia. Proteomics is the study of the patterns of expression of proteins in cells, tissues, organs or organisms in response to external stimuli. The facility enables research to go beyond genetic analysis, by allowing researchers to look at the way a cell responds over time to environmental stresses and other external influences such as non-genetic diseases. The SABC had some of the best genomics and proteomics equipment in Western Australia, making it a central hub for biotechnology researchers. Researchers from all four public universities will use the proteomics equipment, for a variety of projects including testing the effect of changing pH levels on legumes and the patterns of protein expression in Alzheimer's disease. The proteomics facility was funded by an Australian Research Council Linkage grant in 2002. Murdoch’s new United Nations Environmental Program (UNEP) Environmental Technology Centre will enable WA to play a major role in the development and application of environmental technology. The Asia Pacific UNEP Centre, will see Western Australia lead Australia in the field of environmental technology - the fastest growing sector of the global economy. Murdoch’s Environmental Technology Centre is the first of four global UNEP co-operation centres, with others based in Africa, Latin America and West Asia. The UNEP will invest $1.2 million in the Centre, with the State Government putting in $600,000, Murdoch University $150,000 and Alcoa $50,000. The environmental technology industry is
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currently worth around $8 billion in Australia - a figure that is increasing by about 10 per cent a year. By 2011 the industry should be worth around $40 billion. The State should reap considerable benefits from the UNEP Centre’s location. More than 50 environmental technologies have already been used in building Murdoch’s existing Environmental Technology Centre 1.7 Providing a quality training experience for HDR students Murdoch is committed to the recruitment of high quality Australian and international students and to providing an exciting, vibrant, demanding, and excellent research training experience that takes place in an environment of research active supervisors who have a good track record in successful and timely completions. Murdoch is putting in place strategies to encourage more flexible research degrees as a joint arrangement with industry or private sector partners so that the flow on of research graduates to employment is augmented and that the diffusion of research and development outcomes is promoted to the partners. 1.8 Attributes expected of research graduates Murdoch has a well-defined set of expected attributes of research graduates, that extend those expected of first-degree graduates. These are based on the ability to think, analyse, communicate clearly, and use knowledge appropriately, to demonstrate good literacy and numeracy skills, and a commitment to learning, leadership and social responsibility. Research graduates are expected to have: a higher level capacity for critical, conceptual and reflective thought, greater intellectual curiosity, more technical competencies, higher level knowledge in their field of specialisation, better research, discovery and communication skills, more flexible problem solving skills and the capacity for team work and independent work, and leadership. The attributes can be summarised follows: Generic Attributes of a Murdoch Graduate Communication To demonstrate oral, aural, and writing skills of a high level, including the ability to use electronic media and computers for report writing and presentations. Analysis and Problem Solving Ability to think clearly, critically and creatively when solving problems to fuse experience, reason and training into considered judgment. Social Justice An acknowledgement of and respect for equality of opportunity, social justice and social responsibility of the individual and the community, in the light of awareness of one’s own values and the values of others and the differences that exist. Global Perspectives Ability to understand and respect the social, biological, cultural and economic interdependence of global life. Social Interaction A capacity for and understanding of teamwork, including the demands of tolerance and mutual respect for others, resolving conflict and the negotiation of outcomes. In depth Professional Knowledge Use and maintain knowledge about a discipline, in terms of theoretical, conceptual and methodological elements, striving continually and independently to secure further knowledge and understanding with appropriate ethical standards, and where appropriate, defined professional skills. Interdisciplinary To be aware of the interconnectedness of human knowledge and acquire knowledge and understanding of fields of study beyond a single discipline. 11
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Research graduates are also expected to have an understanding of the importance of Intellectual Property (IP) in the commercialisation process and to be aware of the relevance of IP in their own work. This is fostered through annual commercialisation audits and training courses (See Section 6). Graduate attributes have been reviewed by a working party of Academic Council and an implementation plan is being devised. In the recent Academic Quality Audit by the NZ Universities Academic Audit Unit, the University was specifically commended for the prompt attention paid by the Division of Science and Engineering to implementing the seven graduate attributes.

2.

FUTURE DIRECTIONS FOR RESEARCH AND RESEARCH TRAINING

2.1 Major Operational Priorities, Targets, Strategies and Outcomes Murdoch’s overall approach is to bring about a broad change in its research culture. These priorities, targets, strategies and expected outcomes to effect these changes are listed in the Operational Research and Development Plan 2001 – 2003 (See Attachment 2). Whilst Murdoch encourages and supports research excellence across the University, it has the following strategies to focus and suitably resource its research efforts, some of which are already accomplished and some in train for future implementation. These strategies aim to:

Continue to assess and possibly amend recognised ARS (established and emerging) (responsible for 80% of current research income) that will receive support from centralised strategic funds. The ARS have strong research; large numbers of associated research active staff, research students and postdoctoral fellows; significant external support from the academic, industrial, government or commercial sectors; excellent prospects of employment for HDR graduates and significant outcomes in terms of publications, reports and results of practical value to the community; Identify and support emerging areas of potential research on an ongoing basis. Other areas for potential designation include atomic and surface physics and adaptive learning processes. There is recognition that funding new or growing areas may be more cost effective than topping up our current high profile areas capable of generating their own research funding, except where they require seed funds for innovative projects that cannot be supported from other sources; Identify potential future research leaders and nurture these researchers; Support research active early career researchers; Encourage interdisciplinary strategic groupings of researchers, and assist collaborative research across campus to form larger groups focussed on particular research issues. This will facilitate sourcing large international funding agencies for R&D project grants that address complex problems; Encourage collaboration in the focus areas with other quality R&D groups or individuals in international or national tertiary institutions and the public and private sectors; Reward Murdoch’s internationally recognised researcher leaders. Some of these lead or are members of Areas of Research Strength while others may work in small groups or largely alone and be recognised in the Academy for Advanced Studies; Encourage the creation of an increasing number of research positions that are exclusively or primarily for conduct of research;

• • •

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• •

Provide incentives for passive researchers to improve their research profiles; Provide core financial support to major initiatives or applications for major infrastructure or equipment by obtaining maximum leverage of University funds. Priority for University funds provided to LEIF grants, Systemic grants, State government Centres of Excellence grants, Major National Research Facilities grants and others is based on minimum return on investment of total funds to the University. This ensures an optimal use of University funds; Ensure that research funding and resources are primarily distributed to ARS through the new research-funding model. This model rewards research excellence, taking into account research income and HDR completions as the major drivers and HDR load and publications as the minor drivers in the resource allocation process; Provide a quality training experience for research students and to build our numbers gradually by attracting quality applicants and providing the maximal number of scholarships. Careful selection and matching of research students to supervisors with an excellent supervision record is in train. Provision of separate professional development courses for research students and for supervisors will continue; Diversify and increase discretionary income is a key strategic objective that will be facilitated by increasing consultancies, increasing fee paying research students from overseas and managing Murdoch’s significant IP base to bring projects to commercialisation. In addition commercial ventures such as Murdoch College and the retirement complex of St Ives that form part of the campus town plan will start to return discretionary funds to Murdoch within four years; Market Murdoch's research strengths thus improving its International and National profile; Ensure the promotions system for academics reflects the new emphasis on consultancies and commercialisation; Continue to provide assistance for those HDR students and academic staff researchers from identified equity groups that are prioritised by the University; Succession planning.

• •

In short Murdoch is undergoing considerable and rapid change. It is committed to a future of strongly focussed research and quality research training. The challenge for Murdoch is to achieve national and international research excellence in a limited number of key areas that will shape the intellectual, economic, social and ethical aspects of our future. Murdoch seeks to develop depth combined with a flexible, open and adaptive approach to its research and research training priorities. The difficulties of achieving these goals simultaneously are recognised, but such an achievement will be necessary to achieve research and research training excellence in the future. 2.2 Plans to Enhance Future Research and Research Training Activities As noted previously, the established ARS are to be reviewed by a committee every 3 years and emerging ARS will be reviewed each year, with potential new areas assessed every 2 years. Likely future areas for potential designation include atomic and surface physics and adaptive learning processes. Murdoch University continues its strategy to grow the number of research students to 7% of total student load by 2003 (new ORDP R16.5a). In 2002, the University enrolled 12,354 students (8,527 EFTSU) of whom 603 (483 EFTSU) were doctoral research students and 95 (50 EFTSU) masters by research students, representing 6.25% of the total student population. The emphasis during the HDR program is on
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a high quality research experience with the production of theses to exacting international standards and positive employment outcomes for students. Murdoch has produced a supervisor database to further improve supervision matching for students. The multi-disciplinary nature of Murdoch’s undergraduate and postgraduate programs, in conjunction with its tailored supervision, has made Murdoch particularly attractive to mature aged students, many of whom have considerable experience in the workforce. Demand for places from well-qualified applicants continues to be high, however, the ability of the students to accept entry into a program of study is limited by the availability of scholarships. Recognising this the University has strategies to assist students to obtain financial support, which include providing additional, partial or fully funded scholarships from internal and external sources. Murdoch actively seeks collaborative HDR training programs in which part of the research experience is obtained externally in a commercial government or industrial setting with joint supervision. The commitment to and success in improving the quality of HDR supervision and research infrastructure for postgraduate students is monitored by surveys. These assess the satisfaction of research experiences of postgraduate students (See Section 4). 2.2.1 Strategies for increasing completions The funding framework for research and research training laid down by the Government in Knowledge and Innovation reduced the importance of research student load and increased the importance of research student completions as a driver of funding for research training. In response to this, and to studies that show that there is a critical period (three to four years) after enrolment when students need special support to ensure completion, Murdoch has undertaken a number of new initiatives to increase PhD completion rates:

Maximise the number of scholarships available. Murdoch’s surveys show that the completion rate of full-time students is twice that of part-time students. If a good student who would otherwise enrol part-time can be provided with a scholarship to enable that student to study full-time there is twice the probability of the student completing the research degree. The R&D Board is therefore endeavouring to increase the number of scholarships for HDR students. In 2002 Murdoch increased scholarship awards by 13% compared to 2001, by the allocation of over 50% of the R&D Board's strategic funding. In particular, 90% of scholarships were awarded in Areas of Research Strength, and 89% of those with top up stipends. The total number of scholarships funded by DEST in the form of an APA, APA (I) or IPRS was 38 in 2002. In addition Murdoch internal funding from the R&D Board provided 45 scholarships; Provision of new “PhD Completion Scholarships” for up to 6 months, valued at up to $4,000 each. The intention is to encourage students close to completion to work full time on their theses, and so complete them earlier. 20 Completion Scholarships were offered in 2002; Murdoch intends to ensure that there is strong and active research training supervision. This will be facilitated by “Supervisor Support Awards”, in which up to $2,000 per supervisor per year will be awarded each year. These funds can be spent on any legitimate purpose that supports the research student-supervisor relationship, including editorial support, buy-out of routine teaching or marking, purchase of computers or software, etc; Murdoch will also run at least two professional development courses in research student supervision per annum, and the above supervisor support awards will only be provided to supervisors who have participated in a course within the previous three years; In order to encourage supervisors and students to approach business, government agencies and other external organisations to help fund joint scholarships for research degrees, the R&D Board has agreed to match funds raised on a dollar for dollar basis to a limit of $30,000. 14
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2.3 Enhancing Linkages between Research and Teaching Murdoch holds that the basis and quality of its undergraduate teaching is informed and improved by its researchers either being teachers or interacting with undergraduate students in other ways. It provides students with the message that knowledge acquisition and understanding is a continuing process and not frozen at the time of their lectures. This is an important message for those undergraduates who then leave to pursue futures that do not include further tertiary studies. In addition, however, such a knowledge of Murdoch's research strengths may lead to the greater retention of students for honours years and then also for research degrees. A working group of the R&D Board addressed these issues and made a series of recommendations, which were accepted by the Board. These recommendations are also incorporated into the ORDP 2001 – 2003 and include:

The research of the University should be publicized more systematically to the undergraduate-level students through the teaching curriculum; Our best undergraduate students who show an aptitude for scholarly work and research should be nurtured. A letter of commendation should be sent to them pointing out the possibility of pursuing further studies in a research area and the role of the honours degree in this process including opportunities for summer vacation work in our research; The University should better emphasize its standing as a Research University in its promotional material and advertising; The linkage between research and teaching and its importance is acknowledged formally by enshrining it as part of the Strategic Plan’s research strategies; A series of awards has been established for excellence in research; The supervision of higher-degree research students to be properly acknowledged as a teaching activity contributing to research training and due weighting of this activity to be taken into formulation of teaching load; In discipline areas where a program-teaching load is marginal, but the discipline has a strong research/research training capacity, and is contributing substantially to the research income of the University, the University should consider the option of converting the discipline's role to one of research/research training only.

• •

2.4

Allocation of Research Training Places

Murdoch continues to attract high quality HDR students; it manages the allocation of research training places principally through the application of rigorous merit-based admission standards and secondarily through the strategic allocation of scholarships. The University had 28 gap places in 2002 and is continuing to manage the distribution of these places so that they are phased out by 2004.

3.

MANAGING RESEARCH PERFORMANCE

Murdoch has in place both a management structure and the financial controls to manage research performance. Internal funding is allocated by a number of mechanisms and is primarily based on research performance. (Mechanisms in place include planning processes, resource allocation mechanisms, performance monitoring arrangements, benchmarking, incentives to reward research performance and

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support for staff development). This area was extensively audited in the recent external quality audit3 that concluded by noting: "With its high reputation for teaching, MU's research strengths are sometimes overlooked. For example, MU has a high percentage of staff with PhDs. Responding to the research White Paper, MU carried out a thorough process for identifying major and emerging research areas. Identified areas will receive more favourable attention for internal funding and staff positions, and will attract differential support from federal scholarship funds. MU is now considering how to continue to support researchers who do not fall into either of these categories, and is contemplating the notion of an 'Academy' for these staff. This is a creative idea, and MU is encouraged to work through it carefully and to aim to be inclusive. Over time, some areas may wither, and/or the staff join other groups, but it is essential for any institution to be selective in the areas it can support.". 3.1 Institutional Structure Murdoch’s Senate and its subcommittees have the role of providing the policy framework and strategic direction of the university and are ultimately responsible for the fiscal and financial management of the university (See Attachment 3). On the practical level policy development, planning, monitoring and revision are the remit of the Senior Executive with portfolio responsibility for the policy area (See Attachment 4). The President of Academic Council has a management role in the development of academic policy matters. Academic Council and its sub-committees have the role of developing, planning, monitoring and revision of academic policy. To aid the monitoring process mechanisms and audit procedures are put in place to ensure compliance. Revision of policy is either scheduled at the time of approval or the need identified in the monitoring or audit processes. Murdoch’s structures and planning processes in support of high quality research and research training are defined as follows:

The key position for research and research training in the University is the Pro Vice-Chancellor Research; The Division of Research & Development, reports to the PVC(R) and facilitates all aspects of research administration including policy, grants, research degrees and scholarships, ethics, intellectual property management, and the commercialisation of research; The R&D Board4, chaired by the PVC(R), is the senior policy-making body for research and development. It also administers candidature for postgraduate research degrees and allocation of postgraduate scholarships. It allocates research and development funds assigned to it by the Vice Chancellor, (subject to any conditions the Vice Chancellor may specify). The Board’s purview includes strategic, resource and academic matters related to research, and it has a strategically framed budget (See Section 3.4); The Research Degrees and Scholarships Committee (RDSC), a standing committee of the Board, is responsible for implementing policy on postgraduate student issues. The Chair is the Director of Postgraduate Studies, who is Deputy Chair of the R&D Board and responsible to the PVC(R) for research training;

3 4

http://www.murdoch.edu.au/vco/admin/reports/audit/section6.html http://www.research.murdoch.edu.au/management/briefing.asp#3

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Each Academic Division has a Research Committee responsible to the Executive Dean for Divisional responsibilities in research and research training, and a research coordinator responsible for postgraduate support. Liaison processes between the R&D Board and Divisional Committees have been strengthened and Chairpersons of the Divisional Research Committees attend R&D Board meetings improving the two-way information flows; Executive Deans are responsible to the Vice Chancellor and Senate for fostering excellence in teaching, learning and research throughout the Academic Divisions, including monitoring performance outcomes and introducing strategies to improve performance, and oversight of the development and performance appraisal stuff; The Office of Internal Audit provides independent review and appraisal of the adequacy and effectiveness of the University’s managerial control of R&D, including the management of risk; The Academic Quality Audit Committee is responsible for ensuring the quality of the University's academic offering including research and development.

3.2 Strategic and Quality Improvement Plan The 1997-2002 Strategic Plan is consistent with the Knowledge and Innovation policy framework for research and research training. This Plan seeks to provide an operating environment at Murdoch that reflects its research oriented ethos and competitive advantages. The Strategic Plan provides the crucial framework for the current and future operating environment for research within the University. It provides: the institutional objectives for research and research training, arrangements to manage intellectual property issues, and the commercialisation of research outcomes. Performances against the objectives in the Plan are reviewed annually, and the University was commended in the Academic Audit by the New Zealand Universities Academic Audit Unit for “compiling a coherent plan (Strategic Plan) and related indicators”5. 3.3 Operational Research and Development Plan In addition to the Strategic Plan, the Operational Research and Development Plan for 2001-2003 serves as a comprehensive document for all research and development activities. It defines a new raft of KPIs placed on each activity, and specifies the management level responsible for implementation, and the reporting mechanisms as well as the management level ultimately responsible for the outcomes. The ORDP 2001-2003 has identified clear areas of current research excellence, a process for identifying emerging areas of research strength and methodology for continually monitoring and improving them. The University was commended in the Academic Audit by the New Zealand Universities Academic Audit Unit for its “research strengths in some areas, and MU’s identification of major and emerging research areas”. The ORDP provides for the detailed management of research and research training within the University, which is a key component in achieving the University’s vision and mission.

5

Strategic Plan http://wwwadmin.murdoch.edu.au/planning/sqip/1997/

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3.4 Current and Future Internal Funding Murdoch devotes extensive resources to support its research effort. Total research related expenditure (capital, labour, scholarships, etc.) in 2000, according to ABS returns, was in excess of $32 million. The new funding model has been implemented in 2002. The University directed $8.1 million to the R&D Board, in support of research and research training activities (inclusive of scholarships). In addition $4.3 million was allocated to the Academic Divisions on the basis of research performance. The distribution (47% Research Income; 33% HDR completions; 10% HDR Funded Load; and 10% Publications) closely reflects the weighted average of the Research Training Scheme and Institutional Grants Scheme factor weightings. This method of distribution has been effective in signaling the importance of research performance across the institution. To facilitate the implementation of its strategic objectives, the R&D Board administers a small number of programs in support of research ($3.5 million) that target:
• • • •

Research Excellence; Research collaborations and partnerships in Areas of Research Strength; Maintenance and development of key research facilities and infrastructure; and Seed funding for key strategic initiatives.

The University is required to report on the expenditure of its 2002 Research Infrastructure Block Grant (RIBG) and the Infrastructure Grants Scheme (IGS) allocations. 3.4.1 2002 RIBG Murdoch University received $1,507,000 under the RIBG scheme in 2002. The R&D Board (1998) resolved that 12% of the Research Infrastructure Block Grant was to be provided to the Library. The 2002 RIBG funds were allocated as follows: Library Academic Divisions Research and Development Board $ 181,000 $ 717,000 $ 610,000 $1,508,000

The allocation to Academic Divisions was based on the research performance of each Division as assessed by the Murdoch University Research Index (MURI), which closely mimics a composite of the RTS and IGS . The Academic Divisions and the Library are required to report on expenditure against the RIBG Guidelines to the Research and Development Board at the end of the year (See Attachment 5). The Research and Development Board used RIBG funds to support strategic initiatives in the ARS (See Attachment 6). 3.4.2 2002 Institutional Grants Scheme Murdoch University received $3.96m in 2002 from the IGS in support of its research and research training activities. In 2002, $1.05m was allocated to the Academic Divisions for general research infrastructure support via a weighted index that reflected a composite of the IGS and RTS. The remaining $2.91m was allocated to the Research and Development Board to support research and research training initiatives on a competitive basis and in line with the University’s strategic objectives for research centres, research scholarships, research grants and other research support.
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3.5 Benchmarking The University ensures high standards in research and research training by benchmarking its performance against comparable Australian and international universities including Macquarie, Wollongong, Newcastle, Tasmania, Flinders, Griffith, La Trobe and James Cook Universities. Murdoch has also benchmarked its specific Areas of Research Strength against similar research areas both nationally and internationally. For example, benchmarking of research in biology, biotechnology, and environmental sciences against similar Schools at the University of Lancaster in the UK has been conducted since 1998. Murdoch’s research productivity is also confirmed by its Australian rankings for KPIs, which show that Murdoch outperforms other larger institutions. Although Murdoch ranks 28th in size based on academic staff FTEs, when controlling for size, Murdoch’s ranking is 12th nationally. In terms of research outputs there were 10 publications per 10 research staff FTE in 2001, and an average of 2 HDR student completions per 10 academic staff FTE. In 2002, a total of 1,083 commencing full fee-paying international students enrolled at Murdoch. This figure included 249 postgraduate students, 232 of whom enrolled in postgraduate coursework degrees and 17 in research degrees. The average time to complete HDR students has decreased steadily from 5 years in 1996 to 4 years in 1999, where it has remained relatively constant.

4.

ENSURING A QUALITY RESEARCH TRAINING EXPERIENCE

Murdoch recognised the importance of quality assurance and the benefits of external verification through external auditing of University performance. In April 2001, the New Zealand Academic Audit Unit6 was invited to undertake an audit of the University. Murdoch was commended in many areas by the audit team, and is actively implementing its recommendations. 4.1 Ensuring a Quality Research Training Experience Murdoch University is strongly committed to ensuring quality in the research training experience by mechanisms managed both by Academic Divisions and by the Division of R&D. The expectation is that research students should be fully supported but challenged to adopt critical thinking, develop and test new ideas and make a new and significant contribution to their field. They should be exposed to a range of new concepts and challenges, and helped to adopt rigorous analysis and writing practices. On completion of their studies, they should be fully equipped to carry out and lead research in their chosen fields. Murdoch was commended in the Academic Audit by the New Zealand Universities Academic Audit Unit for having in place “comprehensive and effective procedures…for postgraduate students, particularly in relation to establishing research topics and appointing supervisors”. The strategy for ensuring quality is detailed in the Strategic Plan. Murdoch aims to:

attract and retain talented postgraduate research students and to provide high quality research training and supervision; improve the quality of postgraduate supervision and the research infrastructure for postgraduate research students.

Quality in the research training experience is based first on attracting high quality students into Honours and PhD programs and then on supporting them in their studies; being responsive to their views and needs; providing appropriate induction and training courses; providing top quality infrastructure, library and computing facilities; monitoring progress of research; participating in seminar series; providing opportunities to demonstrate in laboratory classes; providing training for research supervisors; providing
6

External Quality Audit Report http://www.murdoch.edu.au/vco/admin/reports/audit/

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flexible and sensitive conflict resolution and counselling services; providing support for attendance at national and international conferences and involvement in collaborative projects where possible; and providing training in report writing. Special provision is made for International students in terms of additional induction activities, assistance with accommodation, language and other personal support. The operational strategies of the Strategic Plan in this area include:
• • • •

careful selection of students; careful matching of students, projects and supervisors; maintaining a register of supervisors; requiring a program of study, annual reports and milestones (substantial pieces of work) for each student; clearly establishing responsibilities of students and supervisors; attract, retain and support students of high calibre; increase the number and value of internally and externally funded scholarships; preferential location of research students in areas of designated research strength; provide a University-wide induction for all new research students; provide training courses for supervisors; provide training courses for postgraduate research students; ensure that research students have access to adequate infrastructure and maintenance funds to conduct approved programs of study; conduct surveys of postgraduate research student opinion; establish flexible and effective procedures to monitor, and where necessary intervene, to assist with postgraduate research student progress; establish flexible conflict resolution procedures to resolve problems between research students and staff; encourage every research student to present their research at a national or international conference at least once during their candidature.

• • • • • • • •

• •

For each of these operational strategies the current performance is assessed against targets to maintain and improve quality. All the Operational Strategies are monitored in annual performance reviews and have targets set to maintain and improve the quality of research training at Murdoch University. 4.2 Current Performance Current procedures incorporate the above Operational Strategies. In 2002, 49 internally funded and 25 externally funded research scholarships were offered. Of these, 90% of internally funded research scholarships and 82% of externally funded research scholarships were concentrated in ARS. The high level of industry involvement ensures that research is relevant to contemporary economic and social
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needs. Up to three scholarships are awarded each year for entry for outstanding candidates without high formal academic qualifications. A University-wide induction for all new research students is conducted annually and complements induction activities provided by the Academic Divisions. Murdoch International makes sure that International research student needs are fully addressed, with a comprehensive induction program over 12 weeks, depending on the students’ circumstances and time of arrival. Academic Divisions are required to monitor and report on the resources provided to HDR students, including maintenance funds, conference travel, access to research space, desks, computers, communications, photocopiers, equipment and facilities, and other specific requirements. Monitoring of research student progress is based on a constantly improving Annual Progress Report, which includes reporting research progress, problems, planning and milestones. All HDR students are surveyed about the quality of supervision. Surveys are conducted by the Teaching and Learning Centre (TLC) and reported to Research Degrees and Scholarships Committee (RDSC) (results of surveys are presented in the next section). Annual training courses are conducted for early career supervisors and experienced supervisors. Annual generic skills training courses are conducted for research students at no cost to the students. Courses are usually assessed. They include health and safety courses, report and thesis writing courses, computing/word processing/PowerPoint/web courses, specialised courses on specific topics (eg bioinformatics, molecular biology and gene mapping), IP/patenting and commercialisation skills, and assistance to find employment. The R&D Board provides travel funds up to $3,000 per student during their candidature to support conference participation. The University’s research training performance has steadily improved, with average completion times decreasing from 54 months in 1997 to 47 months in 2002. 4.3 Responses to Surveys on Research Training Experiences at Murdoch Surveys of existing students, non-completing students and focus groups are regularly conducted at Murdoch. A major strength and competitive advantage of Murdoch University in research training is that it encourages multidisciplinary research and intellectual freedom. The TLC survey of research students in 2002 shows that 85% of students consider that Murdoch University achieves its educational objectives. The students know what is expected of them (88 %), are helped to follow their own independent ideas (92%), interpretations (90%), new areas of knowledge (81%) and choose their own theoretical context (90%). Murdoch University encourages professional development, including development of workrelated skills. Students opinion shows that their research training has developed their critical thinking skills (88%), professional skills (92%) and extended them intellectually (93%). Regarding supervision of research, 92% strongly agreed or agreed that they are satisfied with the quality of supervision for their research. A number of options are being considered for the collection and reporting of employment outcomes for HDR students including the development of an employment survey and the reporting on performance in School Reviews. Divisions Report annually to the RDSC on their provision of resources to students. A creditable 68% of students were satisfied that there was appropriate financial support for their research.

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5.

COLLABORATION AND PARTNERSHIPS

As articulated in the Strategic Plan, the University actively seeks to expand and promote strong and vibrant links with industry, government and other research users and providers at the local, national and international level. These objectives are summarised as follows:
• • •

To increase Murdoch’s external funding base for research; To develop links with key external research funding agencies; To foster links with industry, commerce, government agencies and other universities in mutually important research areas with a view to generating increased research funding; To increase the commercialisation of research and improve the management of consultancies (See Section 6).

There is clear evidence that successful implementation of these strategies by Murdoch has provided an environment that fosters supportive relationships and partnership with business, government and other organisations. These relationships are expressed through a number of initiatives including the Cooperative Research Centres (CRCs); cross-disciplinary and cross-institutional centres; collaborative grant applications; and partnership with industry—including incubation of companies. The University develops supportive relationships with strategies that include:
• • •

development of relationships with key external research funding agencies; fostering partnership with industry, government agencies and other universities; making industry, commerce, government agencies and other universities more aware of Murdoch’s research capacity; provision of space and facilities for major collaborative research centres; developing strategically important areas of research with the capacity to develop effective links with industry, commerce, government agencies and other universities in Australia and overseas; enhancing the Murdoch University and Industry collaborations to encourage industry to provide funding for collaborative research projects; provision of support and training to academic staff in preparation of applications for funding and consultancies; effective management of a proposed dedicated commercial arm via the Industry Liaison Office for managing and supporting research consultancies and commercialisation opportunities.

• •

Murdoch’s early commitment to partnerships with industry and other institutions enabled it to take immediate and early advantage of new government collaborative initiatives such as: the CRC Program, The Australian Research Council Linkage Program, State Centres of Excellence and various technology diffusion schemes. Murdoch University currently hosts a Co-operative Research Centre, and in 2002 was a core partner in 4 others. Murdoch has been awarded seven State funded Centres of Excellence grants. Further evidence of this approach to collaborative R&D is seen by Murdoch’s success in attracting 34 ARC Linkage grants in the last 3 years, increasing international funding by 95% and total research income by 60% over the last five years.
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5.1 Contributions to the National Research Priorities Murdoch has identified nine ARS in line with Government Policy and need for the University to focus its research effort into areas where it can achieve leadership and a sufficient concentration of resources, including staff, to support long term collaborative research programs containing areas of national and international significance. Many of Murdoch’s ARS fall naturally into the four national priority areas as follows: 5.1.1 An Environmentally Sustainable Australia Three of Murdoch’s nine areas of research strength contribute to its capabilities in this national priority area. They include:
• • •

Agricultural and Veterinary Biotechnology; Technologies and Policies for Sustainable Development; Terrestrial and Aquatic Ecosystems Management and Restoration.

This ARS area encompasses a number of nationally recognised research centres that address many of the priority goals related to water, soil, transportation and biodiversity. This priority area includes the following centres:
• • • • • • •

The Environmental Biotechnology Cooperative Research Centre (EB CRC); The Australian Co-operative Research Centre for Renewable Energy (ACRE) and its proposed successor Sustainable Energy Research Institute (SERC); The UNEP International Environmental Technology Centre (IETC); The Centre of Excellence in Organic Waste Management (COWM); The Murdoch University Energy Research Institute (MUERI); The Centre for Bioinformatics and Biological Computing; and The Institute for Sustainability and Technology Policy (ISTP).

5.1.2 Promoting and Maintaining Good Health Murdoch researchers within and across a number of fields of study contribute to the goals of this priority area as they relate to: (1) a healthy start to life; (2) ageing well; (3) preventative healthcare. Murdoch’s interdisciplinary approach to health, and health related research is expressed primarily through two Areas of Research Strength: (1) Agricultural and Veterinary Biotechnology; and (2) Social Change and Social Equity. The research centres and institutes in this national priority area are as follows:
• • • • • • •

The Western Australian Biomedical Research Institute; The Centre for Biomolecular Control of Disease (CBCD); The Centre for Clinical Immunology and Biomedical Statistics (CCIBS); The Centre for Bioinformatics and Biological Computing (CBBC); The WA State Agricultural Biotechnology Centre (SABC); The Centre for Learning, Change and Development; The Institute for Social Programme Evaluation.

5.1.3 Frontier Technologies for Building and Transforming Australian Industries With a history of industrially focused research and development in Western Australia, Murdoch’s ARS in Hydrometallurgy and Agricultural and Veterinary Biotechnology have delivered significant technology driven productivity gains to existing industries in Mining and Agriculture and delivered new and innovative products to the high technology industries in, for example, Biotechnology and Renewable Energy. The Research centres involved in this priority include:

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• • • • • • • •

The A.J. Parker Co-operative Research Centre for Hydrometallurgy; The Australian Co-operative Research Centre for Renewable Energy; The Australian Sheep Industry Cooperative Research Centre (Node); The Cooperative Research Centre for Cattle and Beef Quality (Node); The WA State Agricultural Biotechnology Centre (SABC); The Western Australian Biomedical Research Institute (WABRI); The Centre for High-throughput Agricultural Genetic Analysis (CHAGA); The International Environmental Technology Centre (IETC).

5.1.4 Safeguarding Australia Murdoch’s expertise in this area relates to the priority goal of protecting Australia from invasive diseases and pests. In the Agricultural and Veterinary Biotechnology Area of Research Strength, the Parasitology Research Section is actively engaged in the taxonomy, epidemiology and control of parasites of significance to animal and human health, especially zoonotic and wildlife diseases, through the use of molecular tools. Research centres involved in this priority area include:

The World Health Organisation Collaborating Centre for the Molecular Epidemiology of Parasitic Infections.

5.2 Cooperative Research Centres A major aim of the Commonwealth funded CRCs is to promote high quality collaborative research between Australian institutions and industry. In 2002 Murdoch hosted two of these prestigious centres: 5.2.1 The Parker Centre for Extractive Hydrometallurgy The multiple award winning Parker Centre, established in 1992, has been supported for a second sevenyear period from 1999, with grant funds of $18.5 million. The Centre has a compliment of 75 full-time equivalent (FTE) research staff and 44 HDR students. The total resources for the Centre over its grant life total $109 million. It recently passed a successful second year review. There are two approaches to the extraction of metals from minerals: hydrometallurgy (using solutions) and pyrometallurgy (using high temperatures). Hydrometallurgy plays an essential role in the processing of many mineral products including alumina, gold, zinc, nickel, copper, uranium, manganese dioxide (for batteries), salt and titanium dioxide (for paints). The research needs of the different commodity areas vary considerably. For this reason, the Centre has different research programs, devised in consultation with industry, for the three main areas of alumina, gold and base and other metals. Hydrometallurgy plants are very capital intensive and generally have a long life. The research focus of the Centre is, therefore, to work collaboratively with industry in the optimisation of existing plants, rather than develop new processes. The purpose of the optimisation is to maximise efficiency and yield, while minimising the processing costs. This CRC exemplifies the enthusiastic collaborative spirit with other universities, industry, State and Federal Governments. The other university partners include Curtin University of Technology and The University of Queensland. The government partners include the CSIRO Division of Minerals, and the WA Department of Minerals and Energy. It is the leading Centre worldwide in this field and includes the following industry partners: Acacia Resources Ltd, Australian Mineral Industries Research Association Ltd, BHP Research & Technology Development, Comalco Aluminium Ltd, Nabalco Pty Ltd, Normandy Mining Ltd, Pasminco Ltd, Queensland Alumina Ltd, Resolute Ltd, Technology Resources Pty Ltd, WMC Corporation Ltd and Worsley Alumina Pty Ltd.

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5.2.2 The Australian Cooperative Research Centre for Renewable Energy (ACRE) Pty Ltd The Centre was established in 1996 with funding to 2003. It has an average CRC funding of $1.6 million per annum, for a total of $10.3 million in total resources per annum. The Centre has a compliment of 50 FTE research staff and 16 HDR students. ACRE does research in four clearly defined and linked programs: Power Generation, Energy Efficiency, Energy Storage and Power Conditioning. These are all essential elements of efficient and cost-effective renewable energy delivery systems. The research focuses on a number of sources of energy including: photovoltaic, solar-thermal, electric windows and wind. These four research programs feed into a fifth and unifying program, Systems Optimisation and Integration. Out of this program a Demonstration Program was developed, which links research to commercialisation and marketing, specifically in the Asia/Pacific Region. The Education and Training Program has a strong industry focus. A Strategic Planning and Market Assessment Program provides ongoing feedback and monitoring of competing technologies. The Centre is widely supported by industry with partners including Integrated Technical Services Pty Ltd; ZBB Technologies (Australia) Ltd; Westwind Turbines Ltd; Western Power Corporation; Silicon Technologies Australia Ltd; Energy Australia; Australian Inland Energy; Powercorp Pty Ltd; Power Search Ltd; Industrial Research Ltd (NZ); and ANUTECH Pty Ltd. The other university partners include Northern Territory University; Curtin University of Technology; Queensland University of Technology; University of Newcastle; The University of New South Wales; University of Technology, Sydney; and The Australian National University. Government partners include the Power and Water Authority, Northern Territory, and the CSIRO, Division of Applied Physics. It also includes the Centre of Appropriate Technology (CAT) Inc. 5.3 CRC – Murdoch Node Involvement Murdoch is also involved as a node in the following CRCs. 5.3.1 The CRC for Sustainable Tourism This CRC is focused on developing a dynamic, internationally competitive and sustainable tourism industry, through delivering innovation and strategic knowledge to business, community and government to enhance the environmental, economic and social sustainability of tourism. It is a collaboration of 13 universities Australia wide; Tourism departments or authorities in Queensland, New South Wales, Western Australia, the Australian Capital Territory, Victoria and Tasmania; and industry including Tourism Council Australia Ltd, and the Australian Federation of Travel Agents Ltd. The Centre was established in 1997 for 7 years with an average CRC funding of $2.1 million per annum, for a total of $12.8 million in resources per annum. It has 30 FTE staff and 46 HDR students. The CRC for Sustainable Tourism recently established a joint venture partnership with Green Globe Asia Pacific to deliver sustainable tourism and expand research opportunities in the Asia Pacific region. 5.3.2 The CRC for Molecular Plant Breeding (CRCMPB) The core partners of this CRC are the University of Adelaide, South Australian Research and Development Institute (SARDI), Southern Cross University, Department of Natural Resources and Environment (Victoria) and International Maize and Wheat Improvement Centre (Mexico). Murdoch researchers, working in the SABC, form the major part of the Western Node of this CRC, together with the University of Western Australia and WA Department of Agriculture. Murdoch researchers are the major R&D research providers for development and implementation of molecular markers for the WA wheat and barley improvement programs at the University’s State Agricultural Biotechnology Centre. This work is part of the National Wheat and Barley Molecular Marker Programs (funded by GRDC).

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The focus of this CRC is to develop and implement molecular tools for plant breeding to improve wheat, barley and pasture crops. The CRCMPB was established in 1997 with an average CRC funding of $2.7 million per annum, with $10.6 million in total resources per annum. The major outcome of the Centre will be to ensure that Australian cereal and pasture grass breeding is internationally competitive. The Centre has 89 FTE research staff and 30 HDR students. 5.3.3 Australian Sheep Industry CRC Murdoch University is a participant of the Australian Sheep CRC through strong researchers in the School of Veterinary Science. This CRC is designed to have an immediate and ongoing impact on profitability of the sheep industry. Consumer requirements for both sheep meat and wool will be defined and strategies will be developed to help producers consistently provide quality products that are sought by consumers. To achieve this the CRC has established four research, technology transfer and education programs. 5.3.4 CRC for Cattle and Beef Quality Murdoch University is a participant of this Centre with core partners from the University of New England, CSIRO, NSW Agriculture and the Queensland Department of Primary Industries. The major programs of this CRC are in Meat Science, Genetics, Growth and Nutrition, Health and Welfare, Feedlot Waste Management and Education. The principle objectives are: to develop molecular and quantitative genetic technologies to breed cattle suited to new markets; to design novel feeding and management strategies to achieve meat quality objectives in Australia's difficult environments; to address and resolve major constraints to intensive beef production by eliminating health and welfare concerns and reducing environmental pollution; to develop an understanding of the economic relationships in the cattle and beef industry, the predictive framework necessary to evaluate new beef technologies and to assess broad community issues such as land and water use and long-term industry sustainability. The Centre was established in 1999, the average funding for the CRC program is $2.5 million per annum, with $10.9 million per annum in total funding. The CRC has 90 FTE researchers and 70 FTE technical support personnel. Murdoch’s primary involvement is through the SABC and the School of Veterinary Science. 5.4 WA State Government Centres of Excellence for Industry-Focused R&D WA State Government funding from the Department of Industry and Technology supports seven Centres of Excellence for Industry Focussed R&D.A condition of such funding is that the centres must be collaborative, involving at least one other organisation, with identifiable practical benefits to the Western Australian economy. The centres located at Murdoch in 2001 are as follows:
• • • • • • •

WA State Agricultural Biotechnology Centre (SABC) -2 awards; The Western Australian Biomedical Research Institute (WABRI); The Centre for High-throughput Agricultural Genetic Analysis (CHAGA); The International Environmental Technology Centre (IETC); The Centre for Organic Waste Management (COWM); Intelligent Process Operations Management (iPOM); Australian Centre for Renewable Energy (ACRE-Lab). Inter-institutional Centres Located at Murdoch or with Murdoch Participation Centre for Atomic, Molecular & Surface Physics (CAMSP); Centre for Labour Market Research (CLMR); Centre for Federal and Regional Studies; Centre for Research for Women (CROW); Centre for Clinical Immunology and Biomedical Statistics (CCIBS); Centre for Biomolecular Control of Disease (CBCD); Centre for Rhizobium Studies (CRS); 26
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5.5
• • • • • • •

Murdoch University

• • • • •

Australian Centre for Necrotrophic Fungal Pathogens (ACNFP); Centre for Bioinformatics and Biological Computing (CBBC); WA State Agricultural Biotechnology Centre (SABC); Centre for Legumes in Mediterranean Agriculture (CLIMA); Housing and urban research Institute of Western Australia.

5.6 Collaborative Industry, Public Sector and Joint Funding of Research All of the above CRCs and centres have collaborative links with industry. This increased involvement is reflected by Murdoch University's steady increase in industry funding as a proportion of total income from 22% in 1995 to 26% in 2001. 5.6.1 Public Sector Funding Over the last five years the University has received more than $12 million of 'Public Sector' funding through research consultancies and the WA Centre of Excellence Program. 5.6.2 Industry and Other Funding The close collaboration with industry is demonstrated by the investment of 'Industry and Other' funding of more than $25 million in the last five years. 5.6.3 University – Industry SPIRT/Linkage Grants Murdoch strength has always been in SPIRT/Linkage Grants (See Section 6). Over the last three years Murdoch has been successful in obtaining 27 SPIRT grants. Its strategy is to focus on strong research projects with productive commercial outcomes. Murdoch’s target is to increase its number of Linkage grants by 10 per cent and other industry projects by 20 per cent each year. This will provide both researchers and research students with openings to further their experience in and knowledge of leading edge and outcome-oriented projects. 5.6.4 Australian Research Council (ARC) LIEF Grants ARC LIEF grants support major items of infrastructure, and must involve inter-institutional collaboration. Murdoch has been a partner in 29 successful LIEF/RIEF applications, involving all four public universities in WA, universities interstate and other organisations including the WA Department of Agriculture, Biowest Pty Ltd and Biogenetics Pty Ltd. Interstate collaborations include the following universities and organisations: Melbourne, La Trobe, Monash, Deakin, Macquarie, CSIRO, GRDC and the Australian Institute for Nuclear Science and Engineering (AINSE). Areas of Research Strength at Murdoch University that have been particularly successful in obtaining ARC RIEF funding include: the Parker Centre, plant and animal groups in the SABC, Physical Sciences, Biological Sciences and Environmental Sciences. The Asia Research Centre, the School of Education, and the Institute have obtained other significant research income for Sustainable Technology and Policy.

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Case Studies of Collaborative Research

The State Agricultural Biotechnology Centre (SABC) The State Agricultural Biotechnology Centre, based at Murdoch University, is the major centre for agricultural biotechnology in WA. The SABC holds two State Centre of Excellence awards and is the only centre in WA on the Federal Government’s list of top 50 research centres. The former Deputy Premier, Mr Hendy Cowan, chairs its Management Committee. It provides $6.5 million state-of-the-art facilities in molecular biology and was used by 145 researchers from 12 different organisations in 2001 as a “research hotel” to provide high quality facilities to many different groups in a cost effective and resource efficient manner. Researchers are involved with 2 CRCs, 3 national research programs and major collaborative equipment applications. The SABC has attracted research groups to relocate from the eastern states and funding from national bodies (eg Rumen Biotechnology Group, Australian Centre for Necrotrophic Fungal Pathogens and the Centre for High Throughput Agricultural Genetic Analysis). The SABC acts as an incubator for start-up companies, such as, Biowest Pty Ltd, Biotest Pty Ltd, Grain Biotech Australia Pty Ltd, Saturn Biotech Pty Ltd, Proteomics International Pty Ltd and Paragen Pty Ltd. Within Murdoch, the SABC has close collaborative ties and joint staff with the Centre for Bioinformatics and Biological Computing. The SABC has been very positively reviewed by out of state experts and it also received very favourable comment in the Technology and Industry Advisory Council Report “Biotechnology West”, which noted the success and strategic importance of the SABC to WA.

The Separation Science and Engineering Group (SS&E) Linked to the SABC is the new chemical analysis instrumentation facility located at Murdoch’s Rockingham campus. The SS&E Group was started at Murdoch in 2000. Through this Group, Murdoch is the authorised Customer Education Providers for Agilent Technologies in Australia and New Zealand, for state of the art chemical instrumentation. In addition the Group collaborates with Agilent on a range of R&D activities. The SS&E Group is already heavily involved with a range of R&D projects with companies and Murdoch research groups. For example the SS&E Group has initiated projects with SABC researchers to develop biotechnology separation and fingerprinting techniques. 5.7 International collaborative links and exchange programs Murdoch University, the WA State Government and the United Nations Environmental Program (UNEP) have established the International Environmental Technology Centre at Murdoch. The Centre brings together the wide range of expertise at Murdoch that can be harnessed for research, consulting and training in this multidisciplinary area. Plans are in place for major international conferences under UNESCO sponsorship together with high-level visits from UNESCO personnel to develop the detailed cooperation program. In 2002 Murdoch University entered into agreement to foster bilateral co-operation in Bio-informatics and Biological Computing with the Multimedia Development Corporation, Malaysia. Also in 2002, the university formed international collaborative links with the Sarawak Government, Malaysia, valued at $800,000 to provide water management guidelines. The potential and commercial “spin off” of this agreement will continue to strengthen its research and teaching capability in this region. Research collaboration with countries in Europe, Asia, Southern Africa and USA continues to build with a seven-fold increase in the last five years. Murdoch University has developed important links with 73 institutions throughout the world. Of these, 33 are for the purposes of student exchange, 32 for academic and research collaboration and 8 for the teaching of Murdoch programs offshore. The academic and research collaboration partners are located in Bangladesh, China, Germany, Hong Kong, Indonesia, Italy, Japan, Kenya, Korea, Malaysia, South Africa, South Korea, Taiwan, Thailand, Turkey, USA Uruguay and Vietnam. Many of these linkages also allow for HDR student and staff exchanges to occur. By continually
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expanding its international links, Murdoch is developing an increasingly global outlook among its staff and students.

6.

INTELLECTUAL PROPERTY, COMMERCIALISATION

CONTRACTUAL

ARRANGEMENTS

AND

6.1 Intellectual Property Commercialisation Murdoch has always been involved in commercialising its R&D. Since its inception in 1975, Murdoch has worked to patent and exploit discoveries arising from its research (See Attachment 7). Moreover, the University has been significantly more successful in conducting commercially oriented research than it has in conducting basic research. Since 1998, the University has been twice as successful in attracting ARC Strategic Partnerships with Industry—Research and Training Scheme Grants than it has with attracting ARC Large Grants (See Figure 2). Figure 2. ARC SPIRT versus LARGE Grants
3.00%

Proportion of Murdoch to Total Grants (%)

2.50%

2.00%

1.50% 1.00%

0.50%

0.00% Proportion of Discovery Grants (No.) Proportion of Discovery Grants ($) Proportion of Linkage Grant s (No.) Proportion of Linkage Grant s ($)

1999 1.13% 0.95% 1.56% 1.65%

2000 1.04% 0.89% 1.68% 1.91%

2001 1.18% 1.07% 2.05% 1.94%

2002 0.42% 0.84% 2.81% 2.17%

Murdoch has made a clear ongoing commitment to pursue the commercialisation of its R&D in the Strategic Plan by the following strategies:

To develop awareness of commercialisation and enhance skills needed for effective commercialisation among researchers; Actively seek out commercial opportunities within the University by seeking licensing opportunities arising from R&D and early stage opportunities requiring seed capital to facilitate R&D; Develop incentives to commercialise R&D outcomes and for shifting focus of research into areas that may deliver commercial outcomes; Develop structures which may provide internal support for commercial funding; and Allocate funding in support of commercialisation.

• •

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There are a number of routes by which the commercial sector can obtain access to, and benefits from the intellectual assets created at Murdoch:

Publications and the free interchange of ideas and information through seminars and other forms of informal communication; Education and training for company personnel; People transfer, including the recruitment of former students, researchers and staff by companies and the secondment of staff both into and out of the science base; Consulting, contract and collaborative research for industry; Assignment of intellectual property; Licensing of intellectual property, where the University retains ownership; Exploitation of IP through wholly owned or joint venture spin-out companies.

• •

• • • •

While there are many way of delivering economic benefits to industry, including joint ventures, informal or semi formal cooperative arrangements and other non-proprietary agreements, two forms of commercialisation—licensing and the creation of spin-off firms—provide the clearest path to the greatest industry/economic benefit through new and established industries. Murdoch’s Commercialisation Strategy attempts to match innovative commercialisation project opportunities at various stages of development with the business and investment interests of the private sector (See Attachment 8). This approach is characterized by three broad approaches: assignment; licensing; joint-venture spin out companies. The risk to reward ratio changes through these models as follows (See Figure 3). Murdoch seeks to maintain a balanced IP commercialisation portfolio, with the most commercialization activities occurring through assignment and licensing with selective projects moving through to spin-out joint venture companies. Figure 3. IP Commercialisation Models: Risk versus Reward
REWARD RISK

IP in exchange for equity in a spin-off business

Licensed for some cash and percentage returns in the future

Sold in return for research cash up-front

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Further to the review of the University’s Intellectual Property (IP) policy and related guidelines noted in the 2002 Report (See Attachment 9), the University is also currently reviewing its Intellectual Property Statute (number 18). This will ensure full compliance of the University’s IP regime with the National Principles, and the overarching legal framework. The review of both Policy and Statute together will provide a more robust framework for managing and commercialising IP, ensure greater staff and student certainty about IP ownership in the University context and provide a clearer range of incentives for originators. The University’s objective for Intellectual Property is: to facilitate the development, protection and commercialisation of intellectual property from innovative research. Performance indicators with annual reporting include: the number of commercial projects initiated, number of patents filed, number of technologies licensed, number of spin-off companies registered, research income from Australian business, and research income from Australian business as a percentage of total research income. The University has established two bodies to achieve these objectives – the Industry Liaison Office (ILO) within the Division of R&D, and The University Company Pty Ltd (ACN 009 171 386), or UNICO, as it is known. The ILO has two key functions. The first of these is to link Murdoch University researchers with industry partners to exploit commercial opportunities arising from research, while the second role of the ILO is to provide legal and contract management support, for these commercial alliances as well as for the University itself, particularly with regard to its research functions. As an incorporated entity, UNICO is well placed to build on the University’s research strengths by entering into strategic commercial partnerships with and thus sourcing funding from, industry. Together, these two areas are responsible for maintaining links with industry, identification of potential commercial partners, provision of business advice and strategic planning, legal support and drafting, IP protection advice and management, and marketing assistance for the Division of R&D. To assist in identifying potential areas for IP protection and research commercialisation, Murdoch has employed independent consultants, to undertake a Commercial Opportunity Audit each year (See Attachment 10). Further strategies to manage consultancy, collaborative research, subsidiary companies, commercialisation and education and training are outlined below. To develop awareness and enhance commercialisation skills an externally presented three-day course is delivered annually to complement the regular in house presentations on good practice in IP protection and commercialisation. These courses are targeted at both research students and academic staff. Additional funds from the Division of R&D are being allocated to support commercialisation, retain expert advice, fund these commercialisation courses and commercialisation audits, and support viable commercial projects. Notable commercialisation-based successes in 2003, include the University’s subscription to the SciVentures pre-seed fund, and the entering into a Memorandum of Understanding with a Western Australian superannuation fund. The terms of the latter will see the superannuation fund (via a trust arrangement between the University and the fund) invest in selected University projects demonstrating strong commercial potential over 10 years, for a return on the fund’s investment upon commercialisation of the project. Both of these initiatives will secure ongoing sources of funding to help the University, via the ILO, identify and then support its most promising research to commercial outcomes. Murdoch’s involvement in these initiatives demonstrates a creative, and prudent, approach by the Division of R&D, to secure funds for commercialisation of the University’s research.

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Case Study: SciVentures Pre-Seed Fund Under the Federal Government’s Pre-Seed Fund program, set up as part of its “Backing Australia’s ability” initiative, Murdoch subscribed to SciVentures Pre-Seed Fund in September 2002. The Pre-Seed Fund program provides venture capital to assist universities and other public sector research organisations to commercialise their early stage discoveries and create new business opportunities. Murdoch has committed $500,000 over 10 years to the Fund. This subscription will bring two main benefit streams to the University. The first of these will be a return of revenue on that commitment over the life of the Fund that can then be used to further resource the University’s R&D and commercialisation efforts. A second benefit to Murdoch from its association with the Fund is that Murdoch can apply to SciVentures for SciVentures to invest in Murdoch’s own “pre-proof of concept” research discoveries. The investment funds provided by SciVentures will be used for further R&D of the project to “proof of concept stage” and beyond, market assessments, patenting and legal fees. The three stages of funding offered by SciVentures are designed to take a pre-proof of concept project to market, by way of spin-out company, trade sale or licensing arrangement. To date, Murdoch has submitted one application to SciVentures seeking investment funding for the Cryptosporidium diagnostic project. A second application (dealing with a novel approach to overcome parasite resistance in livestock) will be submitted shortly. Murdoch’s involvement with SciVentures both as an investor and investee will ensure a return of funds to the University from its investment in Australian public sector research generally, and the commercialisation of its own research. Murdoch has formed 6 subsidiary research based companies:

The University Company Pty Ltd (ACN 009 171 386), incorporated in 1973 to encourage and commercialise research and innovation by the University; Am-Si Pty Ltd (ACN 009 443 047) incorporated in 1995 to research and develop amorphous silicon solar cells for commercialisation; MS Biotechnology Pty Ltd (ACN 093 647 655) incorporated in 2000 to develop a diagnostic test and vaccine against multiple sclerosis; Rumen Biotech Pty Ltd (ACN 095 735 863) incorporated in 2001 to develop a novel approach to nematode control in sheep by using bacteria that produce toxins specific to these parasites; Botanical Resources Pty Ltd (ACN 009 244 160) incorporated in 1987 to develop and commercialise a mallee plant variety for re-vegetation of marginalised regions that yields high quality oil for pharmaceutical and industrial applications; Paragen Pty Ltd (ACN 101 213 405) incorporated in 2002 to develop and commercialise a vaccine against fleas affecting domestic dogs and cats, and a diagnostic test for flea based allergic conditions in companion animals.

The performance indicator target is to establish one subsidiary company every year. In addition to companies in which Murdoch has equity, the University also hosts a cluster of companies that use its facilities and pay a commercial rent for space at the SABC or elsewhere, some of which have been established by former Murdoch researchers. These include Biotest Pty Ltd, Grain Biotech Australia Pty Ltd, Saturn Biotech Pty Ltd, Proteomics International Pty Ltd and Ozgene Pty Ltd.

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6.2 Consultancy The major objective for consultancy is: to increase the contribution of Murdoch’ consulting activities to the level of external research income and the level of external reliance on Murdoch expertise. During 2002, the University earned over $1.8 million from consultancy activities. Murdoch academics provide consultancy services either through the University, UNICO or privately. The University has revised its consultancy guidelines establishing a formal process to regulate these activities, to minimise potential risks and set up a database record of all consultancies. In addition the Division of R&D has set up a research capability database for external companies or organisations interested in using Murdoch consultants to access. The aims are to increase consultancy activity and income, identify and record all University-related consultancies. The performance indicators include: consulting income, research consulting income, consulting income as a percentage of total research and consultancy income, research income from Australian Business, and its percentage of research income. Strategies to achieve the objective include regular seminars on consulting policy and guidelines, actively seeking opportunities for research consultancies, promoting Murdoch’s capabilities in key areas via targeted promotional material, and due recognition of researchers who mostly consult in the promotion process and internal funding model. University Senate Approval has been granted, and funds have been allocated to establish a dedicated company structure to provide administrative, financial, legal and marketing support to the University’s consulting capabilities. Such an approach will further advance Murdoch’s consulting capabilities, and income generation.

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PART B 7. AREAS OF RESEARCH STRENGTH

Research Students (EFTSU) in 2002 All HDR students1 (EFTSU) All research - by research cluster3 Science & technology Health & medical research Arts, humanities & social sciences Total - All research Areas of research strength4 Agricultural and Veterinary Biotechnology Contemporary Asia Hydrometallurgy Social Change and Social Equity Technologies and Policies for Sustainable Development Ecosystem Management and Restoration Interactive Media Total - Areas of research strength 156 77 300 533 68 23 15 41 65 48 36 296 HDR students commencing2 in 2002 (EFTSU) 34 26 76 136 17 4 1 12 15 11 12 72

REFERENCE INFORMATION FOR TABLE (i) 1. Include all categories of HDR students enrolled in HDR courses according to definitions in DEST Higher Education Student Collection documentation. This can be accessed at http://www.dest.gov.au/highered/statspec.htm. 2. Commencing students are to be counted in accordance with DEST Higher Education Student Collection documentation at http://www.dest.gov.au/highered/statspec.htm. 3. For details on research clusters, see Part B Explanatory Notes paragraph B4 and B5. 4. Areas of research strength are those identified by the institution in Part A, see Part B Explanatory Notes paragraph B6. NOTES ON DATA PROVIDED IN TABLE (i) Improved reporting mechanisms throughout 2002 have resulted in a reclassification of some students from the research clusters of Science & technology AND Arts, Humanities & social sciences TO Health & medical research from last years RRTM Report.

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Research Income7 in 2002 Category 1 ($’000) All research – by research cluster2 Science & technology Health & medical research Arts, humanities & social sciences Total - All research Areas of research strength3 Agricultural and Veterinary Biotechnology Contemporary Asia Hydrometallurgy Social Change and Social Equity Technologies and Policies for Sustainable Development Ecosystem Management and Restoration Interactive Media Total - Areas of research strength 4,970 2,622 1,020 8,612 3,588 280 69 149 500 1,403 107 6,096 Category 2 ($’000) 23274 581 1,473 5,328 740 71 30 117 573 336 82 1,949 Category 3 ($’000) 4,981 1,002 1,148 7,132 836 0 274 39 307 241 11 1,708 Category 4 2001-2002 ($’000) 3,556 124 193 3,873 124 0 3,041 0 611 97 0 3,873

REFERENCE INFORMATION FOR TABLE (ii) 1 Research income and research income categories ‘1, 2, 3 and 4’ are defined in accordance with the DEST Higher Education Research Data Collection (HERDC). The guidelines can be accessed at www.dest.gov.au/highered/research/herdc.htm. 2 For details on research clusters, see Part B Explanatory Notes paragraph B4 and B5. 3 Areas of research strength are those identified by the institution in Part A, see Part B Explanatory Notes paragraph B6. NOTES ON DATA PROVIDED IN TABLE (ii) Improved reporting mechanisms throughout 2002 have resulted in a reclassification from the research clusters of Science & technology AND Arts, Humanities & social sciences TO Health & medical research from last years RRTM Report.

7

Research income, and source of research income categories ‘1, 2, 3 and 4’, are defined in accordance with the DEST Higher Education Research Data Collection (HERDC). The guidelines can be accessed at http://www.dest.gov.au/highered/research/herdc.htm.

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Research Active Staff in 2002 Number of staff who generated research income2 Number of staff eligible to supervise HDR students4 Number of staff who supervised HDR students

Number of staff1 All research – by research cluster5 Science and technology Health & medical research Arts, humanities & social sciences Total - All research Areas of research strength6 Agricultural and Veterinary Biotechnology Contemporary Asia Hydrometallurgy Social Change and Social Equity Technologies and Policies for Sustainable Development Ecosystem Management and Restoration Interactive Media Total - Areas of research strength

Number of staff who generated publications3

136 93 207 436 38.5 14.5 17 9 34.5 22 26.5 162

76 29 63 168 33.5 7.5 8 8 19.5 18 5.5 100

141* 51 138 330 30.5 8.5 8 5 20.5 18 12.5 103

109 87 198 394 35.5 9.5 8 8 25.5 21 18.5 126

87 54 145 286 37.5 9.5 10 9 31.5 22 26.5 146

REFERENCE INFORMATION FOR TABLE (iii) 1 Include staff in academic organisational units who are classified as ‘research only’ or ‘teaching and research’ according to definitions in DEST Higher Education Staff Collection documentation. This can be accessed at http://www.dest.gov.au/highered/statspec.htm. 2 Research income is defined in accordance with the DEST HERDC. The guidelines can be accessed at www.dest.gov.au/highered/research/herdc.htm. 3 Include publications in accordance with the DEST HERDC. The guidelines can be accessed at www.dest.gov.au/highered/research/herdc.htm. 4 Eligibility to supervise HDR students as defined by the institution. 5 For details on research clusters, see Part B Explanatory Notes paragraph B4 and B5. 6 Areas of research strength are those identified by the institution in Part A, see Part B Explanatory Notes paragraph B6. NOTES ON DATA PROVIDED IN TABLE (iii) Improved reporting mechanisms throughout 2002 have resulted in a reclassification from the research clusters of Science & technology AND Arts, Humanities & social sciences TO Health & medical research from last years RRTM Report. Number of Staff (1) reported in EFTSU’s. *An anomaly has occurred in Science and Technology where more staff have published papers than there are staff in “Research Only” and “Teaching & Research” classifications. This has occurred due to the use of EFTSU & some staff classified as “teaching only” publishing papers accepted in the DEST HERD collection.
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Characteristics of staff who supervised HDR students in 2002 Share supervising staff1 (%) 92 22 31 of

The share of supervisors who hold a higher degree qualification The share of supervisors who undertook formal supervisor training2 in the year The share of supervisors who have had at least one HDR student complete3 in the year

REFERENCE INFORMATION FOR TABLE (iv) 1 The denominator in working out the share is the total ‘Number of staff who supervised HDR students’ in the top part of table (iii) above. 2 Supervisor training includes workshops or courses of at least a half a day’s duration. 3 Students who have ‘completed’ in the sense of being eligible for the award of their higher degree by research. NOTES ON DATA PROVIDED IN TABLE (iv)

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ATTACHMENT 1 Areas of Research Strength
Murdoch has identified six established and three emerging Areas of Research Strength that provide the focal point for Murdoch’s research and research training activities. These areas incorporate researchers who are also prominent in most of the research centres in the University.

1.

Established

1.1 Hydrometallurgy The Parker CRC for Hydrometallurgy (the Parker Centre) was established in Perth in 1992 under the Australian Government's CRC Program and is sited at Murdoch. The Parker Centre was awarded a second 7-year term in 1999 from the CRC Program (worth $18.5million in total) because of its innovative research for the mining industry and remarkable technology transfer successes. Because it produces major financial savings for the mining companies, the mining industry now outsources a large amount of its relevant R&D to the Centre. The Centre has won several awards including the Research and Development Award in the 1996 WA Industry and Export Awards, the Bank West Research Fellowship in Mineral Science in 1996, one of the inaugural CRC Association Awards for Excellence in Technology Transfer, and the 1999 Business/Higher Education Round Table (BHERT) Award for Outstanding Achievement in Collaborative R&D involving a CRC. The Centre enjoys substantial industry support for its activities, exemplified by the increase in cash income from industry-funded research from $350,000 in the first year to $3.63 million in 1999/2000, which clearly demonstrates the growth in demand for the Centre's expertise. Twelve major mineral processing companies and the University of Queensland joined the original partners (CSIRO Minerals, Curtin University, the Department of Minerals and Energy (WA), Murdoch University and Australian Minerals Industry Research Association (AMIRA)) as core participants in the Centre on 1 July 1999. From a small group of researchers working in different organisations with limited collaboration in 1992, the Parker Centre has grown to become Australia's largest hydrometallurgical research organisation. It is a world leader and a major asset for Australia. The Murdoch component of the Centre brings together a world-class team of researchers with diverse yet complementary skills and backgrounds who carry out research on behalf of the minerals industry, at the laboratory-scale, pilot-scale and in industrial plants. Research at the Parker Centre saves the Australian minerals industry $10-$20 million a year. The Centre's research aims to optimise the performance of existing hydrometallurgical plants by increasing efficiency, yield and productivity, whilst minimising costs. A new pilot plant has recently been funded and installed by one of Murdoch’s partners. Further information at http://www.parkercentre.crc.org.au/ . 1.2 Agricultural and Veterinary Biotechnology This highly topical research area is well established and generates internationally recognised research outputs. It includes a unique combination of 25 world class scientists at Murdoch University, encompassing major research groups in plant biotechnology, plant pathology, animal production and disease control, disease transfer to humans, and veterinary and biomedical research. It also includes the Centre for Bioinformatics and Biological Computing at Murdoch and links to the emerging area of research strength of Bioinformatics and Biostatistics. These groups interact in the state-of-the-art facilities in the Murdoch based WA State Agricultural Biotechnology Centre (SABC), which fosters productive collaboration and efficient use of resources. The SABC is a major asset for this area of research strength. It acts as a “research hotel” to provide a $6.5 million state-of-the-art facility in molecular biology for many different groups. It is a recognised State Centre of Excellence and is the only WA based facility in the top 50 research centres in Australia. It was used by 145 researchers from 12 different organisations in
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2000. In addition to the SABC this Area of Research Strength also encompasses two other state Centres of Excellence. These are the Western Australian Biomedical Research Institute (WABRI) held in conjunction with Curtin University and the new Centre for High-throughput Genetic Analysis (CHAGA). The activity that binds this area of research strength together is the application of generic molecular technologies including molecular biology/genetics, genomics, proteomics, biochemistry, cell biology and bioinformatics for both basic and applied research in biotechnology. Research areas include plant gene mapping and marker assisted selection, plants engineered for pathogen resistance, and plant-microbe interactions, including pathogenic and symbiotic bacteria, fungi, insect, nematodes and viruses; animal production including the effects of nutrition on meat quality and disease, animal disease control including oncology, bacteriology, virology and parasitology; animal diseases and their human consequences, and biomedicine. It is associated with a series of start-up companies based in the SABC, including Biowest, Biotest, Grain Biotech Australia, MS Biotechnologies, Saturn Biotech and Proteomics International. This very substantial group has 25 Murdoch staff researchers and additional external researchers directly involved (e.g. from WA Department of Agriculture, the University of Western Australia and Curtin University of Technology), together with 122 HDR students and many local, national and international collaborations. 1.3 Contemporary Asia The Asia Research Centre is a focal point for research on contemporary Asia, and draws on scholars from across the Murdoch campus. Since its inception in 1991 it has been one of only two federally funded centres of excellence in Australia focusing on Asia. The Centre's research strengths have focused on the study of emergent social forces (middle classes, labour and business) in Asia and their impact on the region; the implications of these forces for Australian-Asian political, governance and economic relations; and the effects of the Asian financial crisis on political, economic and social structures and the environment. This focus has enabled the Centre to build an international reputation based on numerous publications in internationally recognized journals. Recently, the Centre's Board has decided to broaden its strategic vision to encompass other academic disciplines where Murdoch scholars were at the cutting edge of research on Asia. The work of the Centre is now focused on seven key interdisciplinary research projects. These include telecommunications in the region; reverse migration; governance and capacitybuilding environment and population; culture, socialisation and national identity; community; and environment and law. The Centre has a very active research consultancy arm, which has raised over $1.3million from government and other sources since 1999. It runs the annual Hasluck lecture. The Board of the Centre includes among its members the Premier, Dr Geoff Gallop, and has the additional benefit of strong representation from prominent Perth business and government officials with interests in Asia. There are 15 Murdoch researchers directly involved in this group, with another 12 external researchers associated with it and 42 HDR students. 1.4 Social Change and Social Equity This major research area is concerned with the social and psychological problems that follow major social, economic and technological change. It focuses specifically on the processes whereby major sections of society may be deprived of resources due to psychological and social biases, which may interfere with the understanding and identification of problems associated with the adjustment of those sections to change. Change effects the processes of distributing resources to significant and disparate groups within the community, dealing with different priorities and justifications for allocation. This research targets a number of specific issues. First, the social and psychological processes of discrimination on the grounds of race and gender, together with aspects of equality and multiculturalism and the act of changing cultural awareness of indigenous issues. This aspect also includes the issues inherent to people with disabilities. Second, it is concerned with the identification of the changes in community, which accompany ageing and the need to maintain such a health ageing population. Finally, it focuses on the consequences for the community of the movement of permanent migrants due to social and global change, together with the consequences for education of significant numbers of international
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students in global economy. There are 26 Murdoch researchers directly involved in this group, with another 3 external researchers associated with it and 76 HDR students. There is also a strong consultancy program based in the School of Education that is associated with this group. 1.5 Technologies and Policies for Sustainable Development Sustainable development involves research, development and implementation of new technologies to meet the current needs of society without compromising the needs of future generations. This process ensures that new technologies are economically viable and also that they simultaneously bring social and environmental benefits. At Murdoch this area includes experts in renewable energy, alternative power sources, sustainable policies and law, waste management and water purity especially in remote regions. Murdoch University has a long history of involvement in this field and has four interactive research groups working on various aspects of this Area. These groups include the Australian Cooperative Research Centre for Renewable Energy (ACRE), two State Centres of Excellence for industry focused R&D: the International Environmental Technology Centre (IETC), the Centre for Organic Waste Management; and the Institute for Sustainability and Technology Policy. An important new development is that the United Nations Environmental Program (UNEP) has cosponsored the IETC with the WA State Government and Alcoa as the first of five global centers for sustainability research and development. The groups in this area work closely together on major projects and interact regularly on research and teaching projects. In the future these groups will formalise and coordinate their operations in order to enhance the University's capacity to bid for major projects in the area of sustainable development, in the international, national and local markets. This area has brought in $10.36 million of research funding in the period 1996 - 2000. This area of research strength involves 36 Murdoch researchers, and 5 external researchers, and 115 HDR students. The group plans to submit applications for about $3.58 million in research funding from all sources in 2001. 1.6 Terrestrial and Aquatic Ecosystem Management and Restoration The aim of the group is to generate basic and strategic science and technology relevant to the maintenance and repair of ecosystems and their components, the sustainable development of natural resources in the western regions of Australia, and their future application in other parts of the world. Western Australia encompasses regions of the highest biodiversity on the continent and, indeed, on the planet. It represents a unique natural laboratory, in which issues of development and sustainability come into sharp focus against flora, fauna and other natural resources of global significance. The State also has very extensive mining, petrochemical, agriculture, forestry and fishery industries that deliver a large proportion of Australia's overseas earnings. Development of the region's renewable natural resources in a sustainable way and the maintenance and repair of its natural and managed ecosystems is essential to the long-term prosperity of the region. Lessons learned in WA can also be transferred or modified for application in other regions of Australia and internationally. Murdoch University has a very substantial research effort directed at supplying the basis and strategic science required for this endeavor, and its work on diverse and unique ecosystems has both national and global significance. This research group enables integration across systems and disciplines. There are 27 Murdoch researchers involved in its activities and 57 HDR's. In addition there are 17 associated external researchers from government departments, other universities and overseas institutions.

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2.

Emerging

2.1 Bioinformatics and Biostatistics There have been rapid technological advances in molecular biology, including the areas of genomics, micro arrays and proteomics, which have resulted in an explosion of genetic information that far outweighs our ability to analyse and interpret this data. With major strengths in agricultural, veterinary and biomedical biotechnology including the world-class facilities of the SABC, Murdoch University is leading research in many of these areas in WA. This area incorporates the Centre for Bioinformatics and Biological Computing (CBBC) that was established at Murdoch in 2000 to take advantage of computing technologies that must now be used to capture, store, manage, analyse and interpret such data in a userfriendly manner. There is also a need to undertake complex computational analyses to extract the most information from experimental data. To carry out this function, the CBBC hosts the Western Node of ANGIS, has over $300,000 of high-end computing equipment specific for bioinformatics, and provides bioinformatics services to the wider scientific community. The CBBC also conducts research and development in comparative genomic sequence analysis, molecular evolution (specialising in primate evolution), information systems for genomic data, micro array data analysis and the design of new computational tools and algorithms. It delivers undergraduate courses and research training in bioinformatics. The CBBC has initiated strong links with strategic areas of agricultural biotechnology, medical biotechnology and the computational sciences to develop computational resources for discovery of novel genes and gene regulatory mechanisms. Collaborations have been established with: Tokai University (Japan), the WA State Agricultural Biotechnology Centre (SABC), the National Institute of Genetics (Japan), ANGIS (University of Sydney), the WA Micro array Facility and Royal Perth Hospital. There are 4 staff and 6 research students in this new area. 2.2 Intelligent Systems and Software Development for Process Operation Management This developing area of research strength has recently been awarded WA State Government funding as a Centre of Excellence for Industry Focused R&D. It involves collaboration between experts from three areas: Process Control, Pattern Recognition/Machine Learning/Computer Vision, and Software Engineering, who pool their expertise to solve complex industrial problems. The group of 6 high level Murdoch researchers includes early career female researchers, an unusual situation in Engineering, postdoctoral researchers and 9 HDR students. The aim is to research and develop mechanisms to improve their efficiency, detect problems and abnormal situations, the diagnosis of problems, prioritisation of control problems, development of strategies for remedial action and visual sensors not yet used in process plants. 2.3 Interactive Media Institute The Institute aims to address the need for research into aspects of interactive media, which is at the heart of the issues of convergence and the information economy. In the context of the Institute, interactive media refers to the relationship between persons or objects, which act on each other via digital, electronic, computer-based media. It relates not just to communication between people, or to the communication between people and machines, but also extends to the interconnectedness of the mediums of communication themselves as they meet in a converged environment. This presents opportunities for research across a wide spectrum ranging from human behaviour and modes of communication, through to the process of content production in all its permutations blending pictures, sound and print, and on to the policies and regulatory processes by which society seeks to harness the powers of this emerging reality. Thus, the Institute includes both the technical and societal aspects involved in the transition of Australia from an industrial to a knowledge- based economy. In particular, establishment of an area of research strength in Interactive Media represents a significant opportunity for Murdoch to lead the field in this novel and fast growing area.

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Projects and staff for the Institute are drawn both from across a range of areas including Business, IT, Social Sciences and Education. The existing centres encompassed in the Institute include the Media Arts Centre, the Centre for Research in Culture and Communication, the Interactive Television Research Institute, and the Centre for Electronic Commerce and Internet Studies (BITL). The Institute has four fundamental areas of operation. These are research, teaching and learning, consulting, and community profile. It brings together extensive academic expertise and industry experience into one coherent group a leading contributor to the theory of interactive media and their social implications. By bringing together a critical mass of key researchers in a new and expanding area, which has a high level of government and international interest, the Institute further satisfies the Strategies and Outcomes identified in the Murdoch Strategic Plan for Research.

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ATTACHMENT 2 Operational Research and Development Plan Key Performance Indicators
Objective R.1 – R.14 Publications Research Income Completions HDR Students To maintain research excellence based on a productive research culture, focused on selected areas of national and international research strength

Number of publications per 10 Research Staff FTE % of FTE academic staff with research income % of FTE academic staff with completions % of FTE staff with HDR students % of FTE academic staff with HDR students ‘overtime’ % of HDR students ‘overtime’ % of FTE academic staff with Publications and research funding Publications and completions Completions and research income % of Academic staff with publications, research income and completions Average completion time, ratio of completions to enrolments Grants Ranking of Murdoch against other universities for NCG’s, OPS, etc. Proportion of academic staff holding NCG, OPS or industry research grant Proportion of academic staff with direct involvement in research Research income trends Objective R.15-R19 To attract talented postgraduate research students and to provide high quality research training and supervision

Higher Degree by Research Completions per 10 Research Staff FTE. Time to completion of Higher Degree by Research Students. Objective R.20-R.22 Ensure that the University maintains high ethical standards in all its research activities Number of permits with substantial research conduct problems as a percentage of total permits for both

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Objective: R.23 – R.31

To facilitate the development, protection and commercialisation of intellectual property from innovative research

Research Consultancies Total consultancy income – research and other Total Research Consulting income Proportion of research consulting income to total research and consultancy income Ranking of Murdoch against other universities Research consultancy income from business Proportion of research consultancy income from research and other Total consultancy income (research and other) Tenders Total major tender income Proportion of successful major tenders Commercialisation of Research Number of commercial projects initiated Proportion of successful commercialisations Number of technologies licensed Number of provisional patents filed Proportion of provisional patents proceeding to full patents Income from UNICO spin-off companies Number of adjunct appointments from industry It was noted that the information contained in some of these KPI’s might be sensitive and they should be used for internal planning only. Objective R.1 – R.15 To maintain research excellence based on a productive research culture, focused on selected areas of national and international research strength

Quality Assurance Processes A Annual Review Process-Reporting on performance and planning future action. • Annual Report (Research) to Academic Council and Senate by Pro Vice-Chancellor (Research). • Annual Budget Report to Senate. • Divisional Reports to Research and Development Board by Executive Deans. B Annual Research and Development Board retreat to review research performance in relation to Operational Research and Development Plan targets.
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Key Performance Indicators A.1 Publications - Number of publications per 10 Research Staff FTE A.2 Research Income - % of FTE academic staff with research income A.3 Completions - % of FTE academic staff with completions A.4 HDR Students - % of FTE staff with HDR students A.5 % of FTE academic staff with HDR students ‘overtime’ % of HDR students ‘overtime’ A.6 % of FTE academic staff with Publications and research funding Publications and completions Completions and research income A.7 % of Academic staff with publications, research income and completions A.8 Average completion time, ratio of completions to enrolments Grants 1.1 Ranking of Murdoch against other universities for NCG’s, OPS, etc. 1.2 Proportion of academic staff holding NCG, OPS or industry research grant 1.3 Proportion of academic staff with direct involvement in research 1.4 Research income trends It was noted that the information contained in some of these KPI’s might be sensitive and they should be used for internal planning only.

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Key Strategies R.1 To focus Murdoch’s research resources on outstanding teams and individuals

Operational Strategies R.1.1 Identify areas of research strength and encourage the strengthening of substantial interdisciplinary teams of research active researchers to address research problems from all of the necessary perspectives. R.1.2 To define KPI’s, and benchmarking criteria against appropriate groups (international or national) for areas of research strength. R.1.3 Identify emerging areas of potential research strength.

Performance Outcomes and Responsibility Timeframe R.1.1a Areas of research focus Research and for 2001 have been identified and Development Board. will be reviewed every 3 years against KPI’s.

Accountability Pro Vice Chancellor – Research.

R.1.2a KPI’s and benchmarking details determined by March 2002. R.1.3a Emerging areas for 2001 have been identified and will be reviewed every year. New areas will be asked for expressions of interest every two years. R.1.4a KPI’s and benchmarking details for emerging areas determined by March 2002. R.1.5a Liaise between Executive Deans, Heads of School, Director of area of research strength and Pro Vice Chancellor – Research for strategic academic appointments.

Research and Development Board.

Pro Vice Chancellor – Research.

Research and Development Board.

Pro Vice-Chancellor Research.

R.1.4 To define KPI and benchmarking criteria against appropriate groups for emerging areas of research strength. R.1.5 To ensure succession planning in areas of research strength, liaison sought by Heads of Schools and Executive Deans prior to positions being advertised.

Research and Development Board. Executive Deans, Heads of School , Director of Area of Research Strength.

Pro Vice-Chancellor Research. Executive Deans.

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Key Strategies

Operational Strategies R.1.6 To ensure each area of research strength reports to the Research and Development Board annually. R.1.7 To allocate Research and Development Board funding for existing areas of research strength, with the amount to be reviewed each year. R.1.8 Continue to require all academic staff appointments of level B-E to be externally refereed including where appropriate, an assessment of research performance or potential. In the case of level E appointments, the position to be headhunted and advertised and externally assessed; an interview to be conducted either at Murdoch University or by tele-conferencing. In the case of Level E appointments the interview will be at Murdoch. R.1.9 Redraft and implement the University guidelines and regulations for the establishment, reporting mechanisms, reviewing mechanisms and disestablishment of University research centres (to include those located in one Division and those spanning several Divisions).

Performance Outcomes and Timeframe R.1.6a Each area of RS provides a 2-page report (proforma) defining outcomes against KPI’s and strategic direction for the future by 30 September each year – commencing 2002. R.1.7a Review of performance against relevant KPI’s for each area of research strength annually, commencing 2002. R.1.8a Chairs of the selection panels will normally be required to have completed the University training course on staff selection and interviewing. Selection committees to be chaired by senior academic staff, with at least one member a nominee of the PVCR. Selection committees for Level E positions to be chaired by the Vice Chancellor and to include PVCR. R.1.9a Review all current Centres under the new guidelines by mid 2003.

Responsibility Director of Area of Research Strength, Research and Development Board, Division of Research and Development. Research and Development Board, Division of Research and Development. Human Resources, Pro Vice Chancellor – Research.

Accountability Pro Vice Chancellor – Research.

Pro Vice Chancellor – Research.

Vice Chancellor.

Human Resources, Pro Vice Chancellor – Research. Research and Development Board, Division of Research and Development.

Senate.

Pro Vice Chancellor – Research.

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Key Strategies

Operational Strategies R.1.10 Set KPI’s for each University research centre. R.1.11 Develop forward planning for resourcing University Research Centres. R.2.1 To nominate to the Academy of Advanced Studies based on outstanding research performance, individuals or small research groups not in profiled areas but having a distinguished international reputation. R.2.2 To delegate to the Academy of Advanced Studies authority to determine how to apportion its research budget bearing in mind its own research needs and strategic initiatives to improve Murdoch’s research efforts. R.3.1 Research and Development Board to allocate strategic funds for ECR’s.

R.2 To identify single or small groups of researchers who have an international reputation and locate them, for funding purposes, in the Academy of Advanced Studies.

Performance Outcomes and Timeframe R.1.10a To be used as a basis for reviewing centres. R.1.11a Centre to develop plan in accordance with policy and guidelines for centres. R.2.1a Define criteria for being a member of the Academy – to be finalised March 2002.

Responsibility Research and Development Board. Director of the Centre, Research and Development Board. Research and Development Board.

Accountability Pro Vice Chancellor – Research. Pro Vice Chancellor – Research. Pro Vice Chancellor – Research.

R.3 To provide extra support for early career researchers (ECR’s).

R.2.2a The Academy of Advanced Studies to provide a 2page report annually by 30 September (proforma) defining outcomes against KPI’s and strategic directions for the future – commencing 2002. R.3.1a Research and Development Board to allocate extra resources to assist these ECR’s. R.3.1b Annual report (one page proforma) required from each of these nominated researchers by 30 September – commencing 2002. R.3.1c Research and Development Board to review mechanisms of support annually.

Management Board of Academy of Advanced Studies and Research and Development Board. Research and Development Board.

Pro Vice Chancellor – Research.

Pro Vice Chancellor – Research.

Individual researcher, Research and Development Board. Individual researcher, Division of Research and Development.

Pro Vice Chancellor – Research.

Pro Vice Chancellor – Research.

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Key Strategies R4 To identify researchers who are potential leaders and provide support for their research and leadership development.

Operational Strategies R.4.1 The Research and Development Board, in liaison with Directors of Areas of Research Strength and Executive Deans, to identify those individuals who could potentially lead emerging areas or provide succession in established areas of research strength.

Performance Outcomes and Timeframe R.4.1a Research and Development Board to allocate extra resources to assist these potential leaders. R.4.1b Annual report (one page proforma) required from each of these nominated researchers by 30 September – commencing 2002.

Responsibility Research and Development Board.

Accountability Pro Vice Chancellor – Research.

R.5 To strategically recruit and retain research active staff of national and international standing especially in areas of research strength. R.6 To ensure research funding and resources are primarily distributed to areas of research strength. R.7 To increase DETYA generated income.

R.5.1 Consider areas of current and emerging research strengths when recruiting new staff both nationally and internationally. R.6.1 To provide a new research funding model that rewards research excellence in completions, research income and publications. R.7.1 To increase DETYA reported research and consultancy income, completions and publications. R.8.1 Increase the number of international fee paying HDR students.

R.5.1a Pro Vice Chancellor Research to liaise with Executive Deans and Heads of School.

Individual researcher. Reports collated by secretary of Research and Development Board and Board of Research and Development. Executive Deans, Heads of School, and Pro Vice Chancellor – Research. Deputy Vice Chancellor, Policy and Planning and Pro Vice Chancellor, Research. Deputy Vice Chancellor, Policy and Planning and Pro Vice Chancellor – Research. Murdoch International and Research and Development Board.

Pro Vice Chancellor – Research.

Vice Chancellor.

R.6.1a Model to be in place for 2002.

Vice Chancellor.

R.7.1a By ensuring the funding model rewards for those who generate DETYA income. R.8.1a Targeting specific countries, which need research in our areas of strength.

Vice Chancellor.

R.8 To increase nonDETYA generated discretionary income.

Vice Chancellor.

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Key Strategies

Operational Strategies R.8.2 Commercialisation of our intellectual property.

Performance Outcomes and Timeframe R.8.2a To perform an annual survey of IP within Murdoch. R.8.2b To provide training for researchers in IP issues, patenting and commercialisation. R.8.2c Where appropriate, to commercialise Murdoch’s IP through the University company UNICO. R.8.2d UNICO to report to the Senate annually on commercialisation and when appropriate, more frequently. R.8.3a To encourage more accurate reporting of consultancies to the Research and Development Division. R.8.3b To ensure consultancies budget for the University research overhead. R.8.3c To encourage researchers to become consultants to the public and private sector where appropriate. R.9.1a To lobby for and encourage research active academics to serve on external bodies. 50

Responsibility Director of Research and Development. Director of Research and Development. Director of Research and Development.

Accountability Pro Vice Chancellor – Research. Pro Vice Chancellor – Research. Pro Vice Chancellor – Research.

R.8.3. To increase the income available from consultancies through the research overhead.

Vice Chancellor. Director of Research and Development, UNICO Chair of Board. Director of Research Executive Deans. and Development and Executive Deans. Director of Research and Development and Executive Deans. Director of Research and Development and Executive Deans. Executive Deans and Pro Vice Chancellor – Research. Executive Deans.

Pro Vice Chancellor – Research. Pro Vice Chancellor – Research.

R.9 To effectively market Murdoch’s areas of research strength.

R.9.1 To increase the international, national and local profiles of Murdoch’s research strengths and individual academics.

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Key Strategies

Operational Strategies

R.9.2 To provide marketing material on Murdoch’s research strengths in print and on the web pages.

Performance Outcomes and Timeframe R.9.1b To engage with the public and private sector on all possible occasions to promote Murdoch’s research strengths. R.9.2a Produce an annual research booklet appropriate for the international and domestic scene. R.9.2b Regularly update web page.

Responsibility

Accountability

Research and Development Director and Pro Vice Chancellor – Research. Director of Division of Research and Development and Information Technology Services. Equity Office.

Pro Vice Chancellor – Research and Vice Chancellor.

Pro Vice Chancellor – Research.

R.10 To provide assistance for those HDR students and academic staff researchers from those Equity groups currently prioritised by the University. R.11 To provide Research and Development information to the academic community, Academic Council and Senate.

R.10.1 Equity Office to identify potential initiatives.

R.10.1a Equity Office to present collaborative opportunities.

Pro Vice Chancellor – Research.

R.11.1 To bring policy, developments of relevant issues and new initiatives to the attention of the academic community.

R.11.1a Update web pages.

Director of Research and Development and Pro Vice Chancellor – Research. Director of Research and Development and Pro Vice Chancellor – Research.

Pro Vice Chancellor – Research.

R.11.1b Provide information and reports on Research & Development to Vice Chancellor for reporting to Academic Council and Senate.

Pro Vice Chancellor – Research.

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Key Strategies R.12 Enhance the linkage between teaching and research.

Operational Strategies R.12.1 Teaching and research staff to make students aware of the University’s research and research function as part of the undergraduate teaching process. R.12.2 Establish process to identify students with possible research potential midway through part II studies. Letters of commendation to students with aptitude for scholarly work and research. Letters to advise of summer vacation work in research areas. R.12.3 Divisions to establish vacation scholarships for part II students to expose them to research activities of the staff. R.12.4 Training and supervision of postgraduate research students to be formally acknowledged as a teaching activity. Supervision to be taken into allocation of teaching load. R.12.5 Schools to provide research information sessions for final year students.

Performance Outcomes and Timeframe R.12.1a TLC to monitor references to University research as part of annual teaching performance surveys and evaluations. R.12.2a Discipline areas to nominate best students for letters of commendation and information about the disciplines research opportunities, annually at the end of September. R.12.3a Discipline areas nominate suitable vacation projects and provide funds, mid September annually. R.12.4a Divisions to specify load allocations formulae for higher degree supervision, annually. R.12.5a Discipline areas to coordinate a series of presentations on their research annually. R.13.1a The Research and Development Board to develop a set of criteria and guidelines for the awards, end 2001. Awards to be made annually.

Responsibility Pro Vice Chancellor (Research).

Accountability Pro Vice-Chancellor (Research) Annual Report (Research) to Academic Council and Senate. Executive Deans.

Heads of School and Executive Deans.

Heads of School and Executive Deans. Heads of School and Executive Deans.

Executive Deans.

Executive Deans.

Heads of School and Executive Deans. Research and Development Board.

Executive Deans.

R.13 Recognise research excellence within the University.

R.13.1 Annual University research awards for excellence in research for established and early career researchers.

Vice Chancellor, Pro Vice-Chancellor (Research).

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Key Strategies R.14 Inform the community of the University’s research excellence.

Operational Strategies R.14.1 University to promote its standing as a research university through its promotional material and advertising.

Performance Outcomes and Timeframe R.14.1a University promotional material to give increased status to its research as befits a research university. General advertising to emphasise both teaching and research as functions of the University’s mission.

Responsibility Community Relations, Director of Research and Development.

Accountability Vice Chancellor.

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Objective R.15-R.19

To attract talented postgraduate research students and to provide high quality research training and supervision

Quality Assurance Processes A Annual Review Process-Reporting on performance and planning future action Annual Report (Research) to Academic Council and Senate by Pro Vice-Chancellor (Research) B Annual Research and Development Board retreat to review research performance in relation to Operational Research and Development Plan targets) Key Performance Indicators A Higher Degree by Research Completions per 10 Research Staff FTE B Time to completion of Higher Degree by Research Students Key Strategies R.15 Develop programs for the recruitment of Australian and international postgraduate research students. Operational Strategies R.15.1 Maintain a Web site to assist students to locate relevant research recruitment information (research staff, areas of research interest, areas of research strength) by following hypertext links. R.15.2 Establish an annual marketing strategy for advertising postgraduate research opportunities at Murdoch in the press, including media presence, information brochures, the Research Prospectus and via the Web. R.15.3 To continue to recognise equity considerations in the award of research scholarships. Performance Outcomes and Timeframe R.15.1a Report on number of visits to the site and currency of site information annually in a report to the R&D Board. R.15.2a Have the annual strategy in place by April each year; monitor impact by measuring numbers of applicants for postgraduate research. R.15.3a To continue to offer a MURS Scholarship for a qualified Aboriginal and Torres Strait Islander applicant. Responsibility Director of Research and Development. Accountability Pro Vice Chancellor – Research.

Director of Research and Development, Executive Deans and Community Relations

Vice Chancellor.

Equity Office, Director of Research and Development.

Pro Vice Chancellor – Research.

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Key Strategies

Operational Strategies R.15.4 Develop an International Recruitment Strategy targeting selected countries; allocate $20,000 per year to implement the strategy including support for visits to foster research postgraduate recruitment in these targeted countries. R.15.5 Increase the total number of postgraduate research scholarships from all sources, including Murdoch University/Divisional research scholarships.

Performance Outcomes and Timeframe R.15.4a Increase the number of international postgraduate research students by 30% by 2003 using 2000 as the base year.

Responsibility Research and Development Board and Murdoch International.

Accountability Pro Vice Chancellor – Research.

R.15.5a Increase postgraduate research student load to 6% of total student load by 2003.

Director of Area of Research Strength, Research and Development Board, Executive Deans and Heads of Schools. Director of Area of Research Strength, Research and Development Board, Executive Deans and Heads of Schools. Director of Area of Research Strength, Research and Development Board, Executive Deans and Heads of Schools. Director of Area of Research Strength, Research and Development Board, Executive Deans and Heads of Schools.

Pro Vice Chancellor – Research.

R.15.5b Increased ranking of higher degree research load as a % of total load compared with other Australian Universities, using 2000 as the base year. R.15.6 To increase the number of applications for partnership scholarships by publicising the scheme, and encouraging applications to research partner organisations for funds. R.15.7 To encourage the inclusion of postgraduate research scholarships in external research grant applications. R.15.6a Increase the number of partnership scholarships by 10% per year from 2002.

Pro Vice Chancellor – Research.

Pro Vice Chancellor – Research.

R.15.7a The number of grantlinked scholarships to be increased by 30% by 2003, using 2000 as the base year.

Pro Vice Chancellor – Research.

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Key Strategies

Operational Strategies R.15.8 To encourage by letter all honours students to consider postgraduate research at Murdoch. R.16.1 Further develop training programs for both early career and established academic staff in postgraduate research student supervision.

R.16 Improve the quality of postgraduate supervision, and the research infrastructure for postgraduate research students.

Performance Outcomes and Timeframe R.15.8a Annual letter to be sent to all current honours in June each year. R.16.1a Satisfactory attendance. R.16.1b Satisfactory course assessment ratings of training programs for both early career and established academic staff in postgraduate research student supervision. R.16.1c Achieve at least an 80% satisfaction rating in postgraduate research student assessment of the quality of supervision. R.16.2a A survey of all postgraduate research students conducted every two years. R.16.2b Reduction in the average time of candidature for a PhD from 48 months in 2000 to 45 months in 2003.

Responsibility Executive Deans and Heads of School. Director of Postgraduate Studies. Director of Research and Development.

Accountability Executive Deans. Director of Postgraduate Studies. Director of Postgraduate Studies.

Director of Postgraduate Studies, Executive Deans. Director of Postgraduate Studies. Chairs of Divisional Research Committees, Director of Postgraduate Studies. Director of Postgraduate Studies.

Vice Chancellor.

R.16.2 All postgraduate research students to continue to be surveyed every two years about the quality of the supervision they receive.

Pro Vice Chancellor – Research. Pro Vice Chancellor – Research.

R.16.3. Continue to strengthen the program to develop generic skills for research students and to improve their potential for employment.

R.16.3a To monitor, by survey, the employability of postgraduate students after completion of their degrees.

Director of Postgraduate Studies.

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Key Strategies

Operational Strategies

R.16.4 To distribute adequate postgraduate research student funding to Divisions.

Performance Outcomes and Timeframe R.16.3b To continue to publish the employment outcomes of graduate students on an annual basis as produced by DETYA. R.16.4a To continue to assess every two years the adequacy of University maintenance support for postgraduate research, using student assessments, and reports from Executive Deans. R.16.4b To assess the facilities and infrastructure available to postgraduate research students annually. R.16.4c To review the level and operation of the Relative Funding Model in providing support for postgraduate student research by 2002. R.16.5a To use feedback from surveys of postgraduate research students to monitor the degree of satisfaction with support.

Responsibility Director, Community Relations. Research and Development Board.

Accountability Vice Chancellor.

Pro Vice Chancellor – Research.

Research and Development Board, OCG.

Research and Development Board and Pro Vice Chancellor – Research. Vice Chancellor.

R.16.5 Supervisors to identify and to refer all students needing language assistance in their first year of postgraduate study to the Teaching and Learning Centre. To continue to provide advice on thesis writing to postgraduate students, with a particular emphasis on the development of written language skills for overseas students whose first language is not English.

Director of Research and Development.

Director of Postgraduate Studies.

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Key Strategies

Operational Strategies R.16.6 To continue to encourage postgraduate research students to present a paper or poster on their work at a national or international conference at least once in the course of their candidature. R.16.7 To continue to review the annual progress of each postgraduate research student. R.16.8 Divisions to continue to provide or plan to provide, in all University academic buildings, access to desks, computers, phones, photocopiers, laboratory and such other facilities as may be required to carry out approved postgraduate programs of research.

Performance Outcomes and Timeframe R.16.6a The Postgraduate Research Student Travel Fund to be maintained at levels to assist all candidates to attend one conference. R.16.7a Written comments from the student, supervisor, senior academic and Executive Dean. R.16.8a To continue to implement the Guidelines for Postgraduate Research Student Maintenance. R.16.8b A line item is required in the budget of each School and Division for postgraduate maintenance and clear written policies about access to facilities. R.16.8c Annual reporting to the R&D Board on minimum levels of support in each discipline and the amount of funding provided to each equivalent full-time research student annually.

Responsibility Research and Development Board.

Accountability Pro Vice Chancellor – Research.

Director of Research and Development. Executive Deans.

Director of Postgraduate Studies and Executive Deans. Executive Deans.

Executive Deans.

Executive Deans.

Executive Deans.

Executive Deans.

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Key Strategies

Operational Strategies R.16.9 All students engaged in laboratory research to be instructed in the University’s safety procedures and in the appropriate handling techniques.

R.16.10 To continue to provide University-wide induction for all new graduate research students, complemented by Divisional/ School induction programs.

Performance Outcomes and Timeframe R.16.9a To continue to offer training courses on laboratory safety procedures to all postgraduate research students, research workers and academic staff; all students to have completed such a course within six months of commencing study. R.16.10a The Research and Development Board to provide University induction for new graduate research students each year. R.16.10b Divisional Research/Postgraduate Committees to arrange appropriate induction to the discipline area each year for new postgraduate research students. R.16.10c University induction courses for postgraduate students to be evaluated annually, and reviewed in detail every three years. R.16.11a Achieve a 75% satisfaction level of I.T training and facilities amongst postgraduate research students.

Responsibility Chair of Divisional Research Committee.

Accountability Executive Deans.

Director of Postgraduate Studies

Pro Vice Chancellor – Research.

Chair of Division Research Committees/Postgraduate Research Coordinators. Director of Postgraduate Studies.

Executive Deans.

Director of Postgraduate Studies.

R.16.11 To continue to improve electronic communication and information retrieval training for postgraduate research students.

Executive Deans, Director of Postgraduate Studies.

Vice Chancellor.

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Key Strategies

Operational Strategies R.16.12 To reduce the time for external studies examination of higher research degree theses by streamlining existing procedures. R.17.1 Continue to strengthen procedures for the selection of high quality, motivated students for admission, and the careful matching of student research programs with supervisors. R.17.2 Continue to strengthen the induction and Generic Skills program to provide the generic skills needed by research students to complete their degrees. R.17.3 Further develop training programs for both early career and established academic staff in postgraduate research student supervision. R.17.4 To improve the project planning conducted by students in relation to their research programs.

R.17 Increase the rate of completions and reduce the time taken for completions.

Performance Outcomes and Timeframe R.16.12a Average time for thesis examination reduced from 13 weeks in 2000 to 8 weeks in 2003. R.17.1a Incorporation of appropriate selection procedures in to the admissions process.

Responsibility Director of Postgraduate Studies. Chair of Divisional Research Committee, Postgraduate Research Coordinator. Director of Postgraduate Studies.

Accountability Director of Postgraduate Studies. Executive Deans.

R.17.2a To continue to monitor the assessment by postgraduate of the quality and relevance of the induction and Generic Skills programs. R.17.3a Satisfactory attendance and course assessment ratings of training programs for both early career and established academic staff in postgraduate research student supervision. R.17.4a Provide project planning and time management components in the Generic Skill program. R.17.4b Continue to ensure detailed Program of Study documents are prepared and forwarded by students within six months after commencement.

Pro Vice Chancellor – Research.

Director of Postgraduate Studies.

Pro Vice Chancellor – Research.

Director of Postgraduate Studies.

Pro Vice Chancellor – Research.

Director of Postgraduate Studies.

Pro Vice Chancellor – Research.

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Key Strategies

Operational Strategies R 17.5 Monitor the progress of research students in meeting the milestones on their research programs.

R.17.6 Provide completion scholarships to assist students close to completion to complete their PhDs full-time.

R.17.7 Provide supervision support to encourage and assist supervisors to provide support to students to complete their PhDs.

Performance Outcomes and Timeframe R.17.5a Continue to implement a program of requiring and monitoring the quality of milestone documents including Annual Reports of Progress prepared and forwarded by students at agreed periods after commencement. R.17.6a Award of 30 completion scholarships per year to provide an outcome of 75% of successful applicants submitting PhD theses within nine months of the commencement of their scholarship. R.17.7a Provision of supervisor support awards for completion of a PhD. These will be available only to supervisors whom have completed the approved supervisor training programs. R.17.7b Increase annual number of completions from 72 in 2000 to an average of 80 in 2002-2003. R.18.1a Amend the scholarship selection process to provide encouragement for applications for scholarships in interdisciplinary areas.

Responsibility Executive Deans and Director of Postgraduate Studies.

Accountability Vice Chancellor.

Director of Postgraduate Studies.

Pro Vice Chancellor – Research.

Director of Postgraduate Studies, Research and Development Board.

Director of Postgraduate Studies. Director of Postgraduate Studies.

Pro Vice Chancellor – Research.

R.18 Encourage interdisciplinary projects and projects in areas of research strength.

R 18.1 Encourage applications for scholarships in interdisciplinary and/or areas of research strength.

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Key Strategies

Operational Strategies R 18.2 Reduce impediments to supervision of students in interdisciplinary and/or profiled areas. R 19.1 Establish benchmarking of postgraduate student processes and outcomes across the University and in areas of research strength, in comparison with universities in WA and those universities most comparable to Murdoch in other states.

R.19 Establish benchmarking of processes and outcomes in postgraduate student performance areas.

Performance Outcomes and Timeframe R.18.2a Provide support for cosupervision across Schools and Divisions, including EFTSU splits. R.19.1a Implementation of a program of benchmarking of processes and outcomes.

Responsibility Director of Postgraduate Studies. Director of Postgraduate Studies.

Accountability Pro Vice-Chancellor (Research). Pro Vice-Chancellor (Research) and Director of Postgraduate Studies.

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Objective R.20-R.22

Ensure that the University maintains high ethical standards in all its research activities

Quality Assurance Processes A Annual Report on Ethics Office Functions to Pro Vice Chancellor - Research B Annual Report on Human Ethics Committee functions to AHEC (Australian health Ethics Committee) B Annual Report on Animal Usage Statistics to Health Department of WA Key Performance Indicators A No of permits with substantial research conduct problems as a percentage of total permits for both Key Strategies R.20 Ensure that the University maintains high ethical standards in all its research activities. Operational Strategies R.20.1 Maintain Committees to ensure that appropriate approval and monitoring procedures comply with external regulations (and internal codes of research practice). Performance Outcomes and Timeframe R.20.1a Provide operational funds for research ethics office. R.20.1b Continue to report on annual approval and renewal of permits submitted to relevant National and State Bodies and to the Institution. R.20.1c Continue to monitor accessible animal projects and selected human projects. Responsibility Director of Research and Development. Associate Director Research Admin and Ethics, Animal Ethics Committee, Human Research Ethics Committee. Associate Director Research Admin and Ethics, Animal Ethics Committee, Human Research Ethics Committee. Associate Director Research Admin and Ethics. Accountability Vice Chancellor. Vice Chancellor.

Pro Vice Chancellor – Research.

R.20.1d Ensure that standards are both being maintained and rationalised via input into State's new laws and interaction with professional organisations.
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Key Strategies

Operational Strategies

Performance Outcomes and Timeframe R.20.1e Benchmark against other National Institutions. R.21.1a Continue to provide seminars and workshops on existing and newly emerging issues. Circulate updated ethics information. R.21.2a Incorporate ethics issues into School/Divisional induction courses. R.21.2b Set up induction course in animal handling for animal users by 2002 Conduct seminars and workshops on human ethics. R.22.1a Continue to support the appointment of an indigenous representative on the Human Ethics Committee.

Responsibility Associate Director Research Admin and Ethics. Associate Director Research Admin and Ethics. Chair of Divisional Research Committee. Animal Ethics Committee, Associate Director Research Admin and Ethics. Assistant Director of Research and Development.

Accountability Pro Vice Chancellor – Research. Pro Vice Chancellor – Research.

R.21 Develop an increasing awareness of ethics as an integral part of the culture of the organization.

R.21.1 Provide ongoing ethical training for staff and students on issues that are relevant to the fields of research. R.21.2 Provide ethical training for new staff and students.

Executive Deans.

Pro Vice Chancellor – Research.

R.22 Support and encourage/develop research in areas of interest to Aboriginal and Torres Strait Islander people.

R.22.1 Identify ways of achieving collaborative research with Aboriginal and Torres Strait Islander people. Support the principles for the conduct of research in appropriate and agreed cultural context.

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Objective: R.23 – R.31

To facilitate the development, protection and commercialisation of intellectual property from innovative research

Quality Assurance Processes A Annual Review Process-Reporting on performance and planning future action. Annual Report (Research) to Academic Council and Senate by Pro Vice-Chancellor (Research) B Annual Research and Development Board retreat to review research performance in relation to Operational Research and Development Plan targets. Key Performance Indicators 1. 1.1 1.2 1.3 1.4 1.5 1.6 1.7 2. 2.1 2.2 3. 3.1 3.2 3.3 3.4 3.5 3.6 3.7 Research Consultancies Total consultancy income – research and other Total Research Consulting income Proportion of research consulting income to total research and consultancy income Ranking of Murdoch against other universities Research consultancy income from business Proportion of research consultancy income from research and other Total consultancy income (research and other) Tenders Total major tender income Proportion of successful major tenders Commercialisation of Research Number of commercial projects initiated Proportion of successful commercialisations Number of technologies licensed Number of provisional patents filed Proportion of provisional patents proceeding to full patents Income from UNICO spin-off companies Number of adjunct appointments from industry

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Key Strategies R.23 Develop awareness of commercialisation and enhance skills needed for effective commercialisation amongst researchers.

Operational Strategies R.23.1 Deliver externally provided three-day commercialisation courses each year as required.

Performance Outcomes and Timeframe R.23.1a Have 10 staff and students complete the course each year for three years.

Responsibility Director of Research and Development.

Accountability Pro Vice Chancellor – Research.

R.24 Actively seek out commercial opportunities within the University by seeking licensing opportunities arising from R&D and early stage opportunities requiring seed capital to facilitate R&D. R.25 Develop incentives for commercialisation of R&D outcomes and for shifting focus of research into areas which may deliver commercial outcomes. R.26 Develop structures which provide internal support for commercialization.

R.23.2 Conduct regular presentations to staff and students on good practice in the protection of IP. R.24.1 Undertake commercial opportunity scans. Audits each year as required which identify and prioritise opportunities for the University to pursue and develop.

R.23.2a Presentations to be delivered in form of seminar at least quarterly. R.24.1a The need for scans to be assessed in March and November each year with a report on each scan provided to the Board of R&D and UNICO on progress made on priority projects identified. R.25.1a Have new rates of returned to inventors adopted in new University IP policy.

Director of Research and Development. Director of Research and Development.

Pro Vice Chancellor – Research. Pro Vice Chancellor – Research.

R.25.1 Increase inventor share of benefits from commercialisation of IP to 50%.

Director of Research and Development.

Pro Vice Chancellor – Research.

R.26.1 Promote UNICO as a vehicle for commercialisation of University IP.

R.26.1a Division of R&D to actively promote Unico internally and externally through the web site and the production of written material.

Director of Research and Development, Pro Vice Chancellor – Research.

Vice Chancellor.

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Key Strategies

Operational Strategies R.26.2 Review the composition of the UNICO Board with the view of bringing a greater degree of commercial experience to the Board of UNICO through independent Directors. R.27.1 Allocate funds to retain key expert advice on commercialisation on a project by project basis. Allocate funds to support commercialisation courses. R.27.2 Allocate funds to support commercial opportunity scans. R.27.3 Allocate research funds in ways that leverage early stage private sector seed funding for innovation. R.27.4 Assess personnel requirements for Division of Research and Development for ILO and commercialization. R.28.1 Monitor A to F.

Performance Outcomes and Timeframe R.26.2a A number of independent Directors to be appointed by the beginning of 2002. R.27.1a Allocate funds in 2002 budget.

Responsibility UNICO Board.

Accountability Vice Chancellor, Senate.

R.27 Allocate funding in support of commercialization.

Director of Research and Development.

Pro Vice Chancellor – Research.

R.27.2a Allocate funds in 2002 budget. R27.3a Allocate funds in 2002 budget. R.27.4a Possible allocation of funds in 2002 budget to a commercial research funding scheme. R28.1a. A. Number commercial projects initiated = 4 p.a. B. Number patents filed = 2 p.a. C. Number of technologies licensed = 1 p.a. D. Number of Spin-off Companies Registered = increase by 10% p.a using 1999 as a base. E. Research Income from Australian Business maintained above the 1999 base.

Director of Research and Development. Director of Research and Development. Director of Research and Development. Director of Research and Development.

Pro Vice Chancellor – Research. Pro Vice Chancellor – Research. Pro Vice Chancellor – Research. Pro Vice Chancellor – Research.

R.28 Monitor the indicators of success of enhanced support for commercialisation.

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Key Strategies

Operational Strategies

R.29 Raise awareness of University Consultancy Policy in order to encourage University Consultancies.

R.29.1 Conduct regular seminars and briefing sessions on the policy, provide guidelines and access to proforma application forms and contracts.

Performance Outcomes and Timeframe F. Research Income from Australian Business as % of Research inc = 22%. R.29.1a Presentations to be delivered in form of seminar at least quarterly. R.29.1b Make Policy, guidelines and application forms available on CWIS by 2001. R.29.1c Make draft proforma contracts available on the CWIS by 2001. R.30.1a Conduct weekly evaluations.

Responsibility

Accountability

Director of Research and Development. Director of Research and Development. Director of Research and Development. Director of Research and Development.

Pro Vice Chancellor – Research. Pro Vice Chancellor – Research. Pro Vice Chancellor – Research. Pro Vice Chancellor – Research.

R.30 Actively seek out opportunities for research consultancies. R.31 Assist Murdoch researchers break into new or difficult markets for the provision of consulting services.

R.30.1 Evaluate key websites for consulting information as well as press and pass on information to research groups with an active interest in consulting. R.31.1 Allocate funds for the purpose of engaging expert assistance in tender preparation.

R.31.1a Funds allocated in 2002 budget.

Director of Research and Development.

Pro Vice Chancellor – Research.

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ATTACHMENT 3

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ATTACHMENT 4

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ATTACHMENT 5 2002 RIBG Expenditures
Division of Science and Engineering Personnel Division Forder/Hood 5% Edge 20% Roberts 10% Harris 30% Barker 100% School of Biological Science and Biotechnology Hubbard 80% Howieson contract salary contrib. Gurney 40% Brooker/Butcher/Lendrum/Adams 50% Dawson/McKenan/Tan 30% Thompson 80% Other tech 5% School of Environmental Science Salleo 20% Gordon 30% Flay 10% School of Engineering Science Osborne/Orton 50% Equipment School of Biological Science and Biotechnology Biosafety cabinet School of Environmental Science Computer server room hardware School of Engineering Science Voltammetry apparatus Maintenance School of Biological Science and Biotechnology Ultracentrifuge Laminar flow cabinets Consumables Centre for Fish & Fish Res. Contrib Internet 50% School of Environmental Science Software/database Internet 70% $ 2,000.00 11,000.00 4,000.00 31,000.00 31,000.00 36,000.00 5,900.00 18,500.00 96,700.00 51,600.00 24,200.00 24,200.00 14,400.00 13,500.00 5,000.00 52,000.00 5,826.00 2,017.00 6,500.00 2,573.00 1,719.00 11,250.00 10,000.00 5,393.00

4,244.00 12,216.00

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School of Engineering Science NMR Internet 30% Facility refurbishment School of Biological Science and Biotechnology Admin office 50% Postgrad student office

$

4,000.00 5,000.00

32,332.00 11,830.00 $ 535,900.00

Division of Arts Personnel Faculty of Social Science, Humanities and Education Flavio Campos Timothy Morrison Arthur Paul Jill Sodestrom Faculty of Business, IT, and Law Damien Kuruckchi Del Blakeway Celia Cornwall Funds used to purchase Library resources, references and interlibrary loans. $ 56,156.00 47,151.00 47,307.00 27,846.00 17,498.00 16,728.00 30,431.00 3,157.00 5,886.00 $ 252,160.00

Personnel

Library resources

Computer equipment and software for research

Division of Veterinary Science Technical research salaries Consummables and small equipment

85,712.00 21,428.00 $ 107,140.00 $ 895,200.00 1,430,225.00 $2,325,425.00

$

TOTAL DIVISIONAL RIBG EXPENDITURE Strategic allocations support 2002 for Areas of Research Strength (See Appendix 6) Total RIBG expenditure for 2002 RECONCILIATION RIBG Balance carry forward 2001 Add DEST allocation 2002 Total funds available Less total RIBG expenditure for 2002 Deficit carry forward 2003 (FULLY EXPENDED)

715,272.65 1,508,451.00 2,223,723.65 2,325,425.00 - $ 101,701.35

$

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ATTACHMENT 6 2002 RIBG Expenditures by ARS
Area of Research Strength RIBG ALLOCATION Description (salaries, equipment, consummables) 2002

Agricultural & Veterinary Biotechnology: Strategic Allocations (Centres) Centre for High Throughput and Agricultural Genetic Analysis Centre for Legumes in Mediterranean Agriculture State Agricultural Biotechnology Centre WA Biomedical Research Institute CRC for Infectious Disease Surveillance (0.5) State Centre of Excellence in Natural Product Development CRC for Environmental Biotechnology (0.3) CRC for Anti-microbial Resistance (0.3) Centre of Excellence in Soil Health ARC Linkage COE- Phytophthora ARC COE- Functional Genomics for Crop Protection Sub-total David Macey ARC Linkage Graham Wilcox - ARC Linkage Sub-total Total Contemporary Asia: Strategic Allocations (Centres) $ $ $ $ $ 50,000 20,000 150,000 60,955 15,000 5,000 5,000 5,000 1,000 5,000 5,000 321,955 25,000 90,000 115,000 436,955

Proposed Centres

Asia Research Centre Total

$ $

157,326 157,326

Hydrometallurgy: Strategic Allocations (Centres)

CRC Parker Centre Total

$ $

150,000 150,000

Social Change and Social Equity: Strategic Allocations (Centres) Australian Housing and Urban Research Institut MurdochLink Total

$ $

25,000 40,023 65,023

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Technologies and Policies for Sustainable Development: Strategic Allocations (Centres) Australian Co-operative Centre for Re-newable Energy Australian Co-operative Centre for Re-newable Energy2 Australian Housing and Urban Research Institut Centre for Organic Waste Management CRC Sustainable Tourism* P(0.3) Environmental Technology Centre Sub-total Proposed Centres Transport Research Centre ARC COE Solar Energy System Global Centre for Sustainability Sub-total Total Terrestrial and Aquatic Ecosystem Mgt & Restoration Strategic Allocations (Centres) Fish and Fisheries Total Bioinformatics and Biostatistics Strategic Allocations (Centres) Infrastructure

$

170,000 10,000 31,117 70,000 50,000 64,000 395,117 5,000 1,560 2,000 8,560 403,677

$

$ $

$ $

20,000 20,000

Centre for Bioinformatics and Biological Computing Matt Belgard, Microarray Facility Total

$ $ $

90,000 26,244 116,244

Interactive Media Infrastructure Total Institute for Advanced Studies Infrastructure Total Other not categorised Centre for Research on Women Australian Research Centre for Medical Engineering Centre for Technological Citizenship Centre for ISA* Total $ $ $

-

15,000 22,000 10,000 34,000 81,000

$

TOTAL

$ 1,430,225

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ATTACHMENT 7 History of the University Company Pty Ltd (ACN 009 171 386)
Chronological Milestones Feb 1975 A proposal was put forward to the University by the Mineral Chemistry Unit, to work with Anumin Pty Ltd (a company established by ANU to exploit and patent discoveries arising from university research) to exploit discoveries in the treatment of copper ore made by the Unit. Murdoch and Anumin enter into an agreement to exploit the aforementioned patents. The agreement was scheduled to continue until June 1976, subject to the continued existence of the Mineral Chemistry Unit at Murdoch. The agreement was extended until 31 December 1976, after which, Murdoch would assume management of the patents and the license agreement. The University deliberated over the idea of incorporating the Mineral Chemistry Unit as a separate legal body named “Murmin Pty Ltd”. Senate approved the establishment of a limited liability company that would basically incorporate the Mineral Chemistry Unit, similar to Anumin. Senate decided that instead of incorporating an entirely new body, the University would instead acquire the shareholding of Anumin Pty Ltd from ANU, as this arrangement was the simplest way of transferring responsibility of the project. - The University acquired Anumin from ANU, with the primary purpose of Anumin being to service the Mineral Chemistry Unit. Due to financial constraints at Anumin, Murdoch made a $2000 loan to Anumin. Murdoch made a $30,000 loan to Anumin, whilst encouraging the Directors of the Company to seek an additional $50,000 in outside funding to help fund the Company in interesting its patented processes to industry. The name of Anumin was changed to Murmin Pty Ltd to better reflect the status of the company. All references to ANU were also removed from the company’s structure. Murmin extended its areas of operation to include other areas of the University in developing contract research, in addition to the Mineral Chemistry Unit. The University authorized Murmin to coordinate the consulting and contract research activities of the academic and general staff of the University. The name of Murmin Pty Ltd was changed to The University Company Pty Ltd. A loan of $93,000 was made to Unico to help tide over Unico’s problems that had arisen due to the failure of the Zinc Bromide Battery Project. The OAG was appointed as auditor of Unico. Unico became a shelf company. The University took over responsibility for the operation of Unico and its various contractual arrangements as from July 1992. The Directors of Unico were stood down, and senior executives of the University were appointed to the Board. Unico’s role would be to act as an investment or licensing instrument for any commercial agreements. A position was established in Research & Development to service the functions of Unico. Since Unico became a shelf company in 1992, several unsuccessful attempts were made to re-establish Unico and appoint a business manager for the company. Unico entered into an agreement with Exodus Minerals Ltd to fund the MS Project.

Nov 1975 Jul 1976 Oct 1976 Nov 1976 Mar 1977

May 1981

Sept 1984 Mar 1986 Mar 1988 Oct 1989 Apr 1991 Oct 1991 May 1992

Jun 1992

Dec 2000

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Major Projects The major commercialisation projects that Unico has been involved in to date are the Zinc Bromide Project and the Multiple Sclerosis Project. Major consultancies The major consultancies that Unico has been involved in to date include consultancies for the following bodies: • GreenPeak Technologies Pty Ltd • Office of Road Safety • Ministry of Justice • Solar Energy Systems Limited • MS Biotechnology • Conve Ltd • Commonwealth of Australia • Breesagen Ltd

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ATTACHMENT 8 Commercialisation Strategy

Annual IP Opportunity Assessment or Invention Disclosure Databases

Detailed Review of Commercial Potential

Define Exploitation Route and Funding Option

STAGE

PHASE

CHARACTERISTICS
• Fundamental Research • Applied Research • Discovery

LIKELY COMMERCIALISATION STRATEGY

Research

Idea

Technology

• Proof of Concept • Inventions Characterised • Applications Scoped • Pathway strategy options

Joint Venture Strategic Alliance with Early Stage Investment Funds e.g., Sci Ventures Pre Seed Fund.

evaluated

Opportunity Definition

• Potential markets and

differentiation
• IP position • Business options

Development

Opportunity Development

• Defined options • Competition defined • Capturing IP position

Licensing

Business Definition

• Tested business model • Defined value proposition • Executive staff

recruitment
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STAGE

PHASE

CHARACTERISTICS
• Winning business plan • Differentiated IP position • Key executives in place

LIKELY COMMERCIALISATION STRATEGY Start up

Introduction

Investment Ready

Series A investment

• Development milestones • Market testing • Expanded Team/Org.

Growth

development

Series B investment

• Market/Sales investment • Manufacture/Distribution • Next Generation

Products/Processes

Series C investment

• International growth • Global business plan • Next Generation IP

Follow-on investment

position(s)

IPO/trade sale

• Public offering • Business sale or

acquisition
• Technology licensing

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ATTACHMENT 9 INTELLECTUAL PROPERTY POLICY AND GUIDELINES 1. Introduction

Intellectual Property includes the legal rights relating to intangible property such as copyright, registered designs, patents and trade marks. Intellectual Property laws protect the intangible aspects of a product, For any product or process, its sales literature, software and promotional film may be protected by copyright; its shape or pattern may be a registered design; its invention may be patented; its name may be registered as a trademark; and confidential information about it may be protected by action for breach of confidential information. Unlike personal property, Intellectual Property cannot be possessed and unlike real property it cannot be occupied. Yet, the intangible assets, which Intellectual Property laws protect, may be the most valuable assets of a university. This is why best practice requires that Murdoch University has an Intellectual Property Policy in place to protect the interests of its staff, students and the University itself. In developing this policy and associated guidelines, the University seeks to set out the framework by which the University will protect, develop and commercialise Intellectual Property arising from University research, and enable the originators of discoveries and developments to benefit from their commercial exploitation and be recognised for their work. In providing such incentives for staff and students to actively pursue commercial opportunities, this policy forms part of the University’s overall strategy to create an environment that fosters innovation and discovery. It is of course understood by the University that protection of IP does reduce the academic freedom to publish and transmit research outcomes. Where this Policy is in conflict with Statute 18, Statute 18 will prevail until such time as the Statute is amended to reflect the terms of this Policy. Application of this policy is administered by the Division of Research and Development and Divisions, Schools and Offices of the University.

2.
i. ii. iii.

Policy Objectives
Provide certainty about the ownership of Intellectual Property created in the course of university activity; outline the responsibilities and obligations of the University, its staff and students in the management of Intellectual Property; and help facilitate the commercialisation of this Intellectual Property for the benefit of the University, its staff and students, and the community.

The objectives of this policy are to:

3.

Definitions used in this Policy

In this Policy: a. Adjunct Appointee means a duly appointed adjunct to the University appointed according to procedures and policies in place relating to adjunct appointments and as may vary from time to time. Commercialisation means the process of gaining financial benefit from University IP. This includes protecting, managing and developing the commercial value of Intellectual Property and research, most commonly through the creation of linkages with industry and the creation of commercial enterprises linked by formal legal agreements to the University. 79
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b.

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c.

Computer Works means any software or computer code, whether in written or digital form, including: i. ii. iii. iv. v. Human readable source code and executable object code (including program applications, firmware and compiler code) and associated listings; Source materials that support and explain the items referred to in (i.) above, database structures, object libraries and reference files, master files, and field descriptions and record layouts; Embedded software tools, if any; Circuit diagrams, printed circuit board layouts, hardware and electronic components listings, layout drawings and installation instructions; and Any modifications to the foregoing.

d.

Copyright Work means any work as defined in the Copyright Act 1968 (CWth) including artistic, literary, dramatic, or musical work, sound recording, cinematograph film, television broadcast, sound broadcast, published edition of a work, photograph, video recording, CD ROM or Computer Works. For the purposes of this Policy, Copyright Work shall also include monographs and scholarly works including manuscripts, lecture notes and other materials prepared for educational or scholarly purposes. Course Materials means: i. any Copyright Work whether in electronic, written or any other form of media created by a Staff Member specifically for use in, or in connection with a course, subject or unit offered or to be offered by the University or by an affiliated open learning or distance education agency; and/or any materials commissioned by the University specifically for use in, or in connection with a course, subject or unit offered or to be offered by the University or by an affiliated open learning or distance education agency unless there is an agreement to the contrary.

e.

ii.

f.

Course of their Duties, for a Staff Member, primarily refers to the scope of duties as a Staff Member as set out in the contract of employment, duty statement or any other agreement between the Staff Member and the University in effect at the time at which University IP or other Intellectual Property was generated. This includes activities and creative thoughts occurring outside of normal working hours or away from University premises provided that they have a direct relationship to the Staff Member’s official duties at the University. Indigenous Work means a work created predominantly by people of Aboriginal or Torres Strait Island descent. Intellectual Property includes information, ideas, inventions, innovations, art work, designs, literary text and any other matter or thing whatsoever as may be capable of legal protection or the subject of legal rights in any of the ways set out in this clause and includes the following rights recognized by Australian and/or foreign law: i. ii. Patents; Information which is of a kind and which has been communicated in such a way as to give rise to a duty of confidentiality; iii. Information which is subject to an employee’s duty of fidelity to the employer; iv. Copyright Works; v. Registered trademarks; vi. Registered Business Names; vii. Registered company names; viii. Domain names; ix. Unregistered trademarks used or intended for use in business; x. Registered designs or designs capable of being registered;

g. h.

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xi. xii. xiii. xiv. xv. i. j. k. l.

Copyright in some unregistered or unregistrable designs (usually as artistic works); New plant varieties and the right of breeders of such varieties; Circuit layouts (computer chips); Trade secrets; and Other rights resulting from intellectual activity in the industrial, commercial, scientific, literary and artistic fields.

Intellectual Property Registry means the registry of University IP . Intellectual Property Rights means the rights to Intellectual Property. Originator means any person who creates, whether or not in conjunction with another person, any Intellectual Property. Specific Contribution, in relation to the creation of Intellectual Property, means funding, University Resources, facilities or apparatus which are contributed by the University, but excludes a scholarship awarded by the University as a contribution to a specific University Project. Staff Members means any member of the full or part-time academic or general staff of Murdoch University whether engaged in or holding a permanent post or not. Students means a graduate student, an undergraduate student and/or any other person designated or defined as a student in the Murdoch University Act 1973. Any reference to a Student in this Policy shall also apply to a Visiting Academic, Scholar or other person in so far as that person undertakes studies, scholarship or research with or at the University and in so doing uses University resources, works as part of a University research team responsible for developing the Intellectual Property, or develops Intellectual Property through the use of or building on confidential information belonging to the University. Supervisor means the supervisor of a postgraduate research student or person acting with the authority of the University in such a capacity or the staff member (normally the Head of School) supervising an undergraduate student or postgraduate coursework student in a course of studies. University IP means Intellectual Property which is owned by the University according to the terms of this Policy or otherwise as a matter of law. University Project means any program of work or research project administered by or on behalf of the University which: i. ii. iii. iv. Is funded by the University; or Is funded by an external source (including both private and public sector); or Makes use of any University Resources; or Incorporates or uses pre-existing University IP.

m. n.

o.

p. q.

r. s.

University Resources means and includes the University’s physical infrastructure, equipment, technical support and administrative, financial, human and legal resources. Unico means the University Company Pty Ltd ACN 009 171 386 a company wholly owned by Murdoch University, which is responsible for the commercialisation of University IP.

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4.
i. ii. iii.

Persons covered by the policy
Staff Members; Students; and Persons participating in a University Project whether as an external student, visitor, Adjunct Appointee or contractor

This policy governs the Intellectual Property Rights of the following persons:

Persons who do not fall under the above categories are not affected by this Policy

5.

Ownership of Intellectual Property

The ownership of any Intellectual Property created by persons covered under this Policy will be determined by the terms of this Policy, unless such persons have entered into a written agreement with the University which specifically refers to and overrides this Policy. 5.1 Ownership of Intellectual Property created by Staff Members Subject to clauses 5.4, 6.1, 6.2 and 7, the University owns all Intellectual Property in works created by Staff Members within the Course of their Duties. If a Staff Member has created any Intellectual Property that is unrelated to the work done by them in the Course of their Duties at the University and without using any significant level of University Resources, then the University does not own such Intellectual Property. 5.2 Ownership of Intellectual Property created by students For a Student who is the Originator of any Intellectual Property generated during their course of studies at the University, the following shall apply: i. ii. Subject to the provisions of this Policy and as a general rule, the University does not claim ownership of Intellectual Property created by Students; The University will own any Intellectual Property arising from participation by the Student in a University Project provided that where the program or research is termed a University Project by virtue of the level of University Resources used, the University Resources used in that instance was beyond that normally available to Students. It is a condition of the Student participating in a University Project that the Student enter into a Deed of Assignment (Policy Schedule B) with the University in respect of the Intellectual Property that is so generated. University Project status may only be imposed on a student if the student is informed as such prior to the approval of the student’s Program of Study; The University will own any Intellectual Property arising from the work of the Student undertaken with a Specific Contribution beyond that normally available to research students by the University; Where a Student participates in a University Project, the provisions of this Policy will bind that student as if acting in the University Project as a Staff Member; The University’s claim or ownership of Student generated Intellectual Property will not interfere with the academic assessment of the Student.

iii. iv. v.

5.3 Ownership of Intellectual Property created by Adjunct Appointees The ownership of any Intellectual Property created by a visitor or person holding an adjunct appointment during the course of any visit or adjunct appointment at the University shall be determined by consultation between the University and the visitor or person holding an adjunct appointment and recorded in writing. In the absence of any such written agreement, Intellectual Property created by a visitor or person holding an adjunct appointment during the course of any visit or adjunct appointment at the University will be owned jointly in equal share by the adjunct and the University

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5.4 Ownership of Intellectual Property and Agreements between Sponsors and the University Where a Staff Member or Student at the University participates in a University Project that is fully or partly funded by an external party, and an agreement has been entered into between the external party and the University which governs the Intellectual Property, ownership of the Intellectual Property produced during the course of that University Project will be governed by that agreement and such arrangements will override the other terms of this Policy. Where a Staff Member or Student of the University participates in an activity that is funded by the University and an agreement has been entered into between the Staff Member or Student and the University, then the ownership of Intellectual Property produced in the course of that activity will be determined by that agreement. 5.5 Bringing Intellectual Property to the University Where the owner or Originator of Intellectual Property which was created prior to enrolment in a course of studies or the commencement of employment or research with the University brings or intends to bring Intellectual Property to the University to be used in the course of studies or within the Course of their Duties or otherwise, such persons will be required to assist the University in determining whether that Intellectual Property is entirely owned by them by providing the University with: i. ii. iii. an inventory of that Intellectual Property; all documents relating to the ownership of such Intellectual property, including without limitation any contract, agreement, licensing agreement, or another institution’s Intellectual Property policy; written warranties that the use of such Intellectual Property does not infringe the rights of any third parties.

6.

Ownership of Copyright

6.1 Copyright owned by originator Copyright is one of the many forms of Intellectual Property that this Policy covers. Subject to clauses 6.2 and 7.2, a Staff Member who is the Originator of a Copyright Work will be the owner of the copyright in that work unless the provisions of this Policy specifically provide that the copyright is owned by the University 6.2 Copyright owned by the University If a Staff Member is the Originator of a Copyright Work and: i. ii. iii. iv. v. vi. the University has specifically commissioned the Copyright Work; or the Copyright Work was created as a result of the Staff Member’s participation in a University Project; or the University has contributed other University IP to the development of the Copyright Work; or the University has made a Specific Contribution resulting in the creation of the Copyright Work; or substantial use was made of the University’s resources and/or services in the creation of the Copyright Work; or the Copyright Work was created in by the Staff Member in the Course of their Duties

then the University shall own the copyright in the Copyright Work.

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6.3 Student ownership of copyright in theses Notwithstanding any other provision in this Policy: i. ii. Students shall own the Copyright in their theses, unless the Student agrees otherwise in writing. The University may require that the content of theses be regarded as confidential in certain circumstances and will determine the extent and the term to which confidentiality requirements are to be attached to each individual thesis. In any case, the requirement of confidentiality shall be for no longer than two years, unless otherwise agreed between the parties. The examination of the thesis shall not be affected, although the University will give consideration to the need for examiners to sign confidentiality agreements in substantially the same form as that at Policy Schedule C.

iii.

6.4 University’s license to use Originator’s work Where a Staff Member is the owner of the copyright in a Copyright Work created whilst in the employment of the University, pursuant to this Policy: i. The University retains a non-exclusive, perpetual and royalty-free license to publish and use the Copyright Work for its educational and research purposes or those of any joint venture partner where the joint venture is specifically established for educational or research purposes or in relation to any contract for collaborative teaching arrangements entered into by the University with external partners; The University is entitled to access to that Copyright Work in order to enable the University to freely exercise the license granted to it under clause 6.4(i) above; The University’s license under this clause is terminated at the time that the Staff Member assigns ownership in the Copyright Work to a Commercial Enterprise; and The Staff Member is required to notify the University immediately in writing on the date of the assignment of copyright ownership in the Copyright Work to a Commercial Enterprise.

ii. iii. iv.

6.5 Ownership of Copyright in conventional scholarly output A Staff Member or Student who is the Originator of a Copyright Work which is a conventional scholarly output shall own the copyright in that work.

7.

Intellectual Property and Copyright in Specific Circumstances

7.1 Artistic & Indigenous Works The University recognises the emotional and spiritual link which may exist between the creator of an artistic work or Indigenous work and the work itself. As such, the University claims no ownership of copyright in such works. In areas of doubt, the University will determine, after suitable consultation with relevant groups within the University, what works are regarded as artistic works or Indigenous works for the purposes of this clause. The University will exercise its rights under clause 6.4 in a manner consistent with its recognition of the emotional and spiritual sensitivity of such works The University must consult with the Originator of an artistic work or Indigenous work before making any use of the work under clause 6.4. 7.2 Course Materials The University shall own the Intellectual Property in Course Materials created by Staff Members in the normal Course of their Duties.

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However, if: i. ii. iii. a Staff Member creates Course Materials; and a substantial proportion of those Course Materials incorporate a Copyright Work that already exists; and the Staff Member is the owner of the copyright in that Copyright work,

then the Staff Member owns the copyright in such Course Materials and the University will have a licence to use the Copyright Work in those Course Materials upon the terms set forth in clause 6.4. Course Materials may only be published on a web site with the prior written permission of the Head of School. Where a Staff Member leaves the employment of the University, the Staff Member may not use Course Materials in which the University owns copyright without the prior written permission of the Head of School. Where a Staff Member leaves the employment of the University and owns the copyright in Course Materials, the University will retain a licence to use the Copyright Work in those Course Materials upon the terms set forth in clause 6.4. Where a Staff Member creates Course Materials outside the normal Course of their Duties, ownership of the copyright in such Course Materials shall vest in that Staff Member, and the University will have a licence to use the Copyright Work in those Course Materials upon the terms set forth in clause 6.4. 7.3 Computer Works The University shall own the Intellectual Property in any Computer Works developed by a Staff Member within the Course of their Duties. 7.4 Moral Rights The University will observe any obligations which it may have in relation to moral rights as may be provided by the Copyright Act 1968 (CWth) from time to time. In any case, the University will seek to protect the rights of attribution and integrity in relation to Copyright Works which it seeks to commercialise.

8.
8.1 i. ii.

Obligations of Staff, Students and Adjunct Appointees
Requirement to enter into an Intellectual Property Acknowledgement and Undertaking and Deed of Intellectual Property Assignment Staff Members will be required to enter into an Intellectual Property Acknowledgement and Undertaking with the University (see Policy Schedule A) Subject to clause 9.1, Students undertaking or participating in a University Project will be required to enter into a Deed of Intellectual Property Assignment (see Policy Schedule B) prior to undertaking or participating in a University Project. For postgraduate Students this will be the time they are enrolled or when the Student’s Program of Study is submitted. Where Students are unwilling to enter into a Deed of Intellectual Property Assignment with the University, the University may offer the Student an alternative program of study which does not involve participation in a University Project.

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8.2 Confidentiality requirements In order to ensure that University IP is protected Staff Members and Students should not: i. hold any discussions with any person external to the University concerning the University IP before registering the University IP in accordance with clause 8.8 and receiving from such external persons a signed confidentiality agreement (Policy Schedule C), unless otherwise required by any funding or University Project agreement; present at conferences or publish any information about any University IP without the approval of their Supervisor. Agree to sell or engage in any commercial use of University IP without the prior written consent of the University. divulge any trade secrets without the prior written consent of the University.

ii. iii. iv.

These confidentiality requirements shall prevail for a period of two years from the date University IP is registered in accordance with clause 8.8 unless otherwise agreed in writing by the relevant parties. The Pro Vice Chancellor (Research) may exempt any Staff Member or Student from these confidentiality requirements. 8.3 Reporting infringements of University IP Any Staff Member or Student who becomes aware of the unauthorised use of University IP must promptly inform the Pro Vice Chancellor (Research) in writing of the relevant details as soon as they become aware of such unauthorised use. 8.4 Duty not to act contrary to the University’s rights A Staff Member or Student who does not own the Intellectual Property vested in a particular work must not: i. ii. iii. apply for any form of protection for that Intellectual Property; or commercialise or otherwise deal with that Intellectual Property; or do any act or thing in a manner inconsistent with, or which would prejudice the University’s rights under this policy.

8.5 Postgraduate Research Students In the event that a postgraduate Student believes that he or she has created valuable Intellectual Property; the following shall apply: i. the Student shall consult their Supervisor regarding the ownership of the Intellectual Property which the Student has created. The Intellectual Property may be owned by the Student or the University in accordance with clause 5.2. The Supervisor will seek advice from the Division of Research and Development on this matter where the issue of ownership is unclear; where the University is deemed to own Intellectual Property, the Student shall enter into an agreement with the University as outlined in clause 8.1, subject to clause 9.1; where the Student is deemed to own Intellectual Property, the Student and the Supervisor will be required to attest to an appropriate arrangement for the ownership of any rights related to Intellectual Property developed by the Student and which is related to the work done by the Student in the course of their studies. This is necessary in cases in which the University or the Supervisor has contributed significantly to the generation of the Intellectual Property; the Student, in consultation with the Supervisor, shall also be required to register the Intellectual Property with the University in accordance with clause 8.8. the Student and the Supervisor will ensure that the Intellectual Property is adequately protected and will act in accordance with clauses 6.3, 8.2, 8.3 and 8.4. where the Student is deemed to be the owner of the Intellectual Property, the University will retain a non-exclusive, perpetual and royalty-free license to and utilise the Intellectual Property for its educational and research purposes.

ii. iii.

iv. v. vi.

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8.6 Assignments and confidentiality undertakings Where the University enters into an agreement with an external party as contemplated in clause 5.4 or otherwise, and: i. ii. iii. the agreement contains obligations concerning the ownership of Intellectual Property or the authorised use of or access to confidential information; and Staff Members, Students or other persons are involved in the activities or have obligations on behalf of the University under that agreement; and As a result of those activities or obligations Intellectual Property or confidential information is or may be created or disclosed,

then each Staff Member, Student or other person must assign the Intellectual Property to the University and/or external party and/or sign a licence and/or confidentiality agreement as the University may determine. 8.7 Obligations of Adjunct Appointees If a visitor or person holding an adjunct appointment uses University IP, or participates in a University Project the University will require such persons to sign a confidentiality agreement in substantially the same form as that in Policy Schedule C. The obligations under the confidentiality agreement shall continue to apply beyond the term or termination of the visit, adjunct appointment or involvement with the University. Persons holding an adjunct appointment should consult with the Division of Research and Development at the time of appointment regarding access to and use of University IP under this Policy. If Intellectual Property with the potential for commercial exploitation is developed during the course of an adjunct appointment then the provisions of Clause 5.3 shall apply. Upon termination of any visit, appointment or involvement with the University Project, a visitor or person holding an adjunct appointment should consult with the University if they wish to use or have access to any University IP. It is the responsibility of the person appointing the adjunct appointee to inform the adjunct appointee of their obligations under this Policy. Each new adjunct appointee will then be required to sign a written form of acknowledgment indicating that they have read and agree to the terms of this Policy. 8.8 Requirements and Procedures for notification Where a Staff Member creates University IP, the Staff Member must register its existence on the Intellectual Property Registry as soon as the Staff Member becomes aware the University IP has been created. Where a Staff Member creates University IP and that University IP may be capable of commercial exploitation the Staff Member must report its existence to the Pro Vice Chancellor (Research) as soon as the Staff Member becomes aware that the University IP may be capable of commercial exploitation. The contents of the report should be as stated in clause 8.9 below. Where a Student creates University IP and that University IP may be capable of commercial exploitation, the Student must report its existence to their Supervisor as soon as the Student becomes aware that the University IP may be capable of commercial exploitation. The Supervisor will then report its existence to the Pro Vice Chancellor (Research). The contents of the report will be as stated in clause 8.9 below. 8.9 Contents of Report Registering the Creation of University IP A report registering the creation of University IP under clause 8.8 should contain the following details:
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i. ii. iii. iv. v. vi. vii. viii. ix. x. xi.

a brief description of the Intellectual Property and its potential for application; the date upon which the Intellectual Property was created; the identity of any person or persons who contributed to the creation of the Intellectual Property; the details of any pre-existing Intellectual Property which was used in creating the Intellectual Property; whether any person other than the originator claims any entitlement or interest in the Intellectual Property; the details of any University facilities used to create the Intellectual Property (especially including grant moneys or other research funding); the details of any known or existing or partial use, publishing or commercial exploitation of the Intellectual Property; the details of any provisional patent application that may have been filed with regard to the Intellectual Property; reference to the existence of any laboratory notebooks or other workbooks documenting the development of the Intellectual Property; an identification of the potential risks of commercialising and not commercialising the Intellectual Property; and any information which would assist in evaluating, protecting or commercialising the Intellectual Property.

The University may ask the Originator to provide such additional information as is reasonably required and the Originator must not withhold that information. All the information provided in a report registering the creation of University IP will be treated as confidential by the University 8.10 Sanctions for non-compliance The University reserves the right to take appropriate action in the event that Staff or Students do not comply with their obligations under this Policy.

9.

University’s Obligations

9.1 Advising Staff and Students on their Rights and Obligations The University will take reasonable steps to ensure that this Policy is communicated to Staff and Students. At the time of the promulgation of this Policy the University will: i. ii. iii. Inform Staff Members and Students of their rights and responsibilities in relation to the ownership, assignment and use of Intellectual Property under this Policy; Conduct educational seminars which will assist Staff and Students in furthering their understanding of those rights and responsibilities; Require existing Staff Members to complete the Intellectual Property Acknowledgment and Undertaking at Policy Schedule A acknowledging these rights and responsibilities.

At the time of a Student enrolment or when the Student’s Program of Study is submitted, the University will: i. ii. inform Students of their rights and responsibilities in relation to the ownership, assignment and use of Intellectual Property under this Policy; where appropriate, require the student to complete the Deed of Assignment at Policy Schedule B acknowledging those rights and responsibilities;

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iii. iv.

conduct educational seminars which will assist Students in furthering the understanding of those rights and responsibilities; and Prior to any Student entering into a Deed of Assignment with the University, advise that Student of their rights and that it may be in their best interests to obtain independent advice. The University will provide assistance to the extent it deems appropriate to help the Student obtain independent advice.

At the time of commencement of employment or within reasonable period thereafter, a new Staff Member will be: i. ii. iii. informed of their rights and responsibilities in relation to Intellectual Property under this Policy; required to complete the Intellectual Property Acknowledgment and Undertaking at Policy Schedule A acknowledging those rights and responsibilities; and provided with training which will assist in the understanding of those rights and responsibilities.

9.2 University to consult where practicable If the University wishes to enter into an agreement with an external party concerning the funding, ownership and/or commercialisation of Intellectual Property produced in the course of a University Project, the University will as far as practicable: i. ii. consult with the Staff Members and Students who will be affected by that agreement; and ensure that the agreement reflects, as far as is practicable, the terms of this Policy.

10.

Commercialisation

10.1 Evaluation of commercialisable Intellectual Property Following consideration of the report registering creation of IP in accordance with clause 8.8 and in consultation with the Originator, the Pro Vice Chancellor (Research) will determine whether the University wishes to become involved in the exploitation of the University IP. In such cases, the Pro Vice Chancellor (Research) may consult an appropriate expert(s) in the relevant field in order to obtain an independent evaluation of the University IP in relation to its protection and commercialisation. 10.2 Procedures for commercialising IP If the University wishes to commercially exploit the University IP, the Pro Vice Chancellor (Research) will formulate a commercialisation plan/proposal in consultation with the Originator. When complete, the proposal will be submitted to the Board of Unico for evaluation. The submission will be made by the Pro-Vice Chancellor (Research) together with a recommendation to the Board. The proposal will include the following types of information: i. ii. iii. iv. v. vi. vii. viii. ix. x. Title; Non technical/ non confidential summary of the technology/commercialisation opportunity; Introduction to the commercialisation opportunity including nature of commercial application, potential market size and known competitors; Nature of IP protection planned or already in place; Nature of any existing encumbrances on the IP; Type of commercialisation model proposed (eg. spin off company, licence agreement, etc); Details of any discussions or negotiations to date with potential partners; Details of any funds sought from University/Unico and/or commercialisation partner; Action/Decision list for commercialisation; and Risk assessment and mitigation plan.

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(a blank, pro forma example of a commercialisation plan/proposal should be included as a Schedule. Again, this will help to provide guidance as to the formulation of such a plan/proposal.) 10.3 Registered Protection If not already determined and acted upon, the commercialisation plan/proposal should outline any necessary steps to be taken to protect the Intellectual Property through registration, and the funding proposal should set out the funds required for effective searching and provisional lodging. In general the University and/or Unico will support the costs leading up to the lodging of a provisional application for registration. The commercialisation plan/proposal should outline future costs of full registration protection and lodging. These will normally be sought from the commercial partner. Prior to making an application for registration protection in cases where the University IP has been created in conjunction with an outside partner where no written agreement exists outlining the share of ownership of Intellectual Property or responsibility for Intellectual Property protection and commercialisation it is essential that written agreements be entered into between the University and any external party that has contributed to the creation of the University IP. Such agreements will include the following issues: i. ii. iii. iv. v. vi. the percentage share of the ownership of Intellectual Property between the University and the other party; assignment to one of the parties (usually the University) by the other party of the responsibility for protecting and commercialising the Intellectual Property; confidentiality provisions; warranties as to the originality and/or ownership of the relevant Intellectual Property; the allocation of the costs of applications for registration and prosecution; and the allocation of any proceeds or royalties arising out of the commercialisation of the Intellectual Property.

The Division of Research and Development can provide advice on all issues related to Intellectual Property registration and protection and if necessary will arrange for meetings with patent attorneys. 10.4 Duty to assist Where the University decides to commercially exploit any University IP the Originator(s) of that University IP must provide the University with reasonable assistance in the process of Commercialisation including, but not limited to, making reasonable efforts to provide information promptly, attending meetings with potential licensees or funding partners, and providing advice on further developments. (the Originator(s) of University IP should be obligated to enter into some form of “Consultation Agreement” with the University, at the University’s discretion, so as to ensure that any required assistance will be available)

11.

Proceeds of Commercialisation of University IP

11.1 Money received from commercial exploitation of Intellectual Property Where money is received by the University from Unico or a third party as a result of the Commercialisation of University IP, the University will first deduct from that money the costs incurred by it in the process of protecting and Commercialising the University IP (unless this was done by Unico, in which case money received by the University from Unico will be net of any costs incurred in the process of protecting and commercialising the University IP). The University shall determine a schedule of reasonable costs which shall be applied in assessing any moneys to be deducted from the gross proceeds of commercialisation. After these costs have been deducted, the University may make an appropriate apportionment of that money between itself and the Originator(s) pursuant to clause 11.2.

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11.2 Distribution of Net Revenue The payments to the Originator(s) referred to in clause 11.1 will be in accordance with the terms of this clause unless a separate agreement has been entered into between the University and the Originator(s). The Originator of University IP which is commercialised by the University will be entitled to receive the greater of either the amount provided for under clause 7.4 of Murdoch University Statute Number 18, as amended from time to time, or 50 percent of the total accumulated revenue from Commercialisation, after deducting all direct costs associated with commercialising the IP, registration costs and the University’s 15% overheads (“Net Revenue”), unless an agreement entered into between the Originator and the University states otherwise. Where there is more than one Originator involved in the creation or development of the relevant University IP, each member of the group of Originators is entitled to receive an equal share of any payment made under this clause unless an agreement entered into between the group of Originators and made available to the University states otherwise. If the members of the group are unable to agree on the apportionment of Net Revenue, the University will determine the matter. The University will give consideration to the respective contributions of all contributors to the creation and development of the University IP.

12.

Assignment of Intellectual Property and Copyright

12.1 Assignment of Intellectual Property University IP may only be assigned with the approval of the University. Authority for this is vested with the Pro Vice Chancellor (Research). Where the University wishes to commercialise University IP through Unico it may assign the University IP to Unico. Where the University considers that the University should not be involved in the commercial exploitation of some particular Intellectual Property or has determined that it has not been successful in doing so, then the University may assign the rights of ownership in the Intellectual Property to the Originator of the Intellectual Property under the provisions in this Policy. There is no obligation for the University to assign Intellectual Property under any circumstance. 12.2 Assignment of copyright in Course Materials When considering a request to assign ownership of copyright in Course Materials the University shall have due regard to its commercial and educational interests in determining if such a request should be granted. The University shall seek advice from the Head of School and other senior staff as required in making such a determination. If the University assigns to a Staff Member the copyright in any Computer Works or Course Materials, the University retains a non-exclusive, perpetual and royalty-free licence to produce, publish or use for its purposes those Course Materials or Computer Works until such time as the Staff Member has the work published commercially. When such Copyright Works become available for sale to Students the licence granted to the University under this clause will cease. If the above work is recommended for use by Students at the University in connection with any course of study the work shall be purchased and sold by the University bookshop in the same manner as all other prescribed textbooks. However, the University does not guarantee that a textbook produced and published by a Staff Member will be prescribed or continue to be prescribed as a text for Students at the University.

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12.3 Procedure for assignment of Ownership of Intellectual Property A Staff Member or Student who wishes to be assigned ownership of Intellectual Property created by them, should advise the Pro Vice Chancellor (Research) in writing: i. ii. iii. iv. that the Intellectual Property is original and solely the work of the Staff Member or Student concerned, or if produced jointly the names of other persons involved; and of the purpose for and the conditions under which the Intellectual Property was created, if appropriate; and of the basis upon which the Staff Member or Student concerned claims ownership; and that assignment of ownership of the Intellectual Property is requested.

12.4 Conditions, fees and royalties applying to the assignment of University IP The University reserves in its absolute discretion the right to impose any conditions it may determine on the assignment of ownership of University IP to a Student or Staff Member. In particular the University may subject any assignment to payment of a royalty or fee that is to be determined by the University in the event that the Student or Staff Member commercially exploits University Intellectual Property.

13.

Dispute resolution

13.1 Staff Member Dispute Resolution Where a Staff Member has a dispute with the University arising out of the operation of this Policy, the parties will attempt to resolve the dispute in accordance with the following procedure: i. ii. In the first instance, an accredited representative(s) of the National Tertiary Education Union (Murdoch Branch) and an appropriate representative(s) of the University shall discuss the dispute and attempt to reach written agreement, subject to ratification by the parties. Where a dispute is not resolved under 13.1(i), at the request of either party, a Disputes Committee shall be convened within one (1) working week unless otherwise agreed. The Disputes Committee shall consist of: a. Two (2) nominees of the University; and b. Two (2) nominees of the National Tertiary Education Union (Murdoch Branch). The Disputes Committee shall attempt to resolve the matter within one (1) working week of its first meeting. Any resolution shall be in the form a written agreement subject, if necessary, to ratification by the parties. Until the procedures described in clause 13.1(i)-(ii) have been exhausted: a. Work shall continue in the normal manner and status quo shall remain; and b. The subject matter of the dispute shall not be taken to the Australian Industrial Relations Commission by the University or the National Tertiary Education Union (Murdoch Branch). When the procedures described in clause 13.1(i)-(ii) have been exhausted, the matter may be referred by either party to the Australian Industrial Relations Commission for conciliation or arbitration. Where the Australian Industrial Relations Commission determines that it does not have the jurisdiction to arbitrate, each party is entitled to seek a recommendation during conciliation to resolve the dispute.

iii.

iv.

13.2 Student Dispute Resolution Where a Student has a dispute with the University arising out of the operation of this Policy, the parties will attempt to resolve the dispute in accordance with the Dispute Resolution Process for Postgraduate Research Students.

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14.

Related Policies

This Policy must be read in conjunction with the University Consultancy Policy and Guidelines, Risk Management Policy, and any other relevant policies and regulations. Staff Members and Students carrying out consulting activities under the University Consultancy Policy and Guidelines should be mindful of and take precautions against disclosing University IP to consultancy clients.

15.

Review

The Pro Vice Chancellor (Research) is the responsible officer for the amendment and updating of the Administrative Procedures of the University’s Intellectual Property Policy and Guidelines. The Pro Vice Chancellor (Research) shall review the Policy every three (3) years, with the first review being in 2004.

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INTELLECTUAL PROPERTY ACKNOWLEDGEMENT AND UNDERTAKING
All staff members of Murdoch University are bound by the relevant provisions of the Murdoch University Act 1975-1983 and associated By Laws and Regulations including the Code of Ethics and Code of Conduct which together with other University Policies and Procedures form part of the Contract of Employment for Murdoch University staff. Staff Members are also subject to common law, including legal obligations relating to the law of confidentiality. The purpose of this document is to bring some of these requirements to the specific attention of the undersigned officer, to clarify certain obligations and to seek a formal acknowledgement of the existence of these requirements and an undertaking to abide by them. I hereby: Acknowledge that all Intellectual Property generated by me in the Course of my Employment with Murdoch University is the property of Murdoch University; Undertake that: (a) I will communicate to the Pro Vice Chancellor (Research), all Intellectual Property created by me in the Course of my Employment with Murdoch University and I will do this as early as practicable after its creation; I will, whenever so requested by Murdoch University, execute all documents necessary or desirable to secure or enhance Murdoch University’s entitlement to rights in any Intellectual Property generated by me in the Course of my Employment with Murdoch University; I will maintain the confidentiality of all Intellectual Property and other confidential information to my knowledge or in my possession in the Course of my Employment with Murdoch University; and specifically, I will not communicate such Intellectual Property or other confidential information within Murdoch University or outside Murdoch University unless I have explicit authority so to do; upon termination or cessation of my employment with Murdoch University I will hand over to Murdoch University all physical materials then in my possession which embody or disclose: (i) (ii) any Intellectual Property which Murdoch University owns or to which Murdoch University is entitled, or any confidential information which has come into my possession in the Course of my Employment with Murdoch University or relates in any way whatsoever to Murdoch University.

(b)

(c)

(d)

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In the foregoing: ‘Intellectual Property’ shall have the same meaning as in the Murdoch University Intellectual Property Policy and Guidelines. ‘Course of my Employment’ shall have the same meaning as ‘Course of their duties’ in the Murdoch University Intellectual Property Policy and Guidelines.

EXECUTED AS A DEED.

(Signature)

(Print Name)

(Print Position in Murdoch University) (Date)

(Signature of Witness)

(Print Name of Witness)

(Print Occupation of Witness)

(Address of Witness)

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DEED OF ASSIGNMENT
BETWEEN: AND: RE: ……………………………………………………………………….. (“The Student”) MURDOCH UNIVERSITY (“The University”) INTELLECTUAL PROPERTY in the research project titled

The copyright material includes:

[Insert brief description of project and literary or other copyright material to be produced in the course thereof and which is to be assigned] 1. The Student has undertaken/will undertake (delete where inapplicable) the above research on the basis set out in the Australian Postgraduate Research Award Conditions dated 17 March 1992 and the University Statute No. 18, as amended from time to time. The parties agree that the research project has potential to generate commercially useful Intellectual Property and confidential information. The University will/may be entering into a commercialisation or research funding agreement with a third party(s) which may make use of the work done in the above research project. So that the University can honour its obligations to a third party under the funding agreement referred to in paragraph 3, The Student assigns to the University all of his/her present and future rights, titles and interests in Intellectual Property arising from his/her research project including, but not necessarily limited to, any and all copyright or rights in or over confidential information that may vest in or over the original material produced by The Student in the course of or for the purpose of carrying out the aforesaid research project. The Student is willing to assign his/her rights, titles and interests as mentioned in paragraph 4 on the following condition: That the University agrees to allow the Student to participate in the distribution of commercial benefits obtained directly or indirectly by The University from the exploitation of all Intellectual Property originated in whole or in part by the Student in accordance with the provisions of Murdoch University Statute 18, as amended from time to time. The University has agreed to this condition.

2. 3. 4.

5.

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6.

Permission in writing from The University must be sought by the Student to include any results of the research project in any article or other scholarly work for publication. The University shall not unreasonably withhold consent. This provision will not prevent the preparation and examination of any thesis to be submitted to the University for assessment for a University award of degree or other qualification. By this Deed, The Student does hereby assign to and unto The University all of his/her rights, titles and interests as per paragraph 4 and The University does hereby agree to the condition stipulated in clause 5. Ownership of the Intellectual Property and other rights assigned pursuant to clause 7 shall vest in The University. In the foregoing, ‘Intellectual Property’ shall have the same meaning as in the Murdoch University Intellectual Property Policy and Guidelines.

7.

8. 9.

IN WITNESS WHEREOF the Parties have executed this document as a Deed on the days and dates herein below written: THE OFFICIAL SEAL OF MURDOCH UNIVERSITY Was hereto affixed in accordance with Senate Resolution 90/85

Vice Chancellor

University Secretary

Signed for and on behalf of:

) )

Insert name of signatory above

Signatory to sign above

Insert title of signatory above

Insert date above

Insert name of witness above

Witness to sign above

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CONFIDENTIALITY AGREEMENT
This AGREEMENT is dated the 20 PARTIES: MURDOCH UNIVERSITY a body corporate established pursuant to the provisions of the Murdoch University Act 1973 (WA) of South Street, Murdoch, Western Australia 6150 (“Murdoch”) and The party described in Schedule 1 (“the Participant”) RECITALS: A. B. C. Murdoch and the Participant wish to discuss the Project for the Purpose. Murdoch possesses certain Confidential Information that may be necessary to be disclosed to the Participant for the discussions referred to in Recital A. The Participant agrees to keep confidential all information disclosed to it in the course of the Parties’ discussions relating to the research, Development, testing, design, know-how or personnel with respect to the Project. day of

AGREEMENT:

1.
1.1

DEFINITIONS AND INTERPRETATION
Definitions

In this Agreement, unless the context otherwise requires: “Confidential Information” means the following, whether or not in written form: (a) (b) (c) (d) all information disclosed by one party to the other party (whether before or after this Agreement is executed) in connection with the matters described in Recitals A, B, and C; the fact that the parties will have or are having the discussions referred to in Recitals A, B, and C; that part of all notes and other records prepared by either party based on or incorporating the information referred to in either of clauses 1.1(a), or 1.1(b); and all copies of the information and those parties of the notes and other records referred to in any of clauses 1.1(a),1.1(b) and 1.1(c);

"Development" means any work undertaken or performed by the Participant to evaluate, develop, modify, test, advise or manufacture (as the case may be) in relation to the Project. “Intellectual Property” means any and all intellectual and industrial property rights throughout the world, including (but not limited to) rights in respect of or in connection with: (a) any related Confidential Information, know-how or any right to have information kept confidential; 98
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(b) (c) (d) (e)

copyright (including future copyright and rights in the nature of or analogous to copyright); inventions (including patents); trade marks and service marks; and designs, circuit layouts or plant breeders’ rights,

whether or not existing at the date of this Agreement and whether or not registered or registrable and includes any right to apply for the registration of such rights and includes all renewals and extensions; “Murdoch” means Murdoch University, and any of its subsidiaries or affiliates and includes its and its subsidiaries’ or affiliate’s directors, officers, employees, agents, sub-contractors, servants, advisers (legal and financial), consultants, assigns, nominees and any other persons engaged by it or any of its subsidiaries or affiliates during or in connection with the Development, modification or manufacture (as the case may be) of the Project; "Party" means the Participant or Murdoch as the context requires and “Parties” means both of them; "Personnel" means, in relation to a Party, the officers, employees, agents and representatives of that Party; “Project” means the project set out in Schedule 2 and includes any products produced from carrying out the Project; “Purpose” has the meaning as set out in Schedule 2; "Related Corporation” has the meaning given to the term “related body corporate” in the Corporations Act 2001 (Cth). 1.2 Interpretation

In this Agreement, unless the context otherwise requires: (a) (b) (c) (d) (e) (f) (g) (h) (i) a reference to any document is a reference to that document as varied, novated or replaced from time to time; the singular includes the plural and vice versa; a reference to a gender includes all genders; the use of the word “include” or its other grammatical forms shall not imply any limitation; a reference to a thing includes all or any part of it; where a word or phrase is defined, its other grammatical forms have a corresponding meaning; a reference to a person or entity includes a natural person, partnership, corporation, trust, association, unincorporated body, authority or other entity; a reference to a person includes that person’s legal representatives, successors and permitted assigns; a term which purports to bind or benefit two or more persons binds or benefits them jointly or severally; 99
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(j)

a reference to legislation, an ordinance, code or other law includes regulations and other instruments issued under it and amendments, consolidations, re-enactments or replacements of any of them; and headings are inserted for convenience only and shall not affect the interpretation of this Agreement.

(k)

ACKNOWLEDGMENT AND OBLIGATIONS 1.3 Acknowledgment

The Participant acknowledges and agrees that: (a) (b) (c) (d) (e) 1.4 the Participant may be given access to information for the Purpose but Murdoch is not obliged to disclose any information; where Murdoch discloses Confidential Information to the Participant, it is disclosed in consideration of the provisions and covenants set out in this Agreement; the Confidential Information is confidential and proprietary to Murdoch; nothing in this Agreement gives the Participant any right, title or interest in the Confidential Information; and this Agreement applies to Confidential Information disclosed to the Participant for the Purpose prior to the date of this Agreement. Obligation of Confidentiality

The Participant must: (a) (b) 1.5 not in any way disclose or allow to be disclosed to any person any Confidential Information; and put in place procedures to ensure that Confidential Information is not disclosed inadvertently. Obligation of Use

The Participant must: (a) (b) 1.6 (a) (b) not in any way use or reproduce any Confidential Information other than for the Purpose; and put in place procedures to ensure that Confidential Information is not inadvertently used or reproduced for purposes other than the Purpose. Obligation of Security The Participant must comply with any reasonable written directions given by Murdoch relating to security measures for the protection of Confidential Information. Compliance with clause 1.6(a) shall not abrogate or mitigate any obligation or duty of the Participant under this Agreement or otherwise.

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1.7 (a)

Personnel and Related Corporations Notwithstanding clause 1.4, the Participant may disclose Confidential Information to its Personnel, its Related Corporations and their Personnel, but only to the extent necessary for the Specified Purpose. If the Participant discloses any Confidential Information to its Personnel, its Related Corporations or their Personnel or any of them otherwise receive Confidential Information, then the Participant must ensure that such Personnel and Related Corporations are aware that the information disclosed is confidential and must not be disclosed, used or reproduced other than for the Specified Purpose in accordance with the terms of this Agreement as if such Personnel or Related Corporations were a party to this Agreement in place of the Participant. At the written request of Murdoch, the Participant shall ensure that all of its Personnel, its Related Corporations and their Personnel to whom Confidential Information has been or will be disclosed execute and present to Murdoch a deed or written undertaking to abide by the provisions of this Agreement in a form satisfactory to Murdoch. The Participant shall remain liable for the actions of its Personnel, its Related Corporations and their Personnel in relation to Confidential Information, irrespective of whether such actions are authorised or whether the Personnel or Related Corporations have executed any deed or written undertaking pursuant to clause 1.7(c). Disclosure to third parties with consent The Participant may disclose Confidential Information to third parties provided that the Participant: (i) obtains the prior written consent of Murdoch; (ii) complies with any conditions imposed on such disclosure by Murdoch; (iii) ensures that the third parties comply with any conditions imposed on such disclosure by Murdoch; and (iv) procures (if so instructed by Murdoch) the execution by the third parties of a deed or written undertaking in similar form to this Agreement prior to disclosure of the Confidential Information. The Participant shall remain liable for the actions of persons to whom it discloses Confidential Information, irrespective of whether such actions are authorised or whether the persons have executed any deed or written undertaking pursuant to clause 1.8(a). Records

(b)

(c)

(d)

1.8 (a)

(b)

1.9

At the written request of Murdoch, the Participant must present to Murdoch records showing: (a) (b) the names of persons to whom Confidential Information has been disclosed; and details of copies made of any Confidential Information.

1.10 Uncertainty If it is uncertain whether information is Confidential Information, then the Participant must treat such information as Confidential Information unless instructed otherwise in writing by Murdoch. 1.11 Publicity The Participant must not issue any public statement or make any representation in respect of or about the affairs of Murdoch without the prior written consent of Murdoch.
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1.12 Exceptions to Obligations The obligations of the Participant in relation to Confidential Information set out in this Agreement shall not apply to information that: (a) (b) (c) (d) is in or becomes a part of the public domain other than through a breach of contract or obligation of confidence; the Participant can prove by contemporaneous documentation was already known to it at the time of disclosure by Murdoch; the Participant receives from a third party entitled to disclose it; the Participant is required to disclose: (i) by law; (ii) by the requirements of a stock exchange; or (iii) in order to obtain any approval or consent of a Governmental body, authority or agency in connection with the Purpose; (iv) but such information shall remain Confidential Information for all purposes other than the required disclosure and the Participant shall limit such disclosure to the minimum extent necessary; or Murdoch has authorised the Participant in writing to disclose, use or reproduce, but only to the extent of such authorisation.

(e)

1.13 Survival of Obligations The obligations of the Participant pursuant to this Agreement shall survive the finalisation or discontinuance by the Participant of its involvement with Murdoch for the Purpose and the actual Development and manufacture of any products produced from the Project. NOTICE OF DISCLOSURE The Participant must immediately notify Murdoch in writing upon becoming aware of: (a) (b) any unauthorised disclosure, use or reproduction of Confidential Information; or a requirement to disclose any Confidential Information pursuant to clause 1.12(d);

and the Participant shall comply with all reasonable and lawful directions of Murdoch in regard to such matter. RETURN OF CONFIDENTIAL INFORMATION Upon the written request of Murdoch, the Participant must immediately: (a) deliver to Murdoch all records and materials in any form (including copies of records and materials) containing or embodying Confidential Information that are in the possession or control of the Participant, its Personnel, its Related Corporations or their Personnel; destroy all Confidential Information and any other records and materials in any form (including copies of records and materials) containing or embodying Confidential Information that can not be delivered to Murdoch under clause (a); and

(b)

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(c)

provide to Murdoch such evidence as Murdoch may reasonably require of compliance with this clause (including statutory declarations).

INTELLECTUAL PROPERTY 1.14 Ownership of Intellectual Property The Participant acknowledges, warrants and undertakes to Murdoch that ownership and title in any Intellectual Property produced by the Project and any Development work undertaken by the Participant in respect of the Project shall remain permanently with Murdoch whether the Project or such Development work is in its original form or in a form modified by the Participant. 1.15 Assignment of Intellectual Property For the purpose of giving effect to clause 5.1 of this Agreement, the Participant assigns all its right title and interest in any Intellectual Property relating to any modification of or Development of the Project including without limitation any copyright, design or patent (as the case may be) and any other Intellectual Property right relating to the Project to Murdoch or its nominee. The parties will execute any additional documents necessary to bring effect to this clause 5.2. REMEDIES AND INDEMNITY 1.16 Remedies The Participant acknowledges and agrees that: (a) (b) (c) Murdoch may suffer financial and other loss and damage if the Confidential Information was disclosed, used or reproduced in breach of the terms of this Agreement; monetary damages would be an insufficient remedy for a breach of the terms of this Agreement; and in addition to any other remedy which may be available at law or in equity, Murdoch is entitled to: (i) injunctive relief to prevent or remedy a breach or threatened breach of the terms of this Agreement; and (ii) specific performance of the terms of this Agreement.

1.17 Indemnity The Participant agrees to defend, hold harmless, indemnify and keep indemnified Murdoch against all losses, costs, damages, expenses, claims, demands, actions, proceedings or liabilities and related costs and expenses incurred or suffered by Murdoch to the extent caused, directly or indirectly, by a breach of the provisions of this Agreement by the Participant or any other person the actions of whom the Participant is liable for pursuant to this Agreement. MISCELLANEOUS 1.18 Rights of Parties The rights of each Party under this Agreement are in addition to any other rights held by each Party at law or in equity. 1.19 Notices (a) A notice connected with this Deed must be in writing. 103
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(b)

In addition to any other method of services provided by law, a notice may be sent or delivered: (i) by prepaid post, courier or hand delivery to the address of the addressee set out in Schedule 1 or as subsequently notified; (ii) by facsimile to the facsimile number of the addressee set out in Schedule 1 or as subsequently notified; or (iii)by electronic mail to the electronic mail address of the addressee set out in Schedule 1 or as subsequently notified. A notice must be treated as given or served: (i) in the case of hand delivery, upon delivery; (ii) in the case of prepaid post or courier, on the 2nd Business Day after sending for mail within a country and on the 5th Business Day after sending for international mail; (iii) in the case of facsimile or electronic mail sent before 5pm on a Business Day in the place of receipt, on the day it is sent provided that the sending facsimile machine provides a confirmation that the facsimile was correctly sent in its entirety or if the sender’s computer reports that the electronic message was delivered; and (iv) in the case of facsimile or electronic mail sent after 5pm or on a day other than a Business Day in the place of receipt, on the next Business Day in the place of receipt provided that the sending facsimile machine provides a confirmation that the facsimile was correctly sent in its entirety or if the sender’s computer reports that the electronic message was delivered.

(c)

1.20 Severability If any provision of this Agreement is invalid, illegal or unenforceable then that provision shall be severed from this Agreement to the extent of such invalidity, illegality or unenforceability and the remaining provisions shall not be affected by that severance. 1.21 Waiver Any waiver, failure to enforce or relaxation by a Party of any provision of or right under this Agreement: (a) (b) (c) (d) is valid and binding only if given by notice in writing from the Participant or Murdoch (in respect of Murdoch); applies to a particular occasion only; is restricted to its written terms and is not continuing nor of application generally unless expressed to be so; and does not constitute a waiver or relaxation of any other term or condition.

1.22 Amendment No amendments to this Agreement shall be effective unless made by instrument in writing executed by the Participant and Murdoch. 1.23 Governing Law and Jurisdiction The laws of Western Australia govern this Agreement. Each Party submits to the non-exclusive jurisdiction of the courts of Western Australia in connection with matters concerning this Agreement.

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1.24 Costs Each Party must pay its own costs of preparation and negotiation of this Agreement and any document required by this Agreement. The Participant agrees to pay (within the time permitted by statute) any stamp duty and other government charges in respect of this Agreement and any document required by this Agreement. 1.25 Authority to Bind Where the Participant is a corporation, the signatory to this Agreement warrants and represents to Murdoch that they are duly authorised to bind the Participant to this Agreement and that in the absence of any such authority they shall be primarily responsible to Murdoch in the same manner as the Participant. EXECUTED as an Agreement. Murdoch: Executed for and on behalf of MURDOCH UNIVERSITY by: Signature Print Name Capacity

Where the Participant is a natural person:

Print Name of Participant

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Signed by the Participant in the presence of:

) )

Witness

Full Name of Witness Where the Participant is a Corporation:

Print Name of Corporation

ACN THE COMMON SEAL of THE ) PARTICIPANT was affixed in accordance ) ) with its constitution in the presence of: Signature Print Name Print Position

OR EXECUTED by THE PARTICIPANT in accordance with s127 (1) of the Corporations Act by:

Signature Print Name Print Position

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SCHEDULE 1
PARTICIPANT: Name: ACN: Address:

Telephone: Facsimile: Email:

MURDOCH UNIVERSITY Address:

Telephone: Facsimile: Email:

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SCHEDULE 2
PROJECT:

(“Project”)

PURPOSE: The development, evaluation, testing, design, manufacture, construction or modification of any device, data, test results or information relating to the Project. (“Purpose”)

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ATTACHMENT 10 Opportunity Audit Plan/Description of the process June, 2002 1. INTRODUCTION

The Opportunity Audit is intended to help facilitate some early thinking on research projects at Murdoch University, as well as setting an early agenda for commercialisation within the University. The report aims to identify and align projects and researchers with commercial reality. Some may require further commercial shaping prior to intensive working for commercialisation. The Opportunity Audit process involves a systematic selection and analysis of projects that caters for a multi-disciplinary and collaborative approach (see process below). A strong underpinning of this commercial project development not only looks at return, but also deals with risk (identification and management). One of the key outcomes that the Audit seeks to achieve in going through this process is to educate University staff to enable them to conduct the activity in future with the assistance of TCG where necessary. For this reason it is important that a person within the University who is responsible for the commercialisation activity is involved in the process. 2.

OBJECTIVES OF THE AUDIT Identify which of a group of projects should be developed further for commercialisation and work with management to develop commercialisation strategies. Provide a strategy for commercially shaping opportunities not yet ready for intensive commercialisation focus. For a nominated member of management and TCG to collaboratively explore alternative commercial approaches to the research projects. Refresh the commercialisation portfolio for the University.

3.

METHODOLOGY

The audit methodology comprises a combination of information sharing and face-to-face interviews, supported by a specific set of audit questions. Where necessary to reach all relevant people or provide follow up, email or telephone communication will also be used. The strategy is to engage with the senior management at Murdoch University to ensure management support and an efficient allocation of time and resources. Specific information will be provided to support staff in this activity. The methodology is as follows:

3. 1. Discuss plan and select staff
An initial meeting (telephone) is required between TCG and Murdoch University Research management (Paul D’Sylva and Donna Dabala).

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At this meeting we discuss the content of the audit plan and the questions to be asked at the interviews with researchers. We typically focus on up to 20 projects in each Opportunity Audit and find that management often have a strong feel for the research programs with the best opportunity for commercialisation focus. At the completion of this meeting we like to have a feel for the timing of the Audit process and a view for possible milestones to manage the process. 3. 2. Opportunity Audit Interviews The key contact for this activity at Murdoch University (Donna Dabala) and TCG will work together to coordinate meetings with the researchers identified in step 1.

3. 3. Distribution of questionnaires
Prior to the interviews with researchers a short questionnaire will be emailed to them, ideally this will occur 2-weeks prior to the interviews (a sample of this questionnaire is provided as an attachment). The purpose of this stage of the process is to both provide researchers with a flavour for the topics that will be covered during the interviews allowing them to adequately prepare, as well as provide interviewers with a basic insight into projects prior to the interview. We generally ask that researchers return these completed questionnaires to us prior to their interview, however it does not inhibit the audit process if for any reason we do not receive some.

3. 4. Conduct interviews
TCG and Donna Dabala will meet with the appropriate researchers involved in the audit. Responses to the pre sent questionnaire as well as some additional questions (which will follow similar themes to the questionnaire) will form the basis of the meetings.

3. 5. Preliminary Draft Report
TCG will prepare an initial, preliminary draft Opportunity Audit report.

3. 6. Discussion with Faculty management re Preliminary Draft Report
A “first cut” draft of the Opportunity Audit report will provide a basis for discussion between TCG and Donna Dabala and others. This meeting will give Donna the opportunity to provide her feedback and insights about the report in line with how she viewed the meetings to have proceeded and the opportunities presented. It will also allow all parties to ‘workshop’ their thoughts. A key part of the approach here is to “build” the commercial potential of the projects, and then try to “knock” them down with respect to an analysis of risk and exposure of the project from the stakeholder’s perspective.

3. 7. Draft report to be provided to the Division of R&D
After the necessary amendments have been made, incorporating the feedback received during the meeting with Donna, a first draft of the Opportunity Audit will be finalised and provided to Paul D’Sylva and Donna Dabala. Once we receive Paul and Donna’s feedback about the document it will then be ready for finalisation.

3. 8. Final report
The final bound version of the Opportunity Audit will be provided to University management. Additional unbound copies of the Opportunity Audit will also be provided to relevant parties as needed.

3. 9. Next steps
A meeting will then be scheduled to discuss the action items recommended throughout the Opportunity Audit and a plan to forward some of the projects will be formalised.
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4. AUDIT REPORT As identified throughout the methodology, the outcomes of the audit sessions will be assembled into a report. The audit report will provide information identifying each project, nominating a contact person, a description of each technology, its uniqueness, potential outcomes, outside contributions, agreements over ownership, disclosure of the technology, paths to market and market size, will identify any threats for present gaps in its overall protection and the project’s stage of development. Projects will then be classified according to their relative maturity focus for commercialisation. In addition to this classification the report will also contain recommendations about the future management and shaping of projects either to commercialise or to evolve for future commercialisation focus.

5.
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.

APPENDIX 1: SAMPLE AUDIT QUESTIONS
Key contact’s details Name of the opportunity Opportunity description What is the main benefit of your technology? What are the other benefits of your technology? Please identify some of the potential commercial markets for the opportunity. Has any obvious market interest been shown for your opportunity? Who from the market has been interviewed? What is the uniqueness of your opportunity? What is the development status of your opportunity? Can you please provide details of the Project’s funding. Who from the University has worked on the opportunity and what was their employment status? Have any external parties contributed to the development of your opportunity? What agreements exist over the ownership of IP? What is the disclosure status of the opportunity? Have any paths to market been identified for the opportunity? Can you identify possible barriers to entering the market?

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ATTACHMENT 11 Vice-Chancellor's Certification Statement
I, JOHN VINCENT YOVICH being the Chief Executive Officer of MURDOCH UNIVERSITY hereby certify that the information in these documents has been compiled in accordance with the guidelines for the 2002 Research and Research Training Management Reports issued by the Department of Education, Science and Training, and that the information contained therein is correct.

Signed:

Title:

VICE CHANCELLOR

Date:

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